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Social Information Retrieval Systems Emerging
Technologies and Applications for Searching the Web
Effectively 1st Edition Dion Goh Digital Instant Download
Author(s): Dion Goh, Dion Goh, Schubert Foo
ISBN(s): 9781599045436, 1599045435
Edition: 1
File Details: PDF, 4.06 MB
Year: 2007
Language: english

Social Information
Retrieval Systems:
Emerging Technologies and
Applications for Searching the
Web Effectively
Dion Goh
Nanyang Technological University, Singapore
Schubert Foo
Nanyang Technological University, Singapore
Hershey • New York
Information science reference

Acquisitions Editor: Kristin Klinger
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Senior Managing Editor: Jennifer Neidig
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Product or company names used in this set are for identification purposes only. Inclusion of the names of the products or companies does
not indicate a claim of ownership by IGI Global of the trademark or registered trademark.
Library of Congress Cataloging-in-Publication Data
Social information retrieval systems : emerging technologies and applications for searching the Web effectively / Dion Goh & Schubert Foo,
editors.
p. cm.
Summary: "This book provides relevant content in the areas of information retrieval systems, services, and research; covering topics such
as social tagging, collaborative querying, social network analysis, subjective relevance judgments, and collaborative filtering. Answering the
increasing demand for authoritative resources on Internet technologies, this will make an indispensable addition to any library collection"--
Provided by publisher.
Includes bibliographical references and index.
ISBN-13: 978-1-59904-543-6 (hardcover)
ISBN-13: 978-1-59904-545-0 (ebook)
1. Internet searching. 2. Web search engines. 3. World Wide Web--Subject access. 4. Information storage and retrieval systems. 5.
Information retrieval. I. Goh, Dion. II. Foo, Schubert.
ZA4230.S63 2008
025.04--dc22
2007023437
British Cataloguing in Publication Data
A Cataloguing in Publication record for this book is available from the British Library.
All work contributed to this book set is original material. The views expressed in this book are those of the authors, but not necessarily of
the publisher.

Table of Contents
Preface.................................................................................................................................................xiii
Acknowledgment..............................................................................................................................xviii
Section I
Collaborative Querying
Chapter I
Collaborating to Search Effectively in Different Searcher Modes Through Cues
and Specialty Search / Naresh Kumar Agarwal and Danny C.C. Poo ................................................... 1
Chapter II
Collaborative Querying Using a Hybrid Content and Results-based Approach
/ Chandrani Sinha Ray, Dion Hoe-Lian Goh, Schubert Foo, Nyein Chan Soe Win,
and Khasfariyati Razikin....................................................................................................................... 31
Section II
Collaborative Classification and Organization
Chapter III
Collaborative Classification for Group-Oriented Organization of Search Results
/ Keiichi Nakata and Amrish Singh....................................................................................................... 47
Chapter IV
A Case Study of Use-Centered Descriptions: Archival Descriptions of What Can
Be Done with a Collection / Richard Butterworth................................................................................ 67
Chapter V
Metadata for Social Recommendations: Storing, Sharing, and Reusing Evaluations
of Learning Resources / Riina Vuorikari, Nikos Manouselis, and Erik Duval..................................... 87

Section III
Using Social Networks for Information Retrieval
Chapter VI
Social Network Models for Enhancing Reference-Based Search Engine Rankings
/ Nikolaos Korfiatis, Miguel-Ángel Sicilia, Claudia Hess, Klaus Stein, and Christoph Schlieder..... 109
Chapter VII
From PageRank to Social Rank: Authority-Based Retrieval in Social Information
Spaces / Sebastian Marius Kirsch, Melanie Gnasa, Markus Won, and Armin B. Cremers................ 134
Chapter VIII
Adaptive Peer-to-Peer Social Networks for Distributed Content-Based
Web Search / Le-Shin Wu, Ruj Akavipat, Ana Gabriela Maguitman, and Filippo Menczer .............. 155
Section IV
Social Issues
Chapter IX
The Ethics of Social Information Retrieval / Brendan Luyt and Chu Keong Lee .............................. 179
Chapter X
The Social Context of Knowledge / Daniel Memmi........................................................................... 189
Section V
Social Information Seeking Models
Chapter XI
Social Information Seeking in Digital Libraries / George Buchanan and Annika Hinze................... 209
Chapter XII
Relevant Intra-Actions in Networked Environments / Theresa Dirndorfer Anderson....................... 230
Chapter XIII
Publication and Citation Analysis as a Tool for Information Retrieval / Ronald Rousseau............... 252

Section VI
Applications and Case Studies in Social Information Retrieval
Chapter XIV
Personalized Information Retrieval in a Semantic-Based Learning Environment
/ Antonella Carbonaro and Rodolfo Ferrini....................................................................................... 270
Chapter XV
Multi-Agent Tourism System (MATS) / Soe Yu Maw and Myo-Myo Naing ...................................... 289
Chapter XVI
Hybrid Recommendation Systems: A Case Study on the Movies Domain
/ Konstantinos Markellos, Penelope Markellou, Aristotelis Mertis,
Ioanna Mousourouli, Angeliki Panayiotaki, and Athanasios Tsakalidis ............................................ 311
Compilation of References ............................................................................................................... 336
About the Contributors.................................................................................................................... 365
Index................................................................................................................................................... 373

Detailed Table of Contents
Preface ..........................................................................................................................................xiii
Acknowledgment........................................................................................................................xviii
Section I
Collaborative Querying
Chapter I
Collaborating to Search Effectively in Different Searcher Modes Through Cues
and Specialty Search / Naresh Kumar Agarwal and Danny C.C. Poo .............................................1
Searchers generally have difficulty searching into knowledge repositories because of the quantity of
data involved and because searcher mechanisms are not tailored to their differing needs at different
points in time. Also, every searcher generally searches alone without taking into account other users
with similar search needs or experience. While the Internet may have contributed to information over-
load, the connectivity it has provides the potential to different searchers to collaborate when looking
for information. In this chapter the authors: (1) review concepts related to social information retrieval
and existing collaborative mechanisms; (2) discuss two collaborative mechanismscues and specialty
search; and (3) see cues and specialty search in the context of the changing needs of a searcher in one
of four modes. A case study of an online portal for the Singapore education community is used to show
how collaboration could enhance learning and search efficacy.
Chapter II
Collaborative Querying Using a Hybrid Content and Results-Based Approach
/ Chandrani Sinha Ray, Dion Hoe-Lian Goh, Schubert Foo, Nyein Chan Soe Win,
and Khasfariyati Razikin.................................................................................................................31
Collaborative querying is a technique that makes use of past users’search experiences in order to help
the current user formulate an appropriate query. In this technique, related queries are extracted from
query logs and clustered. Queries from these clusters that are related to the user’s query are then recom-
mended to the user. This work uses a combination of query terms as well as result documents returned by
queries for clustering queries. For the latter, it extracts features such as titles, URLs, and snippets from
the result documents. It also proposes an extended K-means clustering algorithm for clustering queries

over a simple measure of overlap. Experimental results reveal that the best clusters are obtained by using
a combination of these sources rather than using only query terms or only result URLs alone.
Section II
Collaborative Classification and Organization
Chapter III
Collaborative Classification for Group-Oriented Organization of Search Results
/ Keiichi Nakata and Amrish Singh.................................................................................................47
In this chapter the authors examine the use of collaborative classification to support social information
retrieval by organizing search results. It subscribes to the view that the activity of collaborative classifica-
tion can be characterized by top-down and bottom-up approaches, both in terms of the nature of concept
classification and the process of classification development. Two approaches, collaborative indexing
and search result classification based on shared classification schemes, are described and compared. It
suggests that by allowing open access to classification development tools to generate shared classifica-
tion schemes, which in turn become collaborative artifacts, cooperating user groups will generate their
own coordination mechanisms that are not dependent on the system itself.
Chapter IV
A Case Study of Use-Centered Descriptions: Archival Descriptions of What
Can Be Done with a Collection / Richard Butterworth ..................................................................67
In this chapter the author argues the case that there is a mismatch between current metadata standards
for the description of archival holdings and what many users actually want to know about a collection.
Standard archival descriptions objectively describe what is in a collection, whereas users wish to know
what they can do with a collection. It is argued that matching users’research questions to library resources
that could help answer those questions is a crucial social role played by librarians, archivists, and other
frontline staff. However placing descriptions of what is in a collection online for users to search directly
risks disintermediating the users from library staff. “Use-centered descriptions” are proposed as a way
of systematically describing what can be done with a collection, and are, in effect, an encoding of library
staff’s knowledge about what can be done with a collection. It is therefore argued that use-centered
descriptions repair some of disintermediation gaps caused by putting collection descriptions online. A
theoretical motivation for use-centered descriptions is presented by showing how Heaney’s (1999) ana-
lytic model of collections, which underlies the Research Support Libraries Program (RSLP) collection
description standard, only addresses finding and identifying resources. The author augments this model
to address selecting resources from a range of possibilities and show how use-centered descriptions stem
from this augmentation. A case study is presented demonstrating the experience of developing a set of
use-centered descriptions for the University of London as part of a project to encourage wider access to
their archival holdings. The project had necessarily limited aims, and therefore conclusions are drawn
about the viability of use-centered descriptions in wider domains.

Chapter V
Metadata for Social Recommendations: Storing, Sharing, and Reusing Evaluations
of Learning Resources / Riina Vuorikari, Nikos Manouselis, and Erik Duval...............................87
Social information retrieval systems, such as recommender systems, can benefit greatly from sharable
and reusable evaluations of online resources. For example, in distributed repositories with rich collec-
tions of learning resources, users can benefit from evaluations, ratings, reviews, annotations, and so
forth that previous users have provided. Furthermore, sharing these evaluations and annotations can
help attain the critical mass of data required for social information retrieval systems to be effective and
efficient. This kind of interoperability requires a common framework that can be used to describe in a
reusable manner the evaluation approach, as well as the results of the evaluation. The authors discuss
this concept, focusing on the rationale for a reusable and interoperable framework, that can be used to
facilitate the representation, management, and reuse of results from the evaluation of learning resources.
For this purpose, the authors review a variety of evaluation approaches for learning resources and study
ways in which evaluation results may be characterized, so as to draw requirements for sharable and
reusable evaluation metadata. Usage scenarios illustrate how evaluation metadata can be useful in the
context of recommender systems for learning resources.
Section III
Using Social Networks for Information Retrieval
Chapter VI
Social Network Models for Enhancing Reference-Based Search Engine Rankings /
Nikolaos Korfiatis, Miguel-Ángel Sicilia, Claudia Hess, Klaus Stein, and Christoph Schlieder.109
In this chapter the authors discuss the integration of information retrieval information from two
sourcesa social network and a document reference networkfor enhancing reference-based search
engine rankings. In particular, current models of information retrieval are blind to the social context that
surrounds information resources, thus they do not consider the trustworthiness of their authors when they
present the query results to the users. Following this point the authors elaborate on the basic intuitions
that highlight the contribution of the social contextas can be mined from social network positions for
instanceinto the improvement of the rankings provided in reference-based search engines. A review on
ranking models in Web search engine retrieval along with social network metrics of importance such as
prestige and centrality are provided as background. Then a presentation of recent research models that
utilize both contexts is provided, along with a case study in the Internet-based encyclopedia Wikipedia,
based on the social network metrics.

Chapter VII
From PageRank to Social Rank: Authority-Based Retrieval in Social Information Spaces /
Sebastian Marius Kirsch, Melanie Gnasa, Markus Won, and Armin B. Cremers........................134
Social information spaces are characterized by the presence of a social network between participants.
The authors of this chapter present methods for utilizing social networks for information retrieval, by
applying graph authority measures to the social network. The authors show how to integrate authority
measures in an information retrieval algorithm. In order to determine the suitability of the described
algorithms, they examine the structure and statistical properties of social networks, and present examples
of social networks as well as evaluation results.
Chapter VIII
Adaptive Peer-to-Peer Social Networks for Distributed Content-Based Web Search /
Le-Shin Wu, Ruj Akavipat, Ana Gabriela Maguitman, and Filippo Menczer ..............................155
In this chapter the authors propose a collaborative peer network application called 6Search (6S) to
address the scalability limitations of centralized search engines. Each peer crawls the Web in a focused
way, guided by its user’s information context. Through this approach, better (distributed) coverage can
be achieved. Each peer also acts as a search “servent” (server + client) by submitting and responding
to queries to/from its neighbors. This search process has no centralized bottleneck. Peers depend on a
local adaptive routing algorithm to dynamically change the topology of the peer network and search
for the best neighbors to answer their queries. The authors present and evaluate learning techniques to
improve local query routing. They validate prototypes of the 6S network via simulations with 70–500
model users based on actual Web crawls, and find that the network topology rapidly converges from a
random network to a small-world network, with clusters emerging from user communities with shared
interests. Finally, the authors compare the quality of the results with those obtained by centralized search
engines such as Google.
Section IV
Social Issues
Chapter IX
The Ethics of Social Information Retrieval / Brendan Luyt and Chu Keong Lee ........................179
In this chapter the authors discuss some of the social and ethical issues associated with social information
retrieval. Using the work of Habermas, they argue that social networking is likely to exacerbate already
disturbing trends towards the fragmentation of society and a corresponding decline reduction in social
diversity. Such a situation is not conducive to developing a healthy, democratic society. Following the
tradition of critical theorists of technology, the authors conclude with a call for responsible and aware
technological design with more attention paid to the values embedded in new technological systems.

Chapter X
The Social Context of Knowledge / Daniel Memmi.....................................................................189
Information and knowledge have become a crucial resource in our knowledge-based, computer-mediated
economy. But knowledge is primarily a social phenomenon, on which computer processing has had only
a limited impact so far, in spite of impressive advances. In this context have recently appeared various
collaborative systems that promise to give access to socially situated information. The author argues
that a prior analysis of the social context is necessary for a better understanding of the whole domain
of collaborative software. The author will examine the variety and functions of information in modern
society, where collaborative information management is now the dominant type of occupation. In fact,
real information is much more complex than its usual technical sense: one should distinguish between
information and knowledge, as well as between explicit and tacit knowledge. Because of the notable
importance of tacit knowledge, social networks are indispensable in practice for locating relevant infor-
mation. The author then proposes a typology of collaborative software, distinguishing between explicit
communities supported by groupware systems, task-oriented communities organized around a common
data structure, and implicit links exploited by collaborative filtering and social information retrieval. The
latter approach is usually implemented by virtually grouping similar users, but there exist many possible
variants. Yet much remains to be done by extracting, formalizing, and exploiting implicit social links.
Section IV
Social Information Seeking Models
Chapter XI
Social Information Seeking in Digital Libraries / George Buchanan and
Annika Hinze.................................................................................................................................209
In this chapter the authors demonstrate a number of contrasting uses of the social aspects of information
seeking, and through those propose, demonstrate, and realize social models of information seeking that
complement existing information seeking models and technologies. These include: information sharing
among humanities researchers; creation of profiles for continuous, ongoing searching of medical mate-
rial; and the capture of models of user behaviors in an interactive, mobile tourist information system.
From the human perspective the authors illustrate differing social techniques and issues including:
explicit and implicit sharing; seeking facilitated by subject (medical, academic) experts and search
experts (librarians); and anonymized and attributed social environments.
Chapter XII
Relevant Intra-Actions in Networked Environments / Theresa Dirndorfer Anderson.................230
In this chapter the author uses a study of human assessments of relevance to demonstrate how individual
relevance judgments and retrieval practices embody collaborative elements that contribute to the overall
progress of that person’s individual work. After discussing key themes of the conceptual framework, the
author will discuss two case studies that serve as powerful illustrations of these themes for researchers
and practitioners alike. These case studiesoutcomes of a two-year ethnographic exploration of research

practicesillustrate the theoretical position presented in part one of the chapter, providing lessons for
the ways that people work with information systems to generate knowledge and the conditions that will
support these practices. The author shows that collaboration does not have to be explicit to influence
searcher behavior. It seeks to present both a theoretical framework and case studies that can be applied
to the design, development, and evaluation of collaborative information retrieval systems.
Chapter XIII
Publication and Citation Analysis as a Tool for Information Retrieval / Ronald Rousseau.........252
In this chapter the author presents an overview of citation analysis, emphasizing its formal aspects as
applied social network theory. As such, citation linking can be considered a tool for information retrieval
based on social interaction. It is indeed well known that following citation links is an efficient method
of information retrieval. Relations with Web linking are highlighted. Yet, also social aspects related to
the act of citing, such as the occurrence of invisible colleges, are discussed. The author presents some
recent developments and presents his opinion on some future developments. In this way, he hopes the
reader will realize how the fields of citation analysis and Webometrics can be helpful in building social
information retrieval systems.
Section VI
Applications and Case Studies in Social Information Retrieval
Chapter XIV
Personalized Information Retrieval in a Semantic-Based Learning Environment /
Antonella Carbonaro and Rodolfo Ferrini...................................................................................270
Active learning is the ability of learners to carry out learning activities in such a way that they will be able
effectively and efficiently to construct knowledge from information sources. Personalized and customizable
access on digital materials collected from the Web according to one’s own personal requirements and
interests is an example of active learning. Moreover, it is also necessary to provide techniques to locate
suitable materials. In this chapter, the authors introduce a personalized learning environment providing
intelligent support to achieve the expectations of active learning. The system exploits collaborative and
semantic approaches to extract concepts from documents and maintain user and resource profiles based
on domain ontologies. In such a way, the retrieval phase takes advantage of the common knowledge base
used to extract useful knowledge and produce personalized views of the learning system.
Chapter XV
Multi-Agent Tourism System (MATS) / Soe Yu Maw and Myo-Myo Naing ................................289
In this chapter the authors propose the architecture of the multi-agent tourism system (MATS). Tourism
information on the World Wide Web is dynamic and constantly changing. It is not easy to obtain relevant
and updated information for individual user needs. A multi-agent system is defined as a collection of
agents that work in conjunction with each other. The objective of MATS is to provide the most relevant

and updated information according to the user’s interests. It consists of multiple agents with three main
tiers such as the interface module, information management module, and domain-related module. The
authors propose the Rule-based Personalization with Collaborative Filtering technique for effective
personalization in MATS which can address the limitations of pure collaborative filtering such as the
scalability, sparsity, and cold-start problems.
Chapter XVI
Hybrid Recommendation Systems: A Case Study on the Movies Domain /
Konstantinos Markellos, Penelope Markellou, Aristotelis Mertis,
Ioanna Mousourouli, Angeliki Panayiotaki, and Athanasios Tsakalidis ...................................... 311
Recommendation systems have been used in e-commerce sites to make product recommendations and to
provide customers with information that helps them decide which products to buy. The recommendations
are based on different methods and techniques for suggesting products, with the most well known being
collaborative and content-based filtering. Recently, several recommendation systems adopted hybrid
approaches by combining collaborative and content-based features as well as other techniques in order
to avoid their limitations. In this chapter the authors investigate hybrid recommendations systems and
especially the way they support movie e-shops in their attempt to suggest movies to customers. Specifically,
the authors introduce an approach where the knowledge about customers and movies is extracted from
usage mining and ontological data in conjunction with customer movie ratings and matching techniques
between customers. This integration provides additional knowledge about customers’ preferences
and allows the production of successful recommendations. Even in the case of the cold-start problem
where no initial behavioral information is available, the approach can provide logical and relevant
recommendations to the customers. The provided recommendations are expected to have higher accuracy
in matching customers’preferences and thus higher acceptance by them. Finally, the authors describe
future trends and challenges and discuss the open issues in the field.
Compilation of References .........................................................................................................336
About the Contributors..............................................................................................................365
Index.............................................................................................................................................373

xiii
Preface
The popularity of the Web has led to a tremendous growth in the volume of available online informa-
tion. The result is that people have now come to depend on the Web to meet their information needs via
search engines, portals, digital libraries, and other information retrieval systems. However, the amount
of information and its growth is a double-edged sword due to the problem of information overload, ex-
acerbated by the fact that not all content on the Web is relevant or of acceptable quality to information
seekers. Information overload has led to a situation where users are swamped with too much information
and have to sift through the materials in search of relevant content.
A variety of techniques have been adopted on the Web to address these problems inherent in infor-
mation search, drawing from the fields of information retrieval, information filtering, human computer
interaction, and the study of information seeking behavior. Work in these areas has yielded many novel
and useful algorithmic and user interface techniques. Research in information seeking behavior sug-
gests yet an alternative promising approach in helping users meet their information needs. Many studies
have found that interaction and collaboration with other people is an important part in the process of
information seeking and use. It is not uncommon that in searching for information, we tap on our social
networksfriends, colleagues, librariansto help locate what we need.
Social information retrieval refers to a family of techniques that assist users in meeting their infor-
mation needs by harnessing the collective intelligence of other userstheir expert knowledge or search
experience. Elements of social information retrieval may be found on the Web through the hyperlinks
that connect different Web sites (e.g., bookmark lists), subject directories (e.g., Yahoo, Open Directory
Project), Google’s PageRank algorithm, and user annotations of resources (e.g., Amazon.com’s book
reviews and ratings). More contemporary techniques include social tagging, collaborative querying,
social network analysis, subjective relevance judgments, and collaborative filtering.
Socialinformationretrievalisanemergingareaandapromisingavenueforthedesignandimplementa-
tion of a new generation of information retrieval systems. It has drawn interest in academia as well as in
industry. This book introduces readers to this area as well as discusses the state-of-the-art techniques in
social information retrieval. It serves as a resource for those dealing with information retrieval systems,
services, and research, and is written for academics, researchers, information retrieval product managers
and software developers, librarians, and students.

xiv
OrganizatiOn
The book’s chapters are organized into six sections with the following themes:
• Collaborative Querying
• Collaborative Classification and Organization
• Using Social Networks for Information Retrieval
• Social Issues
• Social Information Seeking Models
• Applications and Case Studies in Social Information Retrieval
Section I deals with collaborative querying, discussing various techniques that support searching by
harnessing other users’ search experiences. This section consists of two chapters.
Chapter I, “Collaborating to Search Effectively in Different Searcher Modes Through Cues and
Specialty Search” by Naresh KumarAgarwal and Danny C.C. Poo, argues that searchers generally have
difficulty searching in knowledge repositories because of the quantity of data involved and because
searcher mechanisms are not tailored to their differing needs. Collaboration among searchers is one
possible solution. They review concepts related to social information retrieval and other collaborative
mechanisms, and discuss two collaborative searching mechanismscues and specialty search. A case
study of an online educational portal is also presented to show how collaboration could enhance learn-
ing and search efficacy.
Chapter II, “Collaborative Querying Using a Hybrid Content and Results-Based Approach” by Ray
Chandrani Sinha, Dion Hoe-Lian Goh, Schubert Foo, Nyein Chan Soe Win, and Khasfariyati Razikin,
describes the concept of collaborative querying, a technique that makes use of past users’search experi-
ences in order to help the current user formulate an appropriate query. Here, related queries are extracted
from query logs, clustered, and used as candidates for recommendations. Query similarity is determined
using a combination of query terms as well as search result documents. For the latter, features such as
titles, URLs, and snippets from the result documents are used. Experimental results reveal that the best
clusters are obtained by using a combination of these sources rather than using only query terms or only
result URLs alone.
Collaborative classification and organization is covered in Section II. Chapters in this section exam-
ine how classification schemes and metadata can be constructed collaboratively. The section consists
of three chapters.
ChapterIII,“CollaborativeClassificationforGroup-OrientedOrganizationofSearchResults”byKei-
ichi Nakata andAmrish Singh, begins this section by examining the use of collaborative classification to
supportsocialinformationretrievalbyorganizingsearchresults.Twoapproaches,collaborativeindexing
and search result classification based on shared classification schemes, are described and compared.
ChapterIV,“ACaseStudyofUse-CenteredDescriptions:ArchivalDescriptionsofWhatCanBeDone
with a Collection” by Richard Butterworth, argues that there is a mismatch between current metadata
standards for the description of archival holdings and what many users actually want to know about a
collection. Use-centered descriptions are proposed as a way of systematically describing what can be
done with a collection, and are, in effect, an encoding of library staff’s knowledge about what can be
done with a collection. An example of its use by the University of London to encourage wider access to
their archival holdings is presented.

xv
Chapter V, “Metadata for Social Recommendations: Storing, Sharing, and Reusing Evaluations of
Learning Resources” by Riina Vuorikari, Nikos Manouselis, and Erik Duval, discusses how social infor-
mation retrieval systems can benefit greatly from sharable and reusable evaluations of online resources
in the form of metadata. To achieve interoperability among various systems, a common framework to
describe the evaluation of such resources is required. Through a review of various approaches, they
present an evaluation framework and apply it to learning resources.
Section III focuses on using social networks for information retrieval. Although the idea of using
social networks to find information is not new, it has gained popularity since the introduction of the
Google search engine and therefore warrants an in-depth examination of the techniques involved. There
are three chapters in this section:
Chapter VI, “Social Network Models for Enhancing Reference-Based Search Engine Rankings” by
Nikolaos Korfiatis, Miguel-Ángel Sicilia, Claudia Hess, Klaus Stein, and Christoph Schlieder, begins
this section by discussing the integration of information retrieval information from two sourcesa social
network and a document reference networkfor enhancing reference-based search engine rankings.
The authors elaborate on the basic intuitions that highlight the contribution of the social context, which
can be mined from social networks, into the improvement of the rankings provided in reference-based
search engines. A case study on the Web-based encyclopedia Wikipedia is presented as an illustration
of the ideas introduced in this chapter.
Chapter VII, “From PageRank to Social Rank: Authority-Based Retrieval in Social Information
Spaces” by Sebastian Marius Kirsch, Melanie Gnasa, Markus Won, and Armin B. Cremers, presents
methods for utilizing social networks for information retrieval by applying graph authority measures
to the social network. The authors present techniques for integrating authority measures in an informa-
tion retrieval algorithm. To demonstrate the applicability of their algorithm, the authors examine the
structure and statistical properties of social networks, and present examples of social networks as well
as evaluation results.
Chapter VIII, “Adaptive Peer-to-Peer Social Networks for Distributed Content-Based Web Search”
by Le-Shin Wu, RujAkavipat,Ana Gabriela Maguitman, and Filippo Menczer, employs social networks
in information retrieval from the perspective of collaborative peer-to-peer networks.Their system, called
6Search (6S), aims to address the scalability limitations of centralized search engines. Each peer crawls
the Web in a focused way, guided by its user’s information context. Each peers also acts as a search
“servent” by submitting and responding to queries to/from its neighbors. Prototypes of the 6S system
are evaluated via simulations that model users based on actual Web crawls. The quality of the results
obtained is also compared against centralized search engines such as Google.
Section IV shifts its attention to examine social issues pertaining to social information retrieval sys-
tems. This section consists of two chapters.
Chapter IX, “The Ethics of Social Information Retrieval” by Brendan Luyt and Chu Keong Lee,
attempts to examine social networking and social information retrieval in the context of Habermas’s
concepts of public sphere and communication actions against the problem of homophily (where a con-
tact between similar people occurs at a higher rate than among dissimilar people), and posits that such
activity is likely to increase the fragmentation of society and a reduction in social diversity as groups
becomemorehomogenousandisolatedfromrestofsocietywhoalsohaveimportantrolestoplaytowards
learning, among others. The authors conclude with a call for more responsible and aware technological
designs with an emphasis on values so that the effects of homophily are addressed.

xvi
Chapter X, “The Social Context of Knowledge” by Daniel Memmi, demonstrates that collaborative
information management is now the dominant type of occupation with human information processing
predominatelytakingplaceinalargesocialcontext.Interactionsaresupportedbyarangeofcollaborative
information tools and systems that are designed to support the seeking, diffusion, and management of
explicit and tacit knowledge. While some of these systems are virtually grouping similar users together
(thereby promoting the problem of homophily, as discussed in Chapter IX), there is also a need to find
new solutions by better understanding and modeling human cognitive processes in information process-
ing from diverse heterogeneous sources to enable the creation of new design ideas for future systems.
SectionVon social information seeking models presents a set of different information seeking models
in different contexts and highlights the wide ranging applicability of this new emerging field of social
information retrieval. This section consists of three chapters.
ChapterXI,“SocialInformationSeekinginDigitalLibraries”byGeorgeBuchananandAnnikaHinze,
first showed a number of contrasting uses of the social aspects of information seeking and abstracts a
number of different approaches to present underlying principles, architectures, and models. Using digital
library as a technological platform, the authors propose the provision of social context by the addition
and integration of recommendation, alerting, and communication services into the architecture. They
suggest that effective social information seeking pivots on closing the gap between human communica-
tion and the digital library.
Chapter XII, “Relevant Intra-Actions in Networked Environments” by Theresa DirndorferAnderson,
provides a conceptual framework for relevance as a socially situated phenomenon, and goes on to de-
scribe an ethnographic study of academics engaged in research projects making relevant judgments of
informationwhenworkingwithnetworkedinformationsystems.Relevanceassessmentwhentheorizedas
intra-action shows such judgments as emergent constructions that arose as a result of interplay between
social and personal, technical and human elements in such a networked environment. The understanding
of such a perspective can enable better collaborative systems to be designed, such as the facilitation for
creating collaborative metadata schemes to enable alternative representations of content and to cater for
different information seeking behaviors in different contexts.
Chapter XIII, “Publication and Citation Analysis as a Tool for Information Retrieval” by Ronald
Rousseau, defines citation analysis in the context of applied social network theory, and highlights the
relationship between citation linking as a source for information retrieval based on social interaction
where authors cite and co-cite each other’s publications. Relations between citation analysis and Web
links in the emerging field of Webometrics are also distinguished. The author takes a peek into the future
where he envisages: the integration of local and regional citation indexes into a virtual world citation
atlas, the spot translation of existing scientific non-English literature on the Web to increase the knowl-
edge base and visibility and citation levels of such authors, and the establishment of global repositories
for research and others.
Section VI concludes this book by presenting applications and case studies in social information
retrieval. The focus of this section is to examine where and how social information retrieval systems
have been applied. There are three chapters in this section.
Chapter XIV, “Personalized Information Retrieval in a Semantic-Based Learning Environment” by
Antonella Carbonaro and Rodolfo Ferrini, applies social information retrieval techniques to the educa-
tion domain. The authors introduce a personalized learning environment providing intelligent support to
achieve the expectations of active learning. The system exploits collaborative and semantic approaches
to extract concepts from documents, and maintain user and resources profiles based on domain ontolo-

xvii
gies. With this approach, the information retrieval process is able to produce personalized views of the
learning environment.
Chapter XV, “Multi-Agent Tourism System (MATS)” by Soe Yu Maw and Myo-Myo Naing, ad-
dresses the tourism domain. The authors argue that tourism information on the Web is dynamic, and
it is not easy to obtain relevant and updated information to meet an individual’s needs. To address this
issue, they developed the multi-agent tourism system (MATS) with the goal of providing relevant and
updated information tailored to the user’s interests. Key to the system is the rule-based personalization
with collaborative filtering technique for personalization in MATS. The technique is able to address the
limitations of pure collaborative filtering, including scalability, sparsity, and cold-start problems.
Chapter XVI, “Hybrid Recommendation Systems: A Case Study on the Movies Domain” by Kon-
stantinos Markellos, Penelope Markellou,Aristotelis Mertis, Ioanna Mousourouli,Angeliki Panayiotaki,
and Athanasios Tsakalidis, examines how social information retrieval can applied to e-commerce sites,
focusing in particular on recommendation systems. The authors investigate hybrid recommendation
systems and the way they can support movie e-shops to suggest movies to customers. Specifically, the
authorsintroducearecommendationapproachwhereknowledgeaboutcustomersandmoviesisextracted
from usage mining and ontological data in conjunction with customer-movie ratings and matching
techniques between customers.

xviii
Acknowledgment
This book would not have been possible without the authors for their excellent chapters and the review-
ers who have given invaluable comments, and the editors are grateful for all their hard work. We would
also like to thank IGI Global for the opportunity to publish this book on social information retrieval
systems, and for their assistance and support, which has made this process an enjoyable one.
Dion Goh and Schubert Foo
May 2007

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and Anti-submarine

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Title: Submarine and Anti-submarine
Author: Sir Henry John Newbolt
Illustrator: Norman Wilkinson
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Most recently updated: October 23, 2024
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*** START OF THE PROJECT GUTENBERG EBOOK SUBMARINE AND
ANTI-SUBMARINE ***

“Whose crew abandoned ship and then all stood
up and cursed us.”

SUBMARINE
AND
ANTI-SUBMARINE
BY
HENRY NEWBOLT
AUTHOR OF ‘THE BOOK OF THE HAPPY WARRIOR,’ ‘TALES OF THE GREAT WAR,’ ETC.
WITH A COLOURED FRONTISPIECE AND 20 FULL-PAGE
ILLUSTRATIONS
BY NORMAN WILKINSON, R.I.
NEW YORK:
LONGMANS, GREEN AND CO.
FOURTH AVENUE AND 30TH STREET
39 PATERNOSTER ROW, LONDON
BOMBAY, CALCUTTA, AND MADRAS
1919

CONTENTS
CHAPTER PAGE
I. The Spirit of Submarine War 1
II. The Evolution of the Submarine 10
III. The Submarine of To-day 36
IV. A British Submarine Base 52
V. Submarines and War Policy 68
VI. Submarine v. War-ship 78
VII. War-ship v. Submarine 95
VIII. British Submarines in the Baltic 108
IX. British Submarines in the Dardanelles 125
X. The U-Boat Blockade 161
XI. Trawlers, Smacks, and Drifters 178
XII. The Destroyers 201
XIII. P-Boats and Auxiliary Patrol 216
XIV. Q-Boats 231
XV. Submarine v. Submarine 256
XVI. The Hunted 272
XVII. Zeebrugge and Ostend 295

ILLUSTRATIONS
PAGE
‘Whose crew abandoned ship and then all stood
up and cursed us’ (Coloured)
Frontispiece
‘Does not look like any ship you have ever seen’ 47
‘Towed back by an enemy trawler’ 59
‘She was nearly submerged when the seaplane
passed over her’ 63
‘Turning passengers and crews adrift in open
boats’ 75
‘Were brought in by the 50-ton smack Provident
of Brixham’ 83
‘She had gone full speed for the enemy, and
rammed him’ 99
‘The Russian ice-breakers freed them from the
harbour ice’ 121
‘The Fort gave them 200 rounds at short range’ 129
‘Made her fast alongside his conning-tower’ 135
‘She was mortally hit’ 149
‘I’ll Try’s shell struck the base of the conning-
tower’ 185

‘The U-boat started with an enormous
advantage of gun power’ 199
‘U.C.-boats stealing in across the black and silver
water’ 211
‘The diver who first went down found the
submarine lying on her side’ 229
‘A fourth boat was partially lowered with a
proper amount of confusion’ 241
‘The U-boat never recovered from the surprise’ 245
‘Was steering about in figures of 8, with his gun
still manned’ 265
‘A huge column of water which fell plump on the
Commander’ 287
‘The submarine suddenly broke surface’ 291
‘A tremendous explosion was seen at the shore
end of the Mole’ 305

CHAPTER I
THE SPIRIT OF SUBMARINE WAR
It is probable that a good deal of the information contained in
this book will be new to the public; for it has been collected under
favour of exceptional circumstances. But the reader will gain little if
he cannot contribute something on his side—if he cannot share with
the writer certain fundamental beliefs. The first of these is that every
nation has a spirit of its own—a spirit which is the mainspring of
national action. It is more than a mechanical spring; for it not only
supplies a motive force, but determines the moral character of the
action which results. When we read the history of nations, and
especially the history of their explorations, wars, and revolutions, we
soon recognise the spirit of each, and learn to expect its appearance
in every moment of crisis or endurance. If it duly appears, our
impression is confirmed; if it fails on any occasion, we are
disappointed. But the disappointments are few—nations may at
times surprise us; but, as a rule, they are like themselves. Even
when they develop and seem to change, they are apt, under the
stress of action, to return to their aboriginal character, and to exhibit
it in their old historic fashion. To attempt, then, to give an account of
any national struggle, without paying attention to the influence of
the characteristic spirit of the country or countries concerned, would
be a difficult undertaking, and a mistaken one. Even in a short crisis,
a great people will probably display its historic colours, and in a long
one it certainly will. To ignore this, to describe national actions
without giving a sense of the animating spirit, would be not only a
tame and inadequate method; it would lower the value of life itself
by making mere prose of what should, by right, partake of the

nature of poetry. History cannot often be entirely poetical, or poetry
entirely historical. When Homer told the tale of Troy, he did not
make prose—or even history—of it. He everywhere infused into it ‘an
incomparable ardour’—he made an epic. But Mr. Thomas Hardy
wrote history in ‘The Dynasts,’ and made it an epic too. An epic—the
common definition tells us—is ‘a theme of action treated in heroic
proportions and style.’ ‘The Dynasts’ certainly is that—the struggle is
great, the issues are great, the men are great. Even more than their
heroic fighting, their speech and manners in the moment of action
are such as to show unfailingly by what a distinctive and ever-
present spirit national life may be sustained and magnified.
When we come to nearer times, and more familiar events, the
same necessity is upon us. What writer of artistic sense, or scientific
honesty, would touch, for example, the history of modern Egypt
without attempting to understand the character of such men as
Gordon and Cromer, and the spirit which (however personal and
diverse in its manifestations) they both drew from the nation that
sent them forth? Such an understanding would enable the narrator
to carry us all with him. For every man of our national birth and
breeding would feel, when he was told the story of such heroes, not
only their superiority but their likeness to himself. ‘There,’ he would
say, ‘but for lack of fortune, or opportunity, or courage, or stature,
there goes John Smith.’ It is admiration which helps us to feel that,
and a mean spirit which conceals it from us.
Further, it is my belief that the historian who would deal
adequately with our present War must have an even wider
understanding and sympathy. He must have a broad enough view to
recognise all the various motives which impelled us, section by
section, to enter the struggle; and a deep enough insight to perceive
that, below all motives which can be expressed or debated in words,
there was an instinct—a spontaneous emotion—which irresistibly
stirred the majority of our people, and made us a practically
unanimous nation. He must be able to see that this unanimity was
no freak—no sudden outburst—but the natural fulfilment of a strong
and long-trained national character; and he must trace, with grateful

admiration, the national service contributed by many diverse classes,
and by a large number of distinguished men—the leaders and
patterns of the rest. However scientific the historian’s judgments,
and however restrained his style, it must be impossible for any
reader to miss the real point of the narrative—the greatness of the
free nations, and the nobility of their heroes. Belgians, Serbians,
French, Italians, Americans—all must hear their great men
honoured, and their corporate virtues generously recognised. We
Britons, for our own part, must feel, at every mention of the names
of our champions, the fine sting of the invisible fire with which true
glory burns the heart. It must never be possible to read, without an
uplifting of the spirit, the achievements of commanders like Smith-
Dorrien, Haig, and Birdwood—Plumer and Rawlinson, Allenby and
Byng, and Horne; or the fate of Cradock and Kitchener; or the sea-
fights of Beatty and Sturdee, of Keyes and Tyrwhitt. It must be clear,
from the beginning to the end of the vast record, that the British
blood has equalled and surpassed its ancient fame—that in every
rank the old virtues of courage, coolness, and endurance, of ordered
energy and human kindliness, have been, not the occasional
distinction, but the common characteristics of our men. Look where
you will on the scene of war, you must be shown ‘a theme of action
treated in heroic proportions and style’—fit, at least, to indicate the
greatness of the national spirit.
In this book our concern is with the war at sea, and with a part
only of that gigantic effort. But of this part, every word that has
been said holds good. The submarine and anti-submarine campaign
is not a series of minor operations. Its history is not a mere episode
among chapters of greater significance. On the contrary, the fate of
Britain, and the fate of Germany, were speedily seen to be staked
upon the issue of this particular contest, as they have been staked
upon no other part of the world-wide struggle. The entrance of
America into the fellowship of nations was involved in it. The future
of civilisation depends upon it. Moreover, in its course the British
seaman has shown himself possessed, in the highest degree, of the
qualities by which his forefathers conquered and kept our naval

predominance; and finally, it is in the submarine war that we see
most sharply the contrast of the spirit of chivalry with the spirit of
savagery; of the law of humanity with the lawlessness of brute
force; of the possible redemption of social life with its irretrievable
degradation. It is a subject worthy, thrice over, of treatment in a
national epic.
The present book is not an epic—it is not a poetical work at all.
Half of it is mere technical detail; and the rest plain fact plainly told.
But it is far from my intention that the sense of admiration for
national heroes, or the recognition of national greatness, shall be
absent from it. I have used few epithets; for they seemed to me
needless and inadequate. The stories of the voyages and adventures
of our own submarines, and of the fighting of our men against the
pirates, need no heightening. They need only to be read and
understood; and it is chiefly with a view to their better
understanding, that the reader is offered a certain amount of
comment and description in the earlier chapters. But a suggestion or
two may be made here, at the very beginning, in the hope of
starting a train of thought which may accompany the narrative with
a whisper of historic continuity—a reminder that as with men, so
with nations—none becomes utterly base on a sudden, or utterly
heroic. Their vices and their virtues are the harvesting of their past.
Let us take a single virtue, like courage, which is common to all
nations but shows under a different form or colour in each, and so
becomes a national characteristic, plainly visible in action. A
historical study of British courage would, I believe, show two facts:
first, that the peculiar quality of it has persisted for centuries; and,
secondly, that if our people have changed at all in this respect, they
have only changed in the direction of greater uniformity. Once they
had two kinds of courage in war; now they have but one, and that
by far the better one. In the old days, among the cool and
determined captains of our race, there were always a certain
number of hot heads—‘men of courage without discipline, of
enthusiasm without reason, of will without science.’ The best of
them, like Sir Richard Grenville, had the luck to die conspicuously, in

their great moments, and so to leave us an example of the spirit that
defies odds, and sets men above the fear of death. The rest led their
men into mad adventures, where they perished to the injury of their
cause. Most Englishmen can understand the pure joy of onset, the
freedom of the moment when everything has been given for the
hope of winning one objective; but it has been the more
characteristic way of our people—at any rate for the last five
centuries—to double courage with coolness, and fight not only their
hardest but their best. From Cressy to Waterloo, and from Mons to
Arras, we have won many battles by standing steadily and shooting
the attack to pieces. Charges our men have made, but under
discipline and in the nick of opportunity. The Black Prince charged
fiercely at Poitiers; but it was only when he had broken three
attacks, and saw his chance to win. The charge of the Worcesters at
Gheluvelt, the charge of the Oxfords at Nonneboschen, and a
hundred more like them, were as desperate as any ‘ride of death’;
but they were neither reckless nor useless, they were simply the
heroic move to win the game. Still more is this the rule at sea.
Beatty at Jutland, like Nelson and Collingwood at Trafalgar, played an
opening in which he personally risked annihilation; but nothing was
ever done with greater coolness, or more admirable science. The
perfect picture of all courage is, perhaps, a great British war-ship in
action; for there you have, among a thousand men, one spirit of
elation, of fearlessness, of determination, backed by trained skill and
a self-forgetful desire to apply it in the critical moment. The
submarine, and the anti-submarine ship, trawler or patrol-boat are,
on a smaller scale, equally perfect examples; for there is no hour of
their cruise when they are not within call of the critical moment. In
the trenches, in the air, in the fleet, you will see the same steady
skilful British courage almost universally exemplified. But in the
submarine war, the discipline needed is even more absolute, the skill
even more delicate, the ardour even more continuous and self-
forgetful; and all these demands are even more completely fulfilled.
This is fortunate, and doubly fortunate; for the submarine war
has proved to be the main battlefield of our spiritual crusade, as well

as a vital military campaign. The men engaged in it have been
marked out by fate, as our champions in the contest of ideals. They
are the patterns and defenders of human nature in war, against
those who preach and practise barbarism. Here—and nowhere else
so clearly as here—the world has seen the death struggle between
the two spirits now contending for the future of mankind. Between
the old chivalry, and the new savagery, there can be no more truce;
one of the two must go under, and the barbarians knew it when they
cried Weltmacht oder Niedergang. Of the spirit of the German nation
it is not necessary to say much. Everything that could be charged
against them has been already proved, by their own words and
actions. They have sunk without warning women and children,
doctors and nurses, neutrals and wounded men, not by tens or
hundreds but by thousands. They have publicly rejoiced over these
murders with medals and flags, with songs and school holidays.
They have not only broken the rules of international law; they have
with unparalleled cruelty, after sinking even neutral ships, shot and
drowned the crews in open boats, that they might leave no trace of
their crimes. The men who have done—and are still doing—these
things have courage of a kind. They face danger and hardship to a
certain point, though, by their own account, in the last extreme they
fail to show the dignity and sanity with which our own men meet
death. But their peculiar defect is not one of nerve, but of spirit.
They lack that instinct which, with all civilised races, intervenes,
even in the most violent moment of conflict or desperation, and
reminds the combatant that there are blows which it is not lawful to
strike in any circumstances whatever. This instinct—the religion of all
chivalrous peoples—is connected by some with humanity, by some
with courtesy, by ourselves with sport. In this matter we are all in
the right. The savage in conflict thinks of nothing but his own violent
will; the civilised and the chivalrous are always conscious of the fact
that there are other rights in the world beside their own. The
humane man forbears his enemy; the courteous man respects him,
as one with rights like his own; the man with the instinct of sport
knows that he must not snatch success by destroying the very game
itself. The civilised nation will not hack its way to victory through the

ruins of human life. It will be restrained, if by no other consideration,
yet at least by the recollection that it is but one member of a human
fellowship, and that the greatness of a part can never be achieved
by the corruption of the whole.
The German nature is not only devoid of this instinct, it is roused
to fury by the thought of it. Any act, however cruel and barbarous, if
only it tends to defeat the enemies of Germany, is a good deed, a
brave act, and to be commended. The German general who lays this
down is supported by the German professor who adds: ‘The
spontaneous and elementary hatred towards England is rooted in
the deepest depths of our own being—there, where considerations
of reason do not count, where the irrational, the instinct, alone
dominates. We hate in the English the hostile principle of our
innermost and highest nature. And it is well that we are fully aware
of this, because we touch therein the vital meaning of this War.’
Before the end comes, the barbarian will find this hostile principle,
and will hate it, in the French, the Italians, the Americans—in the
whole fellowship of nations against which he is fighting with savage
fury. But, to our satisfaction, he has singled us out first; for, when
we hear him, we too are conscious of a spontaneous hatred in the
depths of our being; and we see that in this we do ‘touch the vital
meaning of this War.’

CHAPTER II
THE EVOLUTION OF THE SUBMARINE
Many are the fables which the Germans have done their best to
pass off for truth among the spectators of the present War; but not
one is more wilfully and demonstrably false, than their account of
the origin of the submarine. According to the story which they have
endeavoured to spread among the unthinking public in neutral
countries, the under-sea boat—the arm with which they claim to
have revolutionised naval warfare—is the product of German
ingenuity and skill. The French, they say, had merely played with the
idea; their submarines were costly toys, dangerous only to those
who tried to navigate them. The Americans had shown some
promise half a century ago; but having since become a pacifist race
of dollar-hunters, they had lost interest in war, and their boats would
be found useless in practice. As for the British, the day of their naval
power was past; they had spent their time and money upon the
mania for big ships, and neglected the more scientific vessel, the
submarine, which had made the big ships obsolete in a single year’s
campaign. The ship of the future, the U-boat, was the national
weapon of Germany alone.
The claim was unjustified; but, so far, it was not—to an
uninstructed neutral—obviously unjustified. The Americans were not
yet at war; the submarines of France and Britain were hardly ever
heard of. Our boats had few targets, and their operations were still
further restricted by the rules of international law, which we
continued to keep, though our enemies did not. Moreover, whatever

our Service did achieve was done secretly; and even our successes
were announced so briefly and vaguely as to make no impression.
The result was that the Germans were able to make out a plausible
title to the ‘command of the sea beneath the surface’; and they even
gained a hearing for the other half of their claim, which was
unsupported by any evidence whatever. The submarine is not, in its
origin, of German invention; the idea of submarine war was not a
German idea, nor have Germans contributed anything of value to the
long process of experiment and development by which the idea has
been made to issue in practical under-water navigation. From
beginning to end, the Germans have played their characteristic part.
They have been behind their rivals in intelligence; they have relied
on imitation of the work of others; on discoveries methodically
borrowed and adapted; and when they have had to trust to their
own abilities, they have never passed beyond mediocrity. They have
shown originality in one direction only—their ruthless disregard of
law and humanity. These statements are not the outcome of
partisanship, but of a frank study of the facts. They are clearly
proved by the history of submarine war.
That history may be said to begin with the second half of the
sixteenth century, when the two main principles or aims of
submarine war were first set forth—both by English seamen. Happily
the records remain. Sir William Monson, one of Queen Elizabeth’s
admirals, in his famous ‘Naval Tracts,’ suggests that a powerful ship
may be sunk much more easily by an under-water shot than by
ordinary gunfire. His plan is ‘to place a cannon in the hold of a bark,
with her mouth to the side of the ship: the bark shall board, and
then to give fire to the cannon that is stowed under water, and they
shall both instantly sink: the man that shall execute this stratagem
may escape in a small boat hauled the other side of the bark.’
This is the germinal idea from which sprang the submarine mine
or torpedo; and the first design for a submarine boat was also
produced by the English Navy in the same generation. The author of
this was William Bourne, who had served as a gunner under Sir
William Monson. His invention is described in his book of ‘Inventions

or Devices’ published in 1578, and is remarkable for its proposed
method of solving the problem of submersion. This is to be achieved
by means of two side-tanks, into which water can be admitted
through perforations, and from which it can be blown out again by
forcing the inner side of each tank outwards. These false sides are
made tight with leather suckers, and moved by winding hand-screws
—a crude and inefficient mechanism, but a proof that the problem
had been correctly grasped. For a really practical solution of this,
and the many other difficulties involved in submarine navigation, the
resources of applied science were then hopelessly inadequate. It
was not until after more than three hundred years of experiment
that inventors were in a position to command a mechanism that
would carry out their ideas effectively.
The record of these three centuries of experiment is full of
interest; for it shows us a long succession of courageous men taking
up, one after another, the same group of scientific problems and
bringing them, in spite of all dangers and disasters, gradually nearer
to a final solution. Many nations contributed to the work, but
especially the British, the American, the Dutch, the French, the
Spanish, the Swedish, the Russian, and the Italian. The part played
by each of them has been, on the whole, characteristic. The British
were the first, as practical seamen, to put forward the original idea,
gained from the experience of their rivalry with Spain. They have
also succeeded, at the end of the experimental period, in making the
best combined use of the results of the long collaboration. A
Dutchman built the first practical submarine, and achieved the first
successful dive. The Americans have made the greatest number of
inventions, and of daring experiments in earlier wars. The French
have shown, as a nation, the strongest interest in the idea, and their
navy was effectively armed with submarines ten years before that of
any other Power. To them, to the Dutch, and to the Italians, the
credit belongs of that indispensable invention, the optic tube or
periscope. The Swedes and Russians have the great names of
Nordenfelt and Drzewiecki to their credit. The Germans alone,
among the eight or nine nations interested in the science of naval

war, have from first to last contributed almost nothing to the
evolution of the submarine. The roll of submarine inventors includes
about 175 names, of which no less than 60 belong to the English-
speaking peoples, but only six to Germany. Among these six, the
name of Bauer is remembered as that of a courageous experimenter,
persevering through a career of repeated failures; but neither he,
nor any of his fellow countrymen, advanced the common cause by
the suggestion of a single idea of value. Finally, when the German
Admiralty, after the failure of their own Howaldt boat, decided to
borrow the Holland type from America, it was no German, but the
Franco-Spanish engineer d’Equevilley, who designed for them the
first five U-boats, of which all the later ones are modifications. The
English Admiralty were in no such straits. They were only one year
before the Germans in adopting the Holland type; but the native
genius at their disposal has enabled them to keep ahead of their
rivals from that day to this, in the design, efficiency, size, and
number of their submarine vessels. And this result is exactly what
might have been expected from the history of submarine invention.
The construction of a workable submarine depends upon the
discovery and solution of a number of problems, the first five of
which may be said to be the problems of—
1. Submersion.
2. Stability.
3. Habitability.
4. Propulsion and Speed.
5. Offensive Action.
If we take these in order, and trace the steps by which the final
solution was approached, we shall be able to confirm what has been
said about the work contributed by successive inventors.
1. Submersion.—We have seen that for submersion and return
to the surface, Bourne had at the very beginning devised the side-
tank to which water could be admitted, and from which it could be
‘blown out’ at will. Bushnell, a remarkable inventor of British-
American birth, substituted a hand-pump in his boat of 1771, for the

mechanism proposed by Bourne. In 1795, Armand-Maizière, a
Frenchman, designed a steam submarine vessel to be worked by ‘a
number of oars vibrating on the principle of a bird’s wing.’ Of these
‘wings,’ one lot were intended to make the boat submerge. Nothing
came of this proposal, and for more than a century tanks and pumps
remained the sole means of submersion. In 1893 Haydon, an
American, invented a submarine for the peaceful purpose of
exploring the ocean bed. Its most important feature was the method
of submersion. This was accomplished by means of an interior
cylindrical tank, with direct access to the sea, and fitted with two
powerfully geared pistons. By simply drawing the pistons in, or
pushing them out, the amount of water ballast could be nicely
regulated, and the necessity for compressed air or other expellants
was avoided. This device would have given great satisfaction to
William Bourne, the Elizabethan gunner, whose original idea, after
more than two centuries, it carried out successfully. Finally, in 1900,
the American inventor, Simon Lake, in his Argonaut II., introduced a
new method of diving. For the reduction of the vessel’s floatability he
employed the usual tanks; but for ‘travelling’ between the surface
and the bottom, he made use of ‘four big hydroplanes, two on each
side, that steer the boat either down or up.’ Similar hydroplanes, or
horizontal rudders, appeared in the later Holland boats, and are now
in common use in all submarine types.
Lake was of British descent, his family having emigrated from
Wales to New Jersey; but he owed his first interest in submarine
construction, and many of his inventive ideas, to the brilliant French
writer, Jules Verne, whose book ‘Twenty Thousand Leagues under
the Sea’ came by chance into his hands when he was a boy ten
years old, and made a lasting impression upon him.
2. Stability.—Next to the power of submersion, the most
necessary quality in a submarine is that of stability under water. The
most obvious method of securing this is by water ballast, which was
probably the first means actually employed. Bushnell, in 1771,
substituted a heavy weight of lead, as being more economical of
space and better suited to the shape of his boat, which resembled a

turtle in an upright position. The leaden ballast, being detachable at
will, also acted as a safety weight, to be dropped at a moment of
extreme urgency. In the Nautilus, built in 1800 by the famous
engineer, Robert Fulton, an American of English birth and education,
the leaden weight reappeared as a keel, and was entirely effective.
The inventor, in a trial at Brest in 1801, dived to a depth of 25 feet,
and performed successful evolutions in different directions for over
an hour. Bauer, fifty years later, returned to the ballast principle, and
used both a water-tank and a safety weight in the same boat. The
results were disastrous. His first submarine sank at her first trial in
Kiel harbour, and was never refloated. His second was built in
England; but this, too, sank, with great loss of life. His third, Le
Diable Marin, after several favourable trials at Cronstadt, fouled her
propeller in a bed of seaweed, and the releasing of the safety
weights only resulted in bringing her bows to the surface. The crew
escaped with difficulty, and the vessel then sank.
Three years later, in 1861, Olivier Riou designed two boats, in
both of which stability was to be preserved automatically by the
device of a double hull. The two cylinders which composed it, one
within the other, were not fixed immovably to one another, but were
on rollers, so that if the outer hull rolled to the right the inner rolled
to the left. By this counterbalancing effect, it was estimated that the
stability of the vessel would be absolutely secured; but nothing is
recorded of the trials of these boats. The celebrated French
inventors, Bourgois and Brun, reintroduced the principle of water-
tanks combined with a heavy iron ballast keel. But in 1881, the Rev.
W. Garrett, the English designer of the Nordenfelt boats, invented a
new automatic mechanism for ensuring stability. This consisted of
two vertical rudders with a heavy pendulum weight so attached to
them that, if the boat dipped out of the horizontal, the pendulum
swung down and gave the rudders an opposite slant which raised
the vessel again to a horizontal position. This arrangement, though
perfect in theory, in practice developed fatal defects, and subsequent
types have all returned to the use of water-tanks, made to

compensate, by elaborate but trustworthy mechanism, for every loss
or addition of weight.
3. Habitability.—For the habitability of a submarine the prime
necessity is a supply of air capable of supporting life during the
period of submersion. The first actual constructor of a submarine,
Cornelius van Drebbel, of Alkmaar, in Holland, was fully aware of this
problem, and claimed to have solved it, not by mechanical but by
chemical means. His improved boat, built in England about 1622,
carried twelve rowers, besides passengers, among whom King
James I. is said to have been included on one occasion, and was
successfully navigated for several hours at a depth of ten to fifteen
feet. ‘Drebbel conceived,’ says Robert Boyle, in 1662, ‘that ’tis not
the whole body of the air, but a certain Quintessence (as Chymists
speake) or spirituous part of it that makes it fit for respiration, which
being spent, the grosser body or carcase (if I may so call it) of the
Air, is unable to cherish the vital flame residing in the heart: so that
(for aught I could gather) besides the Mechanical contrivance of his
vessel he had a Chymical liquor, which he accounted the chief secret
of his Submarine Navigation. For when from time to time, he
perceived that the finer and purer part of the Air was consumed or
over-clogged by the respiration and steames of those that went in
his ship, he would, by unstopping a vessel full of the liquor, speedily
restore to the troubled air such a proportion of vital parts as would
make it again for a good while fit for Respiration.’
Drebbel, who was a really scientific man, may possibly have
discovered this chemical secret. If so, he anticipated by more than
200 years a very important device now in use in all submarines, and
in any case he was the originator of the idea. But his son-in-law, a
German named Kuffler, who attempted after Drebbel’s death to
exploit his submarine inventions, was a man of inferior ability, and
either ignorant of the secret or incapable of utilising it. For another
century and a half, submarine designers contented themselves with
the small supply of air which was carried down at the time of
submersion. Even the Turtle—Bushnell’s boat of 1776, which has
been described as ‘the first submarine craft which really navigated

under serious conditions’—was only built to hold one man with a
sufficient supply of air for half an hour’s submersion. This was a bare
minimum of habitability, and Fulton, twenty-five years later, found it
necessary to equip his Nautilus with a compressed air apparatus.
Even with this, the crew of two could only be supplied for one hour.
In 1827, the very able French designer, Castera, took out a patent
for a submarine life-boat, to which air was to be supplied by a tube
from the surface, protected by a float, from which the whole vessel
was suspended. The danger here was from the possible entry of
water through the funnel, and the boat, though planned with great
ingenuity, was never actually tried. Bauer, in 1855, fitted his Diable
Marin with large water-tubes, running for thirty feet along the top of
the boat and pierced with small holes from which, when desired, a
continual rain could be made to fall. This shower-bath had a
purifying effect on the vitiated air, but it had obvious disadvantages;
and there is no record of its having been put into actual use before
the unfortunate vessel sank, as before related. In the same year, a
better principle was introduced by Babbage, an English inventor, who
designed a naval diving-bell, fitted with three cylinders of
compressed air. His method was followed by Bourgois and Brun,
whose boats of 1863–5 carried steel reservoirs with compressed air,
at a pressure of at least 15 atmospheres. The principle was now
established, and was adopted in Holland and Lake boats, and in all
subsequent types, with the addition of chemical treatment of the
vitiated air.
4. Propulsion.—The various solutions of this problem have
naturally followed the successive steps in the development of
machinery. Drebbel made use of oars. Bushnell, though he speaks of
‘an oar,’ goes on to describe it as ‘formed upon the principle of the
screw—its axis entered the vessel, and being turned one way rowed
the vessel forward, but being turned the other way rowed it
backward: it was made to be turned by the hand or foot.’ Moreover,
he had a similar ‘oar’ placed at the top of the vessel, which helped it
to ascend or descend in the water. The conclusion seems
unavoidable that to this designer belongs the honour of having

invented the screw propeller, and also of having put it into successful
operation. Fulton adopted the same method of propeller and hand-
winch in his Nautilus; but his huge vessel, the Mute, built in 1814 to
carry 100 men, was driven by a silent steam-engine. He died during
the trials of this boat, and further experiment with it seems to have
been abandoned, possibly owing to the great interest excited by his
first war steamer, which was building at the same time. A regrettable
set-back was thus caused. For forty years no one experimented with
any kind of propulsory engine. Bauer, in 1855, could devise no better
method of working his propeller than a system of 7-foot wheels,
turned by a pair of men running on a treadmill. At the same
moment, however, a more fruitful genius was at work. A French
professor, Marié-Davy, designed a submarine in which the propeller
was driven by an electro-magnetic engine placed in the stern of the
ship, with batteries forward. The idea was a valuable one, with a
great future before it, though for the moment it achieved no visible
success. A year later, in 1855, the famous British engineer, James
Nasmyth, designed a ‘submerged mortar,’ which was in reality a ram
of great weight and thickness, capable of being submerged level
with the surface, and driven at a speed of over 10 knots by a steam-
engine with a single high-pressure boiler. But in spite of the
simplicity and power of this boat, it was finally rejected as being
neither invisible nor invulnerable to an armed enemy; and in their
desire to obtain complete submersion, the French inventors of the
next few years—Hubault, Conseil, and Masson—all returned to the
hand-winch method of propulsion. Riou, however, in 1861, adopted
steam for one of his boats, and electric power for the other; and in
1883 the American engineer, Alstitt, built the first submarine fitted
with both steam and electricity. Steam was also used in the Plongeur
of Bourgois and Brun, which was completed in the same year.
The American Civil War then gave a great opportunity for
practical experiments in torpedo attack; but the difficulty of wholly
submerged navigation not having been yet solved, the boats used
were not true submarines, but submersibles. Their propulsion was
by steam, and their dimensions small. A more ambitious invention

was put forward in 1869 by a German, Otto Vogel, whose design
was accepted by the Prussian Government. His submersible
steamship was to be heavily armed, and was ‘considered the equal
of a first-class iron-clad in defensive and offensive powers.’ These
powers, however, never came into operation.
Inventors now returned to the designing of true submarines; and
after the Frenchman, Constantin, the American, Halstead, and the
Russian, Drzewiecki, had all made the best use they could of the
hand-winch or the pedal for propulsion, three very interesting
attempts were made in 1877–8 to secure a more satisfactory engine.
Olivier’s boat, patented in May 1877–8, was to be propelled by the
gases generated from the ignition of high explosives, the massed
vapours escaping through a tube at the stern. This ingenious
method was, however, too dangerous for practical use. Surman’s
design of 1878 included a propeller, rotated by compressed air. But
the English boat of the same date, Garrett’s Resurgam, was much
the most noteworthy of the three, and introduced a method which
may in the future be brought to perfection with great results. In this
boat, the motive force was steam, and propulsion under water, as
well as on the surface, was aimed at and actually attained. In her
trials, the vessel showed herself capable of navigating under water
for a distance of 12 miles, by getting up a full head of steam in a
very powerful boiler, with the aid of a blower, before diving; then by
shutting the fire-door and chimney, and utilising the latent heat as
long as it would last. When the heat was exhausted, it was, of
course, necessary to return to the surface, slow up the fire again
and recharge the boiler with water. The vessel was remarkably
successful, and had the great merit of showing no track whatever
when moving under water. She was lost by an accident, but not until
she had impressed Nordenfelt, the Swedish inventor, so strongly that
he secured the services of her designer, Garrett, for the building of
his own submarine boats. The first of these appeared in 1881.
In the same year were patented Woodhouse’s submarine, driven
by compressed air, and Génoud’s, with a gas-engine worked by
hydrogen, which is said to have attained a speed of between four

and five knots. Blakesley, in 1884, proposed to use steam raised in a
fireless boiler heated by a chemical composition. In 1884, too,
Drzewiecki produced the fourth of his ingenious little boats, driven
this time not by pedals but by an electric motor. His example was
followed by Tuck of San Francisco shortly afterwards, and by
Campbell and Ash in their Nautilus, which in 1886 underwent very
successful trials in the West Indian Docks at Tilbury, near London. In
1886 D’Allest, the celebrated French engineer, designed a submarine
fitted with a petrol combustion engine. But the question of
propulsion may be said to have been finally settled, within a few
months after this, in favour of the electro-motor. For Gustave Zédé’s
famous Gymnote, which was actually put on the stocks in April 1887,
attained in practice a surface speed of 10 knots, and a maximum of
7 to 8 under water. This success saved future designers the trouble
of further experiments with ingenious futilities.
5. Offensive Action.—We have so far been considering the
development of the submarine as a vessel navigable under water,
without reference to the purpose of offence in war. But this purpose
was from the first in view; and with almost all the inventors
recorded, it formed the main incentive of their efforts. The evolution
of the submarine weapon has been much simpler, and more regular,
than that of the vessel which was to use it; but it has been equally
wonderful, and the history of it is equally instructive. Briefly, the
French, in this department as in the other, have shown the most
imaginative enthusiasm, the Americans the greatest determination to
achieve results—even with crude or dangerous means—while the
English have to their credit both the earliest attempts in actual war,
and the final achievement of the automobile torpedo. Of the
Germans, as before, we must record that they have contributed
nothing of any scientific value.
Sir William Monson’s device of a bark, with an under-water
cannon and an accompanying boat was soon developed by the
English navy into the more practicable mine, self-contained and
floating, to be towed by boat or submarine. In January, 1626, the
King gave a warrant to the Master of the Ordnance, ‘for the making

of divers water-mines, water-petards, and boates to goe under
water.’ In June of the same year, the Duke of Buckingham, then
commanding the naval expedition for the relief of La Rochelle, issued
a warrant ‘for the delivery of 50 water-mynes, 290 water-petards,
and 2 boates to conduct them under water.’ Pepys in his ‘Diary’ for
March 14, 1662, mentions a proposal by Kuffler of an ‘engine to
blow up ships.’ He adds, ‘We doubted not the matter of fact, it being
tried in Cromwell’s time, but the safety of carrying them in ships;’
and probably this distrust of Drebbel’s German subordinate proved
to be justified, for nothing more is heard of the design. The attempt
referred to as made ‘in Cromwell’s time’ may have been Prince
Rupert’s attack on Blake’s flagship, the Leopard, in 1650. The engine
then used was not a submarine one but an infernal machine,
concealed in an oil-barrel, brought alongside in a shore boat by men
disguised as Portuguese, and intended to be hoisted on board the
ship and then fired by a trigger and string. A more ingenious ‘ship-
destroying engine’ was devised by the Marquess of Worcester in
1655. This was evidently a clock-machine, for it might be affixed to a
ship either inside, by stealth, or outside by a diver, ‘and at an
appointed minute, though a week after, either day or night, it shall
infallibly sink that ship.’
The clock machine was actually first tried in action in 1776 by
Bushnell, or rather by Sergeant Lee, whom he employed to work his
Turtle for him. The attack by this submarine upon the Eagle, a
British 64-gun ship lying in the Hudson River, was very nearly
successful. The Turtle reached the enemy’s stern unobserved,
carrying a mine or magazine of 150 lbs. of powder, and provided
with a detachable wood-screw which was to be turned until it bit
firmly on the ship’s side. The mine was then to be attached to it, and
the clockwork set going. The wood-screw, however, bit upon some
iron fittings instead of wood, and failed to hold; the tide also was too
strong for Lee, who had to work the wood-screw and the propeller
at the same time. He came to the surface, was chased by a guard-
boat, and dived again, abandoning his torpedo, which drifted and
blew up harmlessly when the clockwork ran down. Lee escaped, but

the Turtle was soon afterwards caught and sunk by the British.
Bushnell himself, in the following year, attacked the Cerberus with a
‘machine’ consisting of a trigger-mine towed by a whale-boat. He
was detected, and his mine captured by a British schooner, the crew
of which, after hauling the machine on deck, accidentally exploded it
themselves, three out of the four of them being killed.
In 1802 Fulton’s Nautilus, in her trials at Brest, succeeded in
blowing up a large boat in the harbour. In 1814 his submersible, the
Mute, was armed with ‘columbiads,’ or immensely strong under-
water guns, which had previously been tried with success on an old
hulk. Similar guns were tried nearly fifty years later by the Spanish
submarine designer Monturiol. But the offensive weapon of the
period was the mine, and the ingenuity of inventors was chiefly
directed to methods of affixing it to the side or bottom of the ship to
be destroyed. One of these was the use of long gloves of leather or
rubber, protruding from the interior of the submarine, invented by
Castera in 1827, and adopted by Bauer, Drzewiecki, and Garrett in
succession. But the device was both unhandy and dangerous; there
would often be great difficulty in manœuvring the boat into a
position in which the gloves would be available, and they could not
be made thick enough to withstand the pressure of any depth of
water. Practical military instinct demanded a method of launching the
mine or torpedo against the target, and the first attempts were
made by placing a trigger-mine at the end of a spar carried by the
nose of the attacking boat. In October, 1863, during the American
Civil War, the forts of Charleston were in danger from the accurate
fire of the Federal battleship Ironsides, and Lieut. Glassell was
ordered to attack her in the submarine David. He had no difficulty in
getting near his enemy and exploding his torpedo, but he had
misjudged his distance, and only succeeded in deluging the
Ironsides with a column of water. The submarine was herself
severely injured by the explosion and had to be abandoned. A
second David, commanded by Lieut. Dixon, in February, 1864,
attacked the Housatonic, off the same harbour, and in spite of the
greatest vigilance on the part of Admiral Dahlgren’s officers,

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