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3.9: Models
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Climate models are tools used in climate research. They are attempts to synthesize our theoretical and empirical knowledge of the climate system in a computer code. This chapter describes how climate models are constructed, and how they are evaluated, and it discusses some applications.
a) Construction
Climate models solve budget equations numerically on a computer. The equations are based on the conservation of energy, momentum, and mass (air, water, carbon, and other relevant elements, substances, and tracers). Typically they are solved in separate boxes that represent specific regions of Earth’s climate system components (Figure \(\PageIndex{1}\)). Along their boundaries the boxes exchange energy, momentum and mass. Exchange with the flow of water or air from one box to another is called advection. Prognostic variables such as temperature, specific humidity in the atmosphere, or salinity in the ocean, and three velocity components (zonal, meridional, and vertical) are calculated in each box. The momentum equations, which are used to calculate the velocities, are based on Newton’s laws of motion and they include effects of the rotating Earth such as the Coriolis force. The temperature equations are based on the laws of thermodynamics. Thus, climate models represent the fundamental laws of physics as applied to Earth’s climate system.
The evolution of the prognostic variables in the interior boxes are solved one time step at a time (see equation B4.1.4 ). After the prognostic variables have been updated the fluxes between boxes (I and O) are calculated, which are used for the next time step. Then the prognostic variables are updated again using the fluxes, and so on. This procedure is called forward modeling because all model variables at the next time step are calculated only from the model variables at the previous time step and the boundary conditions without the use of observations. Boundary conditions such as the incident solar radiation at the top-of-the-atmosphere or concentrations of greenhouse gases are usually required as input to the calculations. These are also called radiative forcings. Other boundary conditions need to be applied at the lower boundary: the topography (mountains) and bathymetry (sea floor). To start a forward model simulation initial conditions need also to be provided. Those can be taken from observations or idealized distributions.
Climate models range from the simplest zero-dimensional (0D) Energy Balance Model (EBM) discussed in the theory chapter to the most complex three-dimensional General Circulation Models (GCMs). The range of models ordered with respect to complexity is called the hierarchy of climate models. The 0D-EBM can be expanded by solving the energy budget equation separately at different latitudinal bands. This is called the one-dimensional EBM (1D-EBM). The 1D-EBM is still vertically averaged but it includes energy exchange between latitudinal bands as discussed in the discussion of processes . Meridional energy transport in 1D-EBMs is typically treated as a diffusive process proportional to the temperature gradient, such that heat flows from warm to cold regions. 1D-EBMs typically treat the ocean and atmosphere as one box, so that one cannot distinguish between heat transport in the ocean and atmosphere.
One-dimensional models are also used for vertical energy transfer in the atmosphere. These are called radiative-convective models and they work similar to the models used to produce Fig. 4.6 in chapter 4 . Radiative-convective models themselves range in complexity from line-by-line models, which calculate radiative transfer in the atmosphere at individual wavelengths, to models that average over a range of frequencies (band models). Line-by-line models are computationally expensive and cannot be used in three-dimensional GCMs, which use band models. Band models are calibrated and tested by comparison to line-by-line models. As discussed in Chapter 4, radiative fluxes alone would cause a much warmer surface and much colder upper troposphere than observed. Therefore, radiative-convective models include convection, mostly by limiting the lapse rate to the observed or moist adiabatic rate.
Intermediate complexity models consist of 2D-EBMs, which are still vertically averaged but include zonal transport of energy and moisture (in this case they are called Energy-Moisture-Balance Models or EMBMs), zonally-averaged ocean models coupled to a 1D-EBM, and zonally averaged dynamical atmospheric models (resolving the Hadley circulation). Intermediate complexity models also often include biogeochemistry and land ice components. They are computationally relatively inexpensive and can be run for many thousands or even millions of years.
The first climate models developed in the 1960s were 1D-EBMs and simple GCMs of the atmosphere and ocean at very coarse resolution. Initially ocean and atmospheric models were developed separately and only later they were coupled. Coupling involves the exchange of heat and water fluxes and momentum at the surface. Current state-of-the-science coupled, three-dimensional GCMs also include sea ice and land surface processes such as snow cover, soil moisture and runoff of water through river drainage basins into the ocean. Many models also include dynamic vegetation with separate plant functional types such as trees and grasses. However, most current coupled GCMs that are used for future projections do not include interactive ice sheet components. This is because ice sheets have long equilibration (response) times of tens of thousands of years and therefore they need to be run for a much longer time than the other climate system components, which is currently not possible for most climate models.
The deep ocean has an equilibration time of about a thousand years. For future projections people are mostly interested in the next hundred or perhaps a few hundreds of years. For the most reliable and detailed projections on these timescales global climate modeling groups try to configure their models at the finest possible resolution . Currently the typical resolution is a few degrees (~200 km) in the horizontal directions and 20 to 30 vertical levels each in the atmosphere and ocean components. Finer resolution global models are being developed at various climate modeling centers around the world, but currently most climate projections of centennial and longer time scales are based on coarser resolution models (Fig. \(\PageIndex{2}\)).
Ice sheet models have finer spatial resolution (10s of kilometers) in order to resolve the narrow and steep ice sheet margin, but they have much larger time steps (1 year) than atmospheric (seconds) and ocean (minutes to hours) models because of the slow ice velocities (10-100 m/yr) compared to velocities of ocean currents (1-10 cm/s) or winds (1-10 m/s). The time step in a model depends on the velocity of the fluid and the grid-box size. The higher the velocity and the smaller the grid-box size the smaller the time step has to be to guarantee numerical stability. Finer resolution models therefore have to use smaller time steps, which is an additional burden on the computational resources. Another obstacle to move to higher resolution is the amount of data that accumulate. The highest resolution ocean model simulations currently require petabytes (10 15 bytes = 1000 terrabytes) of storage for all the model output. Processing these huge amounts of data is a challenge.
One way to avoid increasing computational resources at higher resolution is to construct regional climate models for a specific region of interest, e.g. North America. However, the disadvantage of regional climate models is that boundary conditions at the margins of the model domain have to be prescribed. The resulting solution in the interior depends strongly on those boundary conditions, which often are taken from global climate models. Therefore, any bias from the global climate model at the boundary would be propagated by the regional model into the interior of the model domain. However, in the interior the regional climate model can account for details e.g. of the topography, that a global model cannot. Thus, although not a silver bullet, regional climate models are useful for simulating climate in more spatial detail than possible with global models.
Typically the resolution and grids of the atmospheric and ocean components are different. Therefore, surface fluxes and variables needed to calculate the fluxes need to be mapped from one grid to the other. This is often accomplished by a coupler, which is software that does interpolation, extrapolation, and conservative mapping. All calculations need to be numerically sound such that energy, water, and other properties are conserved. However, numerical schemes, e.g. for the transport from one box to the next, are associated with errors and artifacts.
Models that include biogeochemistry , such as the carbon cycle , and/or ice sheets are called Earth System Models . Earth System Models calculate atmospheric CO 2 concentrations interactively based on changes in land and ocean carbon stocks. They can be forced directly with emissions of anthropogenic carbon, whereas models without carbon cycles need to be forced with prescribed atmospheric CO 2 concentrations.
Due to the limited resolution of the models, processes at spatial scales below the grid box size cannot be directly simulated. For example, individual clouds or convective updrafts in the atmosphere are often only a few tens or hundred meters in size and therefore cannot be resolved in global atmospheric models. Similarly, turbulence and eddies in the ocean, which are important for the transport of heat and other properties, cannot be resolved by global ocean models. These processes must be parameterized. A parameterization is a mathematical description of the process that depends on the resolved variables, e.g. the mean temperature in the grid box, and one or more parameters. A simple example of a parameterization is the meridional heat flux F m = -K∂T/∂y in a 1D-EBM, which can be parameterized as a diffusive process, where K>0 is the diffusivity, ∂T/∂y is the meridional temperature gradient and y represents latitude. This parameterization transports heat down-gradient (note the minus sign), which means from warmer to colder regions. In this case the parameter K can be determined from observations of meridional heat flux and ∂T/∂y . Parameterizations can be derived from empirical relationships based on detailed measurements or high-resolution model results. The parameter values are usually not precisely known but they influence the results of the climate model. Therefore, parameterizations are a source of error and uncertainty in climate models. Parameters in the cloud parameterization of a model, for example, will impact its cloud feedback and therefore its climate sensitivity.
b) Evaluation
Climate models are evaluated by comparing their output to observations. Figure \(\PageIndex{3}\) shows the multi model mean (the average of all models) from the most recent IPCC report (Flato et al., 2013). The model simulated surface temperature distribution is similar to the observations with warm (20-30°C) temperatures in the tropics and cold (<0°C) temperatures near the poles and at high altitudes (Himalayas). The models also reproduce some of the observed zonal gradients such as the cooler temperatures in the eastern equatorial Pacific compared to the western Pacific warm pool and the warmer temperatures in the northeast Atlantic compared to the northwest Atlantic, which are caused by the upper ocean circulation. However, the models are not perfect as indicated by biases such as too cold temperatures in the northern North Atlantic and too warm temperatures in the southeast Atlantic and Pacific. The warm biases in the southeast Atlantic and Pacific are most likely caused by the coarse resolution ocean models that do not resolve well the narrow upwelling in these regions. A similar bias is seen in the California current in the northeast Pacific. Despite these biases the multi model mean agrees with the observed temperatures to within plus/minus one degree Celsius in most regions. Even the larger regional biases such as those mentioned above are relatively small compared to the ~60°C range of temperature variations on Earth. This indicates that the models reproduce observed surface temperatures relatively well.
Fig. \(\PageIndex{4}\) shows the multi model mean precipitation. The models reproduce the general pattern of the observations ( Chapter 6, Fig. 6.8 ) such as more precipitation in the tropics and at mid-latitudes compared with less precipitation in the subtropics and at the poles. They also reproduce some of the observed zonal differences such as dryer conditions over the eastern parts of the subtropical ocean basins compared with wetter conditions further west. However, the models also display systematic biases such as the double Intertropical Convergence Zone (ITCZ) over the East Pacific and too dry conditions over the Amazon. The relative errors in precipitation are generally larger than those for temperature. This indicates that the models are better in simulating temperature than precipitation. This may not be surprising given that the simulation of precipitation depends strongly on parameterized processes such as convection and clouds
Fig. \(\PageIndex{5}\) compares correlation coefficients of different variables. It confirms our previous conclusion that the models are better in simulating temperature than precipitation. It also shows that the models have very good skill in simulating Emitted Terrestrial Radiation at the top-of-the-atmosphere, whereas they are less good at simulating clouds. The current generation of climate models (CMIP5) are improved compared with the previous generation (CMIP3) particularly for precipitation. Another interesting feature also apparent in Fig. \(\PageIndex{5}\) is that the the multi model mean is almost always in better agreement with the observations than any one particular model. A similar phenomenon, which has been called the wisdom of the crowd, has been noted by Sir Francis Galton (1907), who analyzed villager’s guesses for the weight of an ox at an English livestock fair. He found that many guesses where too high or too low, but the mean of all guesses was almost exactly the correct weight of the animal.
Fig. \(\PageIndex{6}\) shows that most models overestimate temperatures in the thermocline by about 1°C, presumably due to too much vertical diffusion. Again these errors are relatively small given the large range (~20°C) of deep ocean temperature variations. Model errors in salinity are larger near the surface than in the deep ocean. In the southern hemisphere subtropics near surface waters are too fresh, perhaps related to the double ITCZ bias and associated too wet conditions in the atmosphere there (Fig. \(\PageIndex{5}\)).
All climate models simulate an increasing ocean heat content over the last 40 years, consistent with observations. Some models simulate more and others less heat uptake. The multi model mean, however, is in good agreement with the observations. This indicates that the models are skillful not only in simulating the mean state of ocean temperatures but also its recent temporal evolution.
Historical and paleoclimate variations are also used to test and evaluate climate models as will be discussed next.
c) Applications
Some of the main applications of climate models are paleoclimate studies, detection and attribution studies, and future projections. Future projections will be discussed in the next chapter.
Paleoclimate model studies are not only useful for a better understanding of past climate changes and their impacts but they can also be used to evaluate the models. For example, model simulations of the Last Glacial Maximum (LGM) are broadly consistent with temperature reconstructions (see Chapter 3) that show global cooling of 4-5°C, polar amplification and larger changes over land than over the ocean. The models reproduce these basic features of the reconstructions, which indicates that they have skill simulating climates different from the present (Masson-Delmotte et al., 2013). On the other hand, there are also differences between model results and observations, e.g. in deep ocean circulation (Muglia et al., 2015), which indicates that model’s skills in those aspects are questionable.
Detection and attribution studies attempt to determine which observed climate changes are unusual (detection) and what are its causes (attribution). Climate models driven with only natural forcings show variations from one year to the next due to internal climate variability (e.g. El Niño) and short term cooling in response to large volcanic eruptions (Fig. \(\PageIndex{8}\)). However, they do not show a long-term warming trend over the past century, in contrast to the observations. This suggests that the global warming observed since about the 1970’s is highly unusual and cannot be explained by internal climate variability (as represented in the models) nor by natural drivers. However, if anthropogenic forcings are included the models reproduce very well the observed long term trend. The multi model mean also reproduces well the observed short term coolings associated with large volcanic eruptions of the past 50 years.
Models driven with both natural and anthropogenic forcings reproduce well not only the observed global mean temperature changes but also its spatial distribution such as larger warming at high northern latitudes (polar amplification) and over land (land-sea contrast). These results represent evidence that human activities are the main reason for the observed warming during the past 50-60 years. The IPCC’s AR5 concludes that “it is extremely likely that human activities caused more than half of the observed increase in GMST from 1951 to 2010” (Bindhoff et al., 2013).
Questions
Answer the following questions:
- How do climate models work? Describe the equations that are solved.
- When were the first climate models developed?
- What is the hierarchy of climate models?
- List three different types of climate models of different complexity.
- Which components of the climate system are currently included interactively in most climate models?
- Which components are currently not included in most models?
- What is an Earth System Model?
- What is the typical resolution of a General Circulation Model (include units)?
- How many layers does a typical three-dimensional climate model have in the ocean?
- How many does it have in the atmosphere?
- Are observations used in forward climate model simulations?
- What are some inputs (boundary conditions) required for a climate model simulation? List two.
- How are climate models evaluated?
- Which variable to climate models simulate better: temperature or precipitation?
- What are climate models used for? List two applications.
- How are climate models used to attribute recent climate change?
- What is the result of those attribution studies?
References
Bindoff, N.L., P.A. Stott, K.M. AchutaRao, M.R. Allen, N. Gillett, D. Gutzler, K. Hansingo, G. Hegerl, Y. Hu, S. Jain, I.I. Mokhov, J. Overland, J. Perlwitz, R. Sebbari and X. Zhang, 2013: Detection and Attribution of Climate Change: from Global to Regional. In: Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change [Stocker, T.F., D. Qin, G.-K. Plattner, M. Tignor, S.K. Allen, J. Boschung, A. Nauels, Y. Xia, V. Bex and P.M. Midgley (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
Flato, G., J. Marotzke, B. Abiodun, P. Braconnot, S.C. Chou, W. Collins, P. Cox, F. Driouech, S. Emori, V. Eyring, C. Forest, P. Gleckler, E. Guilyardi, C. Jakob, V. Kattsov, C. Reason and M. Rummukainen, 2013: Evaluation of Climate Models. In: Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change [Stocker, T.F., D. Qin, G.-K. Plattner, M. Tignor, S.K. Allen, J. Boschung, A. Nauels, Y. Xia, V. Bex and P.M. Midgley (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
Galton, F. (1097) Vox Populi, Nature , 75, 450-451. pdf
Masson-Delmotte, V., M. Schulz, A. Abe-Ouchi, J. Beer, A. Ganopolski, J.F. González Rouco, E. Jansen, K. Lambeck, J. Luterbacher, T. Naish, T. Osborn, B. Otto-Bliesner, T. Quinn, R. Ramesh, M. Rojas, X. Shao and A. Timmermann, 2013: Information from Paleoclimate Archives. In: Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change [Stocker, T.F., D. Qin, G.-K. Plattner, M. Tignor, S.K. Allen, J. Boschung, A. Nauels, Y. Xia, V. Bex and P.M. Midgley (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
Muglia, J., and Schmittner, A. (2015) Glacial Atlantic overturning increased by wind stress in climate models, Geophysical Research Letters , 42, doi:10.1002/2015GL064583.


20.10: SAT and College GPA
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Learning Objectives
- Predicting college GPA from high school scores
Research conducted by
Thomas W. MacFarland
Case study prepared by
Emily Zitek
Overview
When deciding whether to admit an applicant, colleges take lots of factors, such as grades, sports, activities, leadership positions, awards, teacher recommendations, and test scores, into consideration. Using SAT scores as a basis of whether to admit a student or not has created some controversy. Among other things, people question whether the SATs are fair and whether they predict college performance.
This study examines the SAT and GPA information of \(105\) students who graduated from a state university with a B.S. in computer science. Using the grades and test scores from high school, can you predict a student's college grades?
Questions to Answer
Can the math and verbal SAT scores be used to predict college GPA? Are the high school and college GPAs related?
Design Issues
The conclusions from this study should not be generalized to students of other majors.
Descriptions of Variables
| Variable | Description |
| high_GPA | High school grade point average |
| math_SAT | Math SAT score |
| verb_SAT | Verbal SAT score |
| comp_GPA | Computer science grade point average |
| univ_GPA | Overall university grade point average |
Data Files
SAT.xls
Links
Want a job? Hand over your SAT results! Is the SAT a fair test?
References
- None


2.1: Reading- Communicating the Value Proposition
What Is a Value Proposition?
We have discussed the complexity of understanding customer perceptions of value. As the company seeks to understand and optimize the value of its offering, it also must communicate the core elements of value to potential customers. Marketers do this through a value proposition, defined as follows:
A business or marketing statement that summarizes why a consumer should buy a product or use a service. This statement should convince a potential consumer that one particular product or service will add more value or better solve a problem than other similar offerings. [1]
It is difficult to create an effective value proposition because it requires the marketer to distill many different elements of value and differentiation into one simple statement that can be easily read and understood. Despite the challenge, it is very important to create an effective value proposition. The value proposition focuses marketing efforts on the unique benefit to customers. This helps focus the offering on the customer and, more specifically, on the unique value to the customer.
A value proposition needs to very simply answer the question: Why should someone buy what you are offering? If you look closely at this question it contains three components:
- Who? The value proposition does not name the target buyer, but it must show clear value to the target buyer.
- What? The offering needs to be defined in the context of that buyer.
- Why? It must show that the offering is uniquely valuable to the buyer.
How Do You Create an Effective Value Proposition?
When creating or evaluating a value proposition, it is helpful to step away from the long lists of features and benefits and deep competitive analysis. Stick to the simple, and strive for focus and clarity.
A value proposition should be clear, compelling, and differentiating:
- Clear: short and direct; immediately identifies both the offering and the value or benefit
- Compelling: conveys the benefit in a way that motivates the buyer to act
- Differentiating: sets the offering apart or differentiates it from other offerings
Also, the value proposition is a message, and the audience is the target customer. You want your value proposition to communicate, very succinctly, the promise of unique value in your offering.
Click on the link below to read a nice description of the value proposition from a marketing consultant’s perspective:
- “How to Write a Great Value Proposition” on Quick Sprout.
- Twin, Alexandra. "Value Proposition." Investopedia. Accessed September 10, 2019. http://www.investopedia.com/terms/v/valueproposition.asp ↵
Contributors and Attributions
- Communicating the Value Proposition. Provided by : Lumen Learning. License : CC BY: Attribution
- Apples--Stand Out. Authored by : Flazingo Photos. Located at : https://www.flickr.com/photos/124247024@N07/14086869112/ . License : CC BY-SA: Attribution-ShareAlike


11.9: Suggested Reading
American Heart Association. (2022). 2022 heart disease & stroke statistical update fact sheet: Global burden of disease . https://professional.heart.org/-/med...of-Disease.pdf
American Heart Association. (2022). Diet change may make biggest impact on reducing heart risk in people with hypertension . www.sciencedaily.com/release...0907105458.htm
American Heart Association. (2022). FAQ: Hands-only CPR . https://cpr.heart.org/-/media/CPR-Fi...ucm_494175.pdf
American Heart Association. (2023). Hands-only CPR training . https://cpr.heart.org/en/cpr-courses...hands-only-cpr
Gupta, N., Elnour, A., Sadeq, A., & Gupta, R. (2022). Diabetes and the heart: Coronary artery disease. E-Journal of Cardiology Practice , 22 (10). www.escardio.org/Journals/E-...artery-disease
LaMotte, S. (2022). Mediterranean diet named best for 2022 . CNN. https://www.cnn.com/2022/01/04/healt...ess/index.html


22.2: Keto-Enol Tautomerism
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Objectives
After completing this section, you should be able to
- write an equation to illustrate keto‑enol tautomerism.
- write a detailed mechanism for acid‑catalyzed keto‑enol tautomerism.
- write a detailed mechanism for base‑catalyzed keto‑enol tautomerism.
- draw the structure of the enol form of a given carbonyl compound.
Key Terms
Make certain that you can define, and use in context, the key terms below.
- enol
- keto
- tautomerism
- tautomers
- enolate ion
Study Notes
Keto‑enol tautomerism was first introduced in Section 9.4, in the discussion of the hydration of alkynes. The subject was raised again in the chapter entitled A Preview of Carbonyl Compounds, during the brief overview of the alpha‑substitution reactions of carbonyl compounds. You may wish to review these sections before proceeding.
Often, the position of a carbon atom near a carbonyl group is designated using Greek letters. The atom adjacent to the carbonyl is alpha, the next removed is beta and so on. The carbon in the carbonyl group is used as reference point and is not assigned a Greek letter. Likewise, hydrogens bare the same Greek letter as the carbon atoms to which they are attached. α-Hydrogens are bonded to α-carbons and β-hydrogens are bonded to β-carbons etc.
The presence of α-hydrogens in a molecule provides the possibility of certain chemical reactions, which will be discussed in this chapter and in Chapter 23 . Because of this, the ability to identify α-hydrogens is an important skill. As shown below, pentanal has two α-hydrogens. Note that aldehyde hydrogens are not given a Greek letter, they are simply referred to as an aldehyde hydrogen.
α-hydrogens, which are attached to a carbon directly adjacent to a carbonyl group, display unusual acidity. This is almost exclusively due to the resonance stabilization of the carbanion conjugate base, called an enolate, as illustrated in the diagram below. The effect of the the stabilizing C=O is seen when comparing the pK a for the α-hydrogens of aldehydes (~16-18), ketones (~19-21), and esters (~23-25) to that of a typical alkyl C-H bond (~40-50).
Example \(\PageIndex{1}\)
Indicate any α-hydrogens contained in the following molecules:
Solution
Keto-enol Tautomerization
Because of the acidity of α-hydrogens, many carbonyl containing compounds undergo a proton-transfer equilibrium called tautomerism. Tautomers are readily interconverted constitutional isomers, usually distinguished by a different location for an atom or a group. Because tautomers involve the rearrangement of atoms, they are distinctly different than resonance forms, which only differ in the position of bonds and lone pair electrons. This discussion focuses on carbonyl groups with α-hydrogens, which undergo keto-enol tautomerism. Keto implies that the tautomer contains a carbonyl bond while enol implies the presence of a double bond and a hydroxyl group.
The keto-enol tautomerization equilibrium is dependent on stabilization factors of both the keto tautomer and the enol tautomer. For simple carbonyl compounds under normal conditions, the equilibrium usually strongly favors the keto tautomer (acetone, for example, is >99.999% keto tautomer). The keto tautomer is preferred because it is usually more stable than the enol tautomer by about 45–60 kJ/mol, which is mainly due to the C=O double bond (-749 kJ/mol) being stronger than the C=C double bond (-611 kJ/mol). Because ketones have two alky groups donating electron density into the carbonyl carbon, they tend to be more stable and therefore less apt to form the enol tautomer than aldehydes. For example, propanal is 1000 times more likely to be in its enol tautomer than acetone. With carboxylic acid derivatives, the leaving group tends to stabilize the carbonyl through electron donation which makes the formation of the enol tautomer much less likely. In general, ketones are over 100,000,000 times more likely to be in an enol tautomer form than esters.
Aldehydes and symmetrical ketones typically only have one possible enol tautomer while asymmetrical ketones can have two or more. The preferred enol tautomer formed can be often be predicted by considering effects which can stabilize alkenes, such as conjugation and alkyl group substitution. The asymmetrical ketone, 2-methylcyclohexanone has two possible enol tautomers. Of the two tautomers, 2-methyl-1-cyclohexen-1-ol, is the more stable and therefore preferred due to the presence of an additional alkyl substituent. Likewise, 1-phenyl-1-propen-2-ol is the more stable enol tautomer of 1-phenyl-2-propanone due to conjugation with the phenyl ring.
1,3-Dicarbonyls
In certain cases additional stabilizing effects allow the enol tautomer to be preferred in the tautomerization equilibrium. In particular, the 1,3 arrangement of two carbonyl groups can work synergistically to stabilize the enol tautomer, increasing the amount present at equilibrium. The diketone, 2,4-pentanedione, is in its enol form 85% of the time under normal conditions. The positioning of the carbonyl groups allows for the formation of a stabilizing intramolecular hydrogen bond between the hydroxyl group of the enol and the carbonyl oxygen. The alkene group of the enol tautomer is also conjugated with the carbonyl double bond which provides additional stabilization. Both of these stabilizing effects are not possible in the keto tautomer.
Another effect which can stabile an enol tautomer is aromaticity. When considering the molecule 2,4-cyclohexadienone, the enol tautomer is the aromatic molecule phenol. The stabilization gained by forming an aromatic ring is sufficient to make phenol the exclusive tautomer present in the equilibrium.
Example \(\PageIndex{1}\)
Please all of the possible enol tautomers for the following compounds. If more than one is possible then indicate which is the most stable and why.
a)
b)
c)
Solution
a)
b)
c)
Mechanism for Catalyzed Keto-Enol Tautomerization
The enol tautomer has valuable nucleophilic characteristics. In neutral media, tautomerization is slow but it can be speed up by catalysis with acids or bases. Both pathways involve two separate proton transfer steps. Because enols are a key reactive intermediate, these mechanistic steps will be used repeatedly in later reactions. The following mechanistic steps represent the continuous interconversion between the keto and enol tautomers.
Overall Process
Acidic Conditions
Keto Tautomer → Enol Tautomer
In the first step, the carbonyl oxygen is protonated by an acid to form an intermediate oxonium ion. A base removes an α-hydrogen during the second step forming a double bond by an E2 type reaction. This causes the pi electrons of the protonated carbonyl to move to the oxygen to form the hydroxyl group of the enol product and regenerating the acid catalyst.
1) Protonation of the carbonyl to form an oxonium ion
2) Deprotonation of an α -hydrogen to form an enol
Enol Tautomer → Keto Tautomer
First, one of the lone pairs of electrons on the enol oxygen moves to form a pi bond with the adjacent carbon to create a oxonium ion. This also causes the pi bond electrons from the enol double bond to attack the electrophilic H + provided by acid catalyst forming a C-H bond in the α-position. This produced oxonium ion intermediate is subsequently deprotonated to form the neutral ketone and regenerate the acid catalyst.
1) Protonation at the α-carbon
2) Deprotonation
Under Basic Conditions
Keto Tautomer → Enol Tautomer
In the first step, a base removes an α-hydrogen from a carbonyl containing compound to form an alkene by an E 2 like process. The causes the pi electrons of the carbonyl bond to move onto the carbonyl oxygen to form an enolate anion. The oxygen of the enolate anion is protonated in the second step to create a neutral enol and regenerate the base catalyst.
1) Deprotonation of a α -hydrogen to form an enolate ion
2) Protonation the enolate ion to form an enol
l
Enol Tautomer → Keto Tautomer
The mechanistic return to the keto tautomer begins with deprotonation of the hydroxyl hydrogen to produce an enolate ion. Then lone pair electrons from the enolate anion attack an electrophilic H + through conjugation with the double bond. This simultaneously forms the carbonyl double bond, adds an alpha hydrogen, and regenerates the base catalyst.
1) Deprotonation of the enol hydrogen
2) Protonation of the α-carbon
Biological Enol Forming Reactions
One very important family of isomerase enzymes catalyzes the shifting of a carbonyl group in sugar molecules using a process called an carbonyl isomerization. Carbonyl isomerization often involves converting between a ketose and an aldose. (recall that the terms ketose and aldose refer to sugar molecules containing ketone and aldehyde groups, respectively).
Carbonyl Isomerization
Mechanism
Carbonyl isomerization can only occur if there is an OH group adjacent to the carbonyl. Isomerization forms an ene-diol intermediate which has both OH hydrogens available to be removed to form a carbonyl. If the hydrogen from the original OH group is removed a new carbonyl bond is formed.
Carbonyl isomerization is involved in the metabolism of carbohydrates (starches and sugars) to their eventual conversion to CO 2 and H 2 O. First, starches are broken down into glucose in the digestive tract. In the cells, the first step of the glycolysis pathway involves an enzyme converting glucose to glucose-6-phosphate. This is followed by the enzyme-catalyzed tautomerization of glucose-6-phosphate (an aldose) to fructose-6-phosphate (a ketose) through an enediol intermediate. Notice how the carbonyl has moved from the 1-carbon (terminal) to the 2-carbon.
Exercises
1) Draw the enol forms of the following molecules
- 4-methylcyclohexanone
- Ethyl thioactetate
- Methyl acetate
- Butanal
- 1-phenyl-2-butanone
2) How many α- hydrogen s do each of the molecules from the previous question have? Label them.
3) Draw all of the mono-enol forms for the following molecule. Which ones are most stable? Why?
4) Under normal conditions cyclohexanone exists in the enol tautomer in a much higher percentage than acetone. Explain.
5) The 1,3-dicarbonyl shown below is only as acidic as acetone and does not form a detectable amount of the enol tautomer. Please explain.
6) For the following compound please identify the most acidic hydrogen atom. Remember that for an enolate conjugate base to be stabilized through conjugation, the lone pair electrons need to be contained in a p orbital which is parallel to the p orbitals which form the C=O pi bond.
7) Nonconjugated ß, gamma-unsaturated ketones, such as 2-hexen-4-one, can be converted to their α, ß-unsaturated isomers by treatment with an acid catalyst. Please propose a mechanism for this isomerization.
Solutions
1)
(a)
(b)
(c)
(d)
(e)
2)
(a)
(b)
(c)
(d)
(e)
3)
Additional resonance forms stabilizes this enol.
This enol has fewer resonance forms and is therefore less stable.
4) The enol tautomer of cyclohexanone has more alky substituents than the enol tautomer of acetone. This makes the double bond of the enol double bond of cyclohexanone more stable and easier to form.
5) In many situations, the enol tautomer fo the a 1,3-dicarbonyl is preferred in the tautomerization equilibrium due to stabilizing effects created by the second carbonyl. However, in this case the alpha hydrogen used to create the enol tautomer is attached to a brigehead carbon of a bicyclic ring system. The positioning of the enol and the carbonyl prevents the formation of a stabilizing intramolecular hydrogen bond between the hydroxyl group of the enol and the carbonyl oxygen. Also, the inherent steric restrictions of a bicyclic ring system prevents the formation of a double bond using a bridgehead carbon. Instead, an enol tautomer of the molecule would be expected to form outside the 1,3-dicarbonyl. This enol lacks the stabilizing effects typical of a 1,3-dicarbonyl, so it is not preferred in the tautomerization equilibrium.
6) The presence of two methyl groups on one of the α -carbons of the carbonyl means that the two hydrogens on the other α -carbon may be deprotonated to form an enolate. When the indicated axial hydrogen is deprotonated the p-orbital formed is parallel with the carbonyl p-orbitals and can participate in overlap. If the equatorial hydrogen were to be deprotonated, the p-orbital formed would be perpendicular with the carbonyl p-orbitals and prevented from participating in overlap.
7)


10.3: Globalisation and the Wealth–Poverty Dynamic
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Globalisation is an important concept to add to the discussion of global wealth and poverty. It refers to a perception that the world is increasingly being moulded into a shared social space by economic and technological forces. Developments in one region of the world can have profound consequences for individuals and communities on the other side of the world. Central to the idea of globalisation is the perception of intensity. As a concept, globalisation is thus said to be ever increasing in scope, scale and speed to the point that it is effectively irrevocable. As such, globalisation is multi-dimensional. For example, globalisation is more than the goods that flow between geographically diverse communities. Globalisation includes not only the what, but also the how and the why, the frequency with which something occurs, the social consequences of this process and the range of people involved. Although the concept of globalisation is contested and subject to many different interpretations, it has clear relevance to the subject of this chapter.
It can be said that the process of becoming more interconnected as a set of nations has worked towards reducing poverty. Certainly the World Bank argues that globalisation has improved the material circumstances of those who have engaged in the global economy. Though such an analysis is accurate at one level, it fails to account for the structural conditions that influence poverty. An alternative view is that globalisation actually causes poverty by further entrenching inequality and concentrating any gains in the hands of those who are already wealthy and in powerful positions. For example, the internet has allowed many individuals to establish successful businesses and sell their goods all over the world. But how can you take advantage of this technology if you live in an area without access to the internet due to poor infrastructure, poverty or war? These citizens get left further behind and the inequalities that already exist are aggravated. Certainly, any analysis of the impact of globalisation on the wealth–poverty dynamic must recognise both of these perspectives. But, globalisation is a complex issue. If globalisation is only viewed in terms of ‘good’ and ‘bad’, we will not appreciate the multifaceted nature of global processes.
For the purposes of our analysis, globalisation has opened up many (primarily economic) opportunities, and this is evident in the reduction in numbers of those living in extreme poverty. This has dropped from over half the world’s population in 1981 to within reach of ten per cent today. This figure, from the World Bank, takes into account issues like inflation. But, it can also be said that globalisation has entrenched power relationships and inequalities and this has had material effects on poverty and inequality. A common critique relevant to our discussion on poverty is that globalisation is another word for ‘Americanisation’. According to this critique, many of the economic policies that supposedly ‘open up’ international markets are of benefit to US-based multinational corporations and create fertile ground internationally for American foreign policy objectives. On the other hand, globalisation can also be seen as hybridisation. This view was initially based on the creation of ‘new’ cultures and identities due to colonisation and the destruction of traditional indigenous groups. Applied to the processes of globalisation, hybridity has taken on a more positive character – framing globalisation as a series of processes that serve to benefit all sides involved in the exchange by promoting intercultural development and harmony.


3.3: Electric Potential Energy
By the end of this section, you will be able to:
- Define the work done by an electric force.
- Define electric potential energy.
- Apply work and potential energy in a system of a point charge in uniform electric field.
In this section, we begin to explore the use of energy to describe physical systems with electric charges through the definition of electric potential energy. Suppose a positively-charged particle is placed in between a positive plate and another equally-charged, parallel negative plate (Figure \(\PageIndex{1}\)). From Common Electric Field Models , we know that a nearly uniform electric field will exist between the plates directed from the positive plate to the negative plate. From Electric Fields and Forces , we also know that the electric field will exert a force on the positive charge in the same direction as the field. When the free positive charge \(q\) is accelerated by an electric field, it gains kinetic energy. The process is analogous to an object being accelerated by a gravitational field, as if the charge were going down an electrical hill where its electric potential energy is converted into kinetic energy, although, of course, the sources of the forces are very different. Let us explore the work done on a charge \(q\) by the electric field in this process, so that we may develop a definition of electric potential energy .
As we will demonstrate later, the electric force is a conservative force, which means that the work done on \(q\) is independent of the path taken. This is exactly analogous to the gravitational force. When a force is conservative, it is possible to define a potential energy associated with the force. It is usually easier to work with the potential energy (because it depends only on position) than to calculate the work directly.
Example \(\PageIndex{1}\) shows how the gravitational potential energy can be calculated for the analogous system of a mass in a gravitational field.
What is the gravitational potential energy of a mass \(m\) at a height \( y\) above the ground near the surface of the Earth?
Solution
From the example in Electric Fields and Forces , we know how to calculate the gravitational force on a mass from the nearly-constant gravitational field near the surface of the Earth. From the expression for work in Work and Energy , we can then calculate the work done on the mass by the gravitational force as the mass falls from an initial height to its final height. Because we know the gravitational force is a conservative force, we can then relate the work done on the mass to the change in the gravitational potential energy in the system.
Figure \(\PageIndex{2}\) shows a diagram of the system, including the gravitational field and gravitational force, in its initial state and then, after it has fallen, in its final state. Observe that the displacement is parallel to the gravitational force.
CALCULATE
The gravitational force on the mass is \(\vec{F}=m\vec{g}= mg (-\hat{j})\). The work done by the gravitational force on the mass during its displacement \( \Delta\vec{r} = (y_i - y_f) (-\hat{j}) \) is then
\[ W = \vec{F}\cdot\Delta\vec{r} = |\vec{F}| |\Delta \vec{r}| \cos 0^\circ = mg (y_i - y_f). \nonumber \]
For a conservative force, the change in the gravitational potential energy is
\[ \Delta U_G = -W = -mg(y_i - y_f) = mgy_f - mgy_i = U_f - U_i . \nonumber \]
Hence it follows that the gravitational potential energy
\[ U_G = mgy + U_0 , \label{PEgravity} \]
where \( U_0 \) is the value of the potential energy at the ground (\(y = 0\)). This value is arbitrary, and we choose to set it to zero for convenience. Only differences in energy are physically significant so adding a constant value will not affect the physical response of the system.
CHECK
We know from experience that the gravitational potential energy is greater at larger heights, which is consistent with the given result.
Observe that the parallel-charged plates create a uniform electric field much like the uniform gravitational field near the surface of the Earth. As a result, Example \(\PageIndex{2}\) shows that we can follow a similar analysis to find the electric potential energy of the system in Fig. \(\PageIndex{1}\).
What is the electrical potential energy of a charge \(q\) at a distance \( y \) away from the negative plate of the oppositely-charged parallel plates in Fig. \(\PageIndex{1}\)?
Solution
From Electric Fields and Forces , we know how to calculate the electric force on a charge. From the expression for work in Work and Energy , we then can calculate the work done on the charge by the electric force as the charge moves from its initial position to its final position. If we assume the electric force is a conservative force, we can then relate the work done on the charge to the change in the electrical potential energy in the system.
Figure \(\PageIndex{3}\) shows a diagram of the system, including the electric field and electric force, in its initial state and then, after the particle has moved, in its final state. Observe that the displacement is parallel to the electric force.
CALCULATE
The electric force on the charge is \(\vec{F}=q\vec{E}= qE (-\hat{j})\). The work done by the electric force on the charge during its displacement
\( \Delta\vec{r} = (y_i - y_f) (-\hat{j}) \) is then
\[ W = \vec{F}\cdot\Delta\vec{r} = |\vec{F}| |\Delta \vec{r}| \cos 0^\circ = qE (y_i - y_f). \nonumber \]
For a conservative force, the change in the gravitational potential energy is
\[ \Delta U_E = -W = -qE(y_i - y_f) = qEy_f - qEy_i = U_f - U_i . \nonumber \]
Hence it follows that the gravitational potential energy
\[ U_E = qEy + U_0 , \label{PEelectric} \ \ \ \ \ \text{(electric potential energy of point charge in a uniform field)} \]
where \( U_0 \) is the value of the potential energy at the ground (\(y = 0\)), which you could set to be zero, if you so choose. Note that while the figure shows a positive charge, all the steps in the calculation are still correct if the charge is negative.
CHECK
Equation \ref{PEelectric} shows that the electric potential energy is greater when the charge is further away from the negative plate. This result makes sense because the positive charge is attracted to the negative plate, and, thus, it will take work to push it away from the negative plate. Moreover, we know that the positive charge will accelerate toward the negative plate, thereby gaining kinetic energy. By conservation of energy, the increase in kinetic energy of the charge must come from a decrease in the electric potential energy of the charge as it moves toward the plate.
For the system in Fig. \(\PageIndex{1}\), we can construct an energy diagram (Fig. \(\PageIndex{1}\)). This energy diagram plots energy on the vertical axis and the distance from the negative plate on the horizontal axis. Given Equation \ref{PEelectric} with \(U_0 = 0\), the electric potential should be zero at the negative plate and then increase linearly away from the plate (recall that the positive y-axis is to the left). If a positively-charged particle is close to the negative plate and then is given a "kick" toward the positively charged plate, it will have a certain total amount of mechanical energy \(E_{mech}\). The difference between the total mechanical energy and electric potential energy \(U_E\) is then kinetic energy \(K\). However, the positive charge is repelled from the positive plate, and therefore should slow down. At some distance \(y_{max}\), the particle comes to a stop as the electric potential energy \(U_E = E_{mech}\) and therefore \(K = 0\). This position is called the turning point , as the particle will stop there, and then turn around and accelerate back toward the negative plate.
How will the energy diagram change if the particle in between the charged plates of Fig. \(\PageIndex{1}\) is negative?
- Answer
-
According to Equation \ref{PEelectric}, the potential energy will be still linear, but negatively-valued with its maximum at \(y=0\). As particles tend toward a lower energy state, this means that the particle will move to the left losing potential energy (becoming more negative) and gaining kinetic energy. This outcome is consistent with the force perspective because we expect that the negatively-charged particle will be attracted to the positive plate and will accelerate as it moves in that direction.
The electric potential energy of a charged particle in a uniform field is a good starting point for our discussion, but it is a special case. In the next section, we will consider the more general case of the electric potential energy of a point charge in the electric field created by other point charges.
References
- Ronald E. Kumon. [Internet] GravitationalPotential.png. (CC-BY-SA 4.0)
- Background Image : University Physics, Volume 2. OpenStax; 2021. Modifications by Ronald E. Kumon. [Internet] ElectricPotential_UniformField.png. (CC-BY-SA 4.0)
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Background Image
: University Physics, Volume 2. OpenStax; 2021. Modifications by Ronald E. Kumon. [Internet] ElectricPotential_UniformField.png. (CC-BY-SA 4.0)


18.6: Animal Industries and the Animal Trade
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- Jennifer Hasty, David G. Lewis, & Marjorie M. Snipes
- OpenStax
Learning Objectives
By the end of this section, you will be able to:
- Describe the evolution of zoos.
- Recognize the benefits of ecotourism.
- Define the use value of animals in biomedical research today.
In the past two centuries, Western societies have increasingly taken the approach of treating animals as a commodity —a raw material or resource for human use, a thing instead of a being. When we consider the relationships that many Indigenous societies have with animals, we can better realize how different the Western idea of animals is. Approaching the world and nature primarily as consumers rather than coequals, Western cultures face increasing environmental, socio-emotional, and resource-related challenges in all areas of life.
Zoos
Zoos have long been part of human societies. The earliest evidence of a zoo has been found in Hierakonpolis, the capital of Upper Egypt during the Predynastic period, today called Nekhen. Here, archaeologists have unearthed the mummified remains of a collection of wild and domesticated animals from about 5,000 years ago that included baboons, hippos, gazelles, crocodiles, a leopard, and cats and dogs. Some of the animals had injuries likely caused by being tied or enclosed in some way. Many of them were buried in the same way that humans were buried, and some were found inside human burials (Boissoneault 2015). Another famous historical zoo was that of the Aztec king Montezuma. When the Spaniards arrived in the Aztec capital of Tenochtitlán in 1519, they were surprised by the vast collection of animals housed in enclosures and rooms within the king’s palace complex, including jaguars, bears, eagles, deer, fowl, ocelots, and little dogs. According to the Spanish chroniclers, the zoo had some 300 keepers to care for the animals. Similar to early pet keeping, zoos were typically associated with wealth and status.
Modern zoos emerged in the late 18th century during the period known as the Enlightenment, characterized by the development of science and the expansion of colonial empires. European zoos were filled with wildlife from new colonies and “foreign” lands and were considered places to see strange and exotic animals. The first modern zoos opened in Paris in 1793, London in 1828, and Philadelphia in 1874. These were all very popular public institutions that exhibited animals for entertainment and observation. The zoos were laid out like public parks, with small animal enclosures that allowed people to get up close to see.
There have been many changes in zoos over the last 50 years. With the signing of the Convention on International Trade in Endangered Species of Wild Flora and Fauna (CITES) in 1973 and the passage of the Endangered Species Act in the United States the same year, wild animal imports to US zoos declined sharply. This coincided with the development of breeding and conservation programs at zoos, some of which involve breeding rare and endangered species to be released back into the wild as part of a sustainable population. One species for which breeding efforts are currently underway is the giant panda. Animals are commonly moved from one zoo site to another and shared for breeding purposes in an effort to fortify the breed. Animals that are endangered may be part of a zoo preservation program. In some cases, critically endangered animals are cared for by zoos when they are young and vulnerable to predators and then reintroduced into the wild. The website of the Association of Zoos and Aquariums (AZA) features a long list of animals whose populations have been preserved through the efforts of zoos, including the black-footed ferret, the California condor, the Ohio River basin freshwater mussel, the golden lion tamarin, and the Oregon spotted frog. Zoos also sponsor research programs with goals such as creating sustainable populations in the wild, conserving wildlife habitats, improving animal health, or even collecting endangered species’ genetic material (DNA) (DeMello 2012, 106).
What should be the role of zoos in contemporary Western societies? Should the zoo be closer to a theme park or a museum? Should the goal of a zoo be animal conservation or human recreation? These questions guide us as we continue to rethink the mission of zoos today.
Profiles in Anthropology
Barbara J. King (1956–)
Personal History: Born in New Jersey, King earned her BA from Douglass College (Rutgers University) and her MA and PhD from the University of Oklahoma, where she specialized in biological anthropology. Her doctoral field research in Amboseli National Park, Kenya, focused on foraging and social behaviors among yellow baboons. From 1988 to 2015, she served as professor of anthropology at the College of William & Mary in Williamsburg, Virginia, where she received numerous awards for outstanding teaching and mentorship. She is now a professor emerita, although she continues to have an active role in academia, research, publishing, and mentorship.
Area of Anthropology: King’s research and contributions to the field are notable for their broad-ranging relevance across anthropological subfields and disciplines, among them linguistic and communication systems in primates, social relationships between species, the primate origins of religious thought, and the social and emotional lives of various animal species, including those being factory farmed. Her anthropological focus is often on the continuities between humans and other animals and the ethics of human-animal relationships. She has published seven books and numerous scholarly articles.
Accomplishments in the Field: Given the four-field scope of much of King’s research, she has had considerable impact on many areas of academia. In 2002, King was awarded a Guggenheim Fellowship for “exceptional capacity for productive scholarship” and creativity. Two of her works, Evolving God: A Provocative View on the Origins of Religion (2007, Doubleday) and How Animals Grieve (2013, University of Chicago Press), have received prizes and awards as outstanding contributions to the field.
King is also an active public anthropologist, bridging gaps between academic research and the public. A contributor to the National Public Radio blog Cosmos and Culture from 2011 to 2018 and a full-time science writer since her retirement in 2015, King, through interviews, articles, and blogs, communicates the importance of science for public good and social change. Her research on animal grief, How Animals Grieve , was highlighted in her 2019 TED Talk, “ Grief and Love in the Animal Kingdom .” King also regularly reviews books for various media outlets, including NPR, the Washington Post , and the Times Literary Supplement , and publishes in Sapiens , an online anthropology magazine devoted to public outreach. She is a self-described Twitter addict (@bjkingape).
Importance of Their Work
In her public role, King seeks to educate and incentivize people to make positive change for human and animal lives. In her newest book, Animals’ Best Friends: Putting Compassion to Work for Animals in Captivity and in the Wild (University of Chicago Press, 2021), King issues a call to cultivate compassionate action toward all the animals sharing their lives with us. She challenges us to widen our lens on the world around us and become animals’ best friends, whether they are in our homes, in the wild, in a lab, in a zoo, or destined to be thought of as food. “When we still ourselves and genuinely see the more-than-human-world, possibilities for helping animals bloom all around us—we may rescue rather than squish a spider in our home; resist an urge to crowd wild animals in order to snap selfies; advocate for non-animal models in laboratory science; refuse to support roadside zoos or swim-with-dolphin programs; and increase our plant-based eating” (Snipes, personal communication, 2021). For more on King’s recent work, see her interview with nature writer Brandon Keim on Earth Day 2021.
Ecotourism
Another way in which contemporary Western societies are attempting to address the damage caused by a commodified view of the natural world, including the animals living in it, is through ecotourism . This is tourism designed to be sustainable and to help preserve the flora and fauna of endangered natural environments. Often, the focus is on visiting threatened environments and observing wildlife in its natural habitat. Such tourism can earn money to aid in the conservation of these areas, provide employment for local residents, and raise awareness of the importance of biological, as well as cultural, diversity. Ideally, care is taken to ensure that tourists visiting natural areas do not disturb or damage the environment; however, there are no global standards for ecotourism, and some sites are more successful at protecting sensitive environments than others. The term greenwashing is sometimes applied to sites that promote the natural environment as an attraction while engaging in exploitative and environmentally destructive behavior.
An example of effective and increasingly responsible ecotourism is provided by the Galápagos Islands. The Galápagos island chain was made famous by English naturalist Charles Darwin, who used his observations of the diversity of the ecosystem’s animals to develop the theory of natural selection. Located 563 miles west of the coast of Ecuador, the Galápagos were listed by UNESCO as a World Heritage Site in 1978. Prior to that, the islands were only partially protected. Some of the Galápagos Islands were designated as wildlife sanctuaries in 1934, and the island archipelago became an Ecuadorian national park in 1959. Around that time, a few wealthy tourists began to travel to the islands to view their extraordinary biodiversity. By the 1990s, tourism had become very popular and a tourist industry had developed, with hotels, restaurants, and transportation. Today, the Galápagos National Park Service, which manages 97 percent of the island lands (the other 3 percent are contained settlements where local people live), has strict policies limiting the daily number of visitors. Local people serve as employees in the park and teach the value of conservation to tourists. It is the hope of the Galápagos National Park Service and the local people that this island ecosystem and its living inhabitants—such as the Galápagos giant tortoise, the Galápagos penguin, the blue-footed booby, the flightless cormorant, and the waved albatross—will be preserved for future generations.
Animals and the Medical Industry
In 2015, there were estimated to be some 192 million animals being used in biomedical laboratories across 179 countries worldwide (Taylor and Alvarez 2019). These animals are used for medical experiments, drug testing, product testing, and psychological research. The most commonly used animals in US labs are mice, rats, and birds, though a range of other animals—including rabbits, guinea pigs, hamsters, farm animals such as pigs and sheep, cats, dogs, and nonhuman primates—are used as well (Humane Society of the United States 2021). These animals come from various sources, including breeding programs within the biomedical labs themselves.
Although biologists, chemists, animal behaviorists, psychiatrists, and psychologists tend to be more frequently involved in medical research with animals, anthropologists—especially primatologists and linguistic anthropologists—also have a history of working with animals in laboratory settings. Primatologist Sue Savage-Rumbaugh carried out long-term cognitive studies of two bonobos, Kanzi and Panbanisha, from birth. Savage-Rumbaugh was interested in understanding how bonobos, which are closely related to humans, learn communication. She developed a computer-based language program using lexigrams, or symbols representing words, printed on a keyboard. Although lacking the vocal apparatus of a human, Kanzi and Panbanisha demonstrated advanced cognitive linguistic skills by responding to human speech and generating language by pressing lexigrams. In one study comparing Kanzi’s language competence with that of a two-year-old human child, Kanzi scored significantly higher: 74 percent accuracy, compared to 65 percent accuracy for the two-year-old human (Savage-Rumbaugh et al. 1993). Studies such as this one shed light not only on animals’ abilities but also on the continuities that exist between humans and animals.
There are two primary regulations in the United States that pertain to biomedical research animals: the Animal Welfare Act (AWA) and the Public Health Service Policy on Humane Care and Use of Laboratory Animals (PHS Policy). The AWA is a law passed by Congress in 1966 that originally covered the transport, sale, and handling of some animals and advocated for more humane animal practices in laboratories. The act has been amended several times (1970, 1976, 1985, 1990, 1991, 2002, 2007, 2008, 2014), including to add a requirement that researchers register their use of animals and also consider a database of alternatives if the procedure can cause any distress or pain. The act cover animals such as dogs, cats, rabbits, and nonhuman primates, but it does not cover those animals most commonly used in laboratory experiments: rats, mice, and birds. The PHS Policy applies to all research facilities that perform animal research and receive any type of federal funding; though not itself a law, its creation was mandated by the Health Research Extension Act, passed by Congress in 1985. This policy states that each institution conducting such research must have an institutional animal care and use committee (IACUC) that reviews all proposed animal research experiments. This committee must include at least five members, one of whom must be a veterinarian and another a person not affiliated with the institution. When reviewing research proposals, the IACUC is expected to evaluate whether (1) basic standards are met, (2) the use of animals is justified, (3) the research is not duplicated, and (4) pain and discomfort for the animals are minimized. The United Kingdom and the European Union have similar measures to regulate and oversee animal laboratory research.
Animal research has been critical to many advances in medicine, including the development of the first human vaccine to successfully eradicate smallpox, the polio vaccine, and treatments for HIV/AIDS, Alzheimer’s disease, hepatitis, and malaria. Animals have played a crucial role in the development of many new drugs and therapies, and a significant amount of research conducted on animals also benefits veterinary medicine and other animals as well. However, the use of living animals for experiments and testing raises many ethical issues and has inspired a great deal of conflict and controversy.
Animals in Our Lives
Humans share their lives with animals in many ways, and how we think about ourselves as human beings rests primarily on the distinctions we see between ourselves and other species. English art critic and poet John Berger writes, “With their parallel lives, animals offer man a companionship which is different from any offered by human exchange. Different because it is a companionship offered to the loneliness of man as a species” ([1980] 1991, 6). Across cultures and across time, humans have looked toward animals as fellow participants in their lives. They actively participate in the ways we define ourselves. They feed us and accompany us. They work for us and protect us. They also serve as symbols and messengers that help us better understand our world. Our lives are intertwined in multiple ways.
What is an animal? What is the value of nonhuman animals in our lives? How do our attitudes about animals define who we are as human beings? Anthropologists and other researchers increasingly see the value of bringing animals into their research because animals are critical to understanding what it means to be human.
Ethnographic Sketches
Animal Familiarity
Experience of Marjorie Snipes, chapter author
During fieldwork in northwestern Argentina, I lived with a community of herders who tended goats and sheep, interviewing every day and taking copious notes. After six months of research, I took a two-week break from the field to return to the United States to welcome my new niece. When I returned to the field site, I had an accidental breakthrough.
However, let me back up. In this Andean community, herders believe that their flocks are gifts from Pachamama (Mother Earth), and women are the primary caretakers and shepherds for the animals. After I had lived in the community for about six weeks, one of the families gave me a small kid, or young goat, which I named Maisie. I suspected that this gift was a test to see if I was planning to be part of the community. I took care of Maisie every day, even though she remained a functioning member of another family’s herd.
Goats normally reproduce toward the end of their first year, and Maisie was pregnant when I left for my two-week absence from the field. While I was gone, she gave birth to a male that the family named Vicente Beda, after a Catholic saint. When I arrived back at the household where I was staying, late in the day, Doña Florentina was eager for me to meet the newest member of my herd. We entered the corral, and the young kid came running up to me with no fear. When I commented about the familiarity, as young animals tend to be skittish around new people, Florentina responded, “But he knows you, Margo.” And so I learned about the librito (little book) that they believe is located in the stomach area of each of their herd animals.
The librito contains information about an animal’s life: who loves it, where it belongs, and when it will die. It is the shepherd’s duty to discern the contents of the book through the animal’s behavior, as she cannot openly read it. Animals who get lost frequently or have trouble bonding with the herd will be traded, as families believe such animals do not belong to them. And when it is time to select an animal for slaughter, the shepherd chooses an animal whose behavior indicates that the time is appropriate. While the signs vary according to the animal’s disposition, it is normally a change of demeanor that the shepherd interprets as acquiescence. During slaughter, a woman typically holds the animal while a man cuts the throat. In all slaughters that I attended, the goat or sheep was killed peacefully, and butchering occurred quickly afterward—except one. The animal was a large ewe, and she was initially compliant with being handled, but at the moment that her throat was cut, her back feet scrambled and she tried to rise up. Everyone around me became very still and began to lower their voices, saying that it was not the right time for the ewe, that there had been a mistake. The shepherd had “made a mistake.”
The ewe was not butchered. She lay there for about an hour while the family discussed where to take her for burial. She was buried far away from the corral and household.
Mini-Fieldwork Activity
Multispecies Animal Observation
Ethnography increasingly utilizes methods aimed at incorporating a multitude of diverse voices. The purpose of this is not diversity for diversity’s sake but to more accurately reflect and understand the various interactions that may occur within any field encounter. In this fieldwork activity, you will experiment with multispecies ethnography. Choose a wild animal (e.g., pigeon, duck, squirrel, insect, etc.), and observe it (with no interaction) for at least 15 minutes. During the observation, make consistent notes every 30 seconds to one minute, writing down the animal’s behavior incrementally and how it interacts with its environment. Note also whether the animal seems to notice your presence or interact with you. Following the observation session, write up a multispecies ethnographic account, using the data you have collected to inform you of the possible intentions and thoughts of the animal as well as your own thoughts and reactions. Your write-up should be 500 to 750 words and should end with a paragraph reflecting on the experience of trying to write from an animal’s perspective (based on human observation). Turn in the original timed notes along with the final paper.
Suggested Films
Cave of Forgotten Dreams . 2010. Directed by Werner Herzog. Creative Differences.
Eduardo the Healer . 1978. Directed by Richard Cowan. Serious Business Company.
People of the Seal . 2009. Directed by Kate Raisz. NOAA Ocean Media Center.