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Prescott’s Microbiology, 10th Edition

1 The Evolution of Microorganisms and Microbiology

CHAPTER OVERVIEW
This chapter introduces the field of microbiology and discusses the importance of microorganisms not
only as causative agents of disease, but also as important contributors to food production, antibiotic
manufacture, vaccine development, and environmental management. It presents a brief history of the
science of microbiology and an overview of the microbial world. The origin of life and microbial
evolution is put in the context of microbial phylogenies.

LEARNING OUTCOMES
After reading this chapter students should be able to:
• differentiate the biological entities studied by microbiologists from those studied by other biologists.
• explain Carl Woese’s contributions in establishing the three domain system for classifying cellular life
• provide an example of the importance to humans of each of the major types of microbes.
• determine the type of microbe (e.g. bacterium, fungus, etc) when given a description of a
newly discovered microbe
• propose a time line of the origin and history of microbial life and integrate supporting evidence into it
• design a set of experiments that could be used to place a newly discovered cellular microbe on
a phylogenetic tree based on small subunit (SSU) rRNA sequences
• compare and contrast the definitions of plant and animal species, microbial species and
microbial strains
• evaluate the importance of the contributions to microbiology made by Hooke, Leewenhoek,
Pasteur, Koch, Cohn, Beijerinck, von Behring, Kitasato, Metchnikoff and Winogradsky
• outline a set of experiments that might be used to decide if a particular microbe is the causative
agent of a disease
• predict the difficulties that might arise when using Koch’s postulates to determine if a microbe
causes a disease unique to humans
• construct a concept map, table or drawing that illustrates the diverse nature of microbiology and
how it has improved human conditions
• support the belief held by many microbiologists that microbiology is experiencing its second
golden age

GUIDELINES FOR ANSWERING THE RETRIEVE, INFER,

APPLY QUESTIONS

As the name of this section implies, these questions range from first-order retrieval of information from the
preceding text to application of the content to open ended questions or scenarios. As such the answers are
either easily obtained from the text or may have many different answers that can be considered valid.
For this reason, we do not include these questions in the instructor’s manual.
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of McGraw-Hill Education.
 Prescott’s Microbiology, 10th Edition

GUIDELINES FOR ANSWERING THE MICRO INQUIRY QUESTIONS

Figure 1.1 How would you alter this concept map so that it also distinguishes the cellular organisms
from each other?
Modify this hierarchical concept map by adding a dichotomy between prokaryotes and eukaryotes
under the cellular classification. Bacteria (eubacteria) and archaea would be under prokaryotes and
fungi and protists under eukaryotes.

Figure 1.2 How many of the taxa listed in the figure include microbes?
All of them.

Figure 1.6 Why are the probionts pictured above not considered cellular life?
All cells contain DNA, RNA, and proteins, and can self replicate.

Figure 1.8 Why does the branch length indicate amount of evolutionary change but not the time it took
for that change to occur?
The lines on a phylogenetic tree indicate a measure of relatedness because they represent genetic
sequence divergence. They are not a measure of time because it is not known how much time was
needed for organisms to diverge because divergence is influenced by multiple factors.

GUIDELINES FOR ANSWERING THE COMPARE,

HYPOTHESIZE, INVENT QUESTIONS
1. Microscopic organisms such as rotifers are not studied by microbiologists. Why is this so?
See Key Concepts 1.1 a. While near-microscopic in size, rotifers are complex animals, with multiple
organ systems, and often over 1000 cells in their adult body.

2. Why aren’t viruses, viroids, satellites, and prions included in the three domain system?
Only cellular organisms are in taxonomic systems, because only they are descended from each other
with vertical gene transmission. Viruses do not reproduce, they are assembled (like machines). Viroids
and satellites are RNA, not organisms. Prions are proteins, not organisms.

3. Why was the belief in spontaneous generation an obstacle to the development of microbiology as
a scientific discipline?
If true, spontaneous generation of microorganisms would make them impossible to classify and would
prevent generalizations between microorganisms and larger organisms. If fact, prokaryotes are very
similar at the molecular and cellular level to eukaryotes, and most of what we understand about biology
at that level is from studying model bacteria, especially E. coli. Research surrounding the debate over
spontaneous generation was foundational in the field of microbiology.

4. Would microbiology have developed more slowly if Fanny Hesse had not suggested the use of
agar? Give your reasoning.
This is opinion, so various answers are possible. Just look for logical and factual support of their
argument. Relevant issues include the intrinsic resistance of agar to degradation as compared to gelatin,
and the necessity of solid media to obtain pure cultures by physical separation, which is much more
difficult in liquid media (dilution to extinction).

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 Prescott’s Microbiology, 10th Edition

5. Some individuals can be infected by a pathogen yet not develop disease. In fact, some become
chronic carriers of the pathogen. How does this observation affect Koch’s postulates? How might the
postulates be modified to account for the existence of chronic carriers?
In the carrier state, a host carries the pathogen without clinical symptoms. For example, approximately 20%
of college students carry Staphylococcus aureus in their nasal passages, with no ill effects. However,
it can cause disease (damage to the host) if they become immunocompromised. They can also transmit
the bacteria to others. Technically, this does not relate to Koch’s postulates because they are designed to
isolate the causative agent of a disease, and the carrier state is not disease. The bottom line is that while
Koch’s postulates certainly do not apply in every case and they have limitations, they were of tremendous
historical importance in demonstrating experimentally the germ theory of disease, which was a
tremendous advance in modern medicine.

6. Develop a list of justifications for the usefulness of microorganisms as experimental

models. -easy to culture and manipulate, easy to store in frozen state
-genetic manipulation (adding DNA or removing DNA) is straightforward because single-celled
and haploid
-large numbers easy to grow, very short generation times, inexpensive media
-all basic central cell processes (replication, transcription, translation) is conserved across all
life -no limitations based on animal safety and use rules

7. History is full of examples in which one group of people lost a struggle against another.
a. Choose an example of a battle or other human activity such as exploration of new territory and determine
the impact of microorganisms, either indigenous or transported to the region, on that activity.
Tetanus and World War II, malaria and the building of the Panama canal, world trade travel and the
bubonic plague spreading across Europe in the 14th century, the down-turn of Napoleon’s march into
Russia; the truncation of the conquests of Alexander the Great and Attila the Hun, the success of
relatively few Spanish conquistadors aided by smallpox, the casualties of the Civil War in the United
States and WWI due to sepsis, and ergotism and the Salem witch trials are just some examples.
b. Discuss the effect that the microbe(s) had on the outcome in your example.
In most of those cases, a microbe new to an area was brought in by human activity (emerging infectious
disease). For example, the Spaniards were already relatively resistant to smallpox, and they brought this
virus to a naive population in Central America, thus it spread extremely rapidly.
c. Suggest whether the advent of antibiotics, food storage and preparation technology, or
sterilization technology would have made a difference in the outcome.
Vaccines and antibiotics would have helped with the spread of tetanus, smallpox, and the plague.
Antimalarial prophylaxis would have helped in the success of building the Panama Canal. Correct food
storage would have reduced rats that spread the plague and ergotism. Knowledge of mold
contamination would have reduced cases of ergotism.

8. Antony van Leeuwenhoek is oft en referred to as the father of microbiology. However, many
historians feel that Louis Pasteur, Robert Koch, or perhaps both, deserve that honor. Decide who should
be considered the father of microbiology and justify your decision.
This is purely opinion, so judge based on inclusion of appropriate facts and making a logical argument.
Leeuwenhoek’s major contribution is the microscope and careful observations of microorganisms and
cellular structures. Pasteur has numerous contributions related to vaccines, development of germ theory,
disproval of spontaneous generation, development of sterilization procedures, and understanding of
fermentation. Koch also had numerous contributions related to experimental demonstration of germ
theory, identification of pathogens, and methods of bacterial pure culture.

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 Prescott’s Microbiology, 10th Edition

9. Consider the discoveries described in sections 1.3 and 1.4. Which do you think were the most
important to the development of microbiology? Why?
Numerous possible answers. Be sure they are factual, and make a logical argument.

10. Support this statement: “Vaccinations against various childhood diseases have contributed to
the entry of women, particularly mothers, into the full-time workplace.”
-children spent less time being sick, thus mothers spend less time away from work
-because childhood mortality has been lowered and thus more children survive to adulthood, this may
contribute to fewer children on average to each family, thus less childcare burden on the mother
-A number of sites including NORC (National Opinion Research Center) have compiled
statistics comparing vaccination with employment statistics.

11. Scientists are very interested in understanding when cyanobacteria first emerged because, as the first
organisms capable of oxygenic photosynthesis, it is thought that they triggered a sharp rise in atmospheric
oxygen. For many years, certain lipid biomarkers have served as “molecular fossils” to date the first
appearance of cyanobacteria. However, a 2010 study questioned whether these lipids provide accurate
information in light of a 2007 discovery that they also are produced by an anoxygenic phototrophic
bacterium—a bacterium that does not produce oxygen as it uses light energy. The authors of the 2010 study
identified genes in extant bacteria involved in synthesis of the lipid biomarkers and then constructed
phylogenetic trees based on comparisons of these genes. They also identified the phyla to which the bacteria
belonged (based on SSU rRNA analysis) and noted the habitats and metabolic capabilities of the bacteria
used in the study. Discuss the specific challenges encountered in the study of microbial evolution. What results
from the phylogenetic analysis would support their claim that 2-methylhopanoids are not
reliable biomarkers? Why were habitat and metabolic characteristics also part of their analysis? Read the
original paper: Welander, P. V., et al. 2010. Identification of a methylase required for 2-
methylhopanoid production and implications for the interpretation of sedimentary hopanes.
Proc. Natl. Acad. Sci. 107 (19):8537.
Microbial evolution is difficult to study because events took place billions of years ago and the microbial
fossil record is very sparse. Furthermore, there is the problem of contamination from nonindigenous markers
in samples such as is seen with hydrocarbon biomarkers. In comparison, the use of molecular markers such
as SSU rRNA nucleotide sequences in current bacterial samples are compared with relative ease. The greater
the difference in sequence the greater the evolutionary divergence.

12. It is possible to artificially create bacterial cells that completely lack a cell wall. The resulting cells,
called L-forms, can be maintained and cultured. L-forms have been known for many years and have been
of interest because of their unusual physiological characteristics. One of their most unusual features is that
they reproduce by becoming deformed and then “falling apart,” producing two or more additional L-
forms. The progeny L-forms then grow larger and reproduce by a similar method. This is done without the
aid of the normal division machinery. In 2013 scientists in the United Kingdom reported their attempts
to understand how L-forms “divide.” They generated mutant strains of Bacillus subtilis L-forms that
promoted L-form proliferation. The only mutations found with this effect were those that increased
production of membrane lipids. They argued that these lipids were inserted into the L-form membrane
and that this increased the surface area of the L-forms without increasing their volume. The increased
surface-to-volume ratio caused the cells to assume unusual shapes and experience torsional stress. The
torsional stress served as the biophysical force causing the L-forms to split apart. They also suggested
that the study of L-form division provided a good model for how primitive cells divided before the
evolution of the complex division machinery that exists in modern cells. Why did they suggest this? Do
you agree? Explain your answer.
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The Project Gutenberg eBook of Address of President
Roosevelt at Chautauqua, New York, August 11, 1905
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Title: Address of President Roosevelt at Chautauqua, New York, August

11, 1905

Author: Theodore Roosevelt

Release date: June 14, 2022 [eBook #68309]

Language: English

Original publication: United States: Government Printing Office, 1905

Credits: Donald Cummings and the Online Distributed Proofreading

Team at https://www.pgdp.net (This file was produced from
images generously made available by The Internet
Archive/American Libraries.)

*** START OF THE PROJECT GUTENBERG EBOOK ADDRESS OF

PRESIDENT ROOSEVELT AT CHAUTAUQUA, NEW YORK,
AUGUST 11, 1905 ***
Transcriber’s Note: The cover image was created from the title page by the
transcriber, and is placed in the public domain.
 ADDRESS OF PRESIDENT
ROOSEVELT
AT CHAUTAUQUA, NEW YORK,
AUGUST 11, 1905

WASHINGTON
GOVERNMENT PRINTING OFFICE
1905
 To-day I wish to speak to you on one feature of our national foreign
policy and one feature of our national domestic policy.
The Monroe Doctrine is not a part of international law. But it is the
fundamental feature of our entire foreign policy so far as the Western
Hemisphere is concerned, and it has more and more been meeting with
recognition abroad. The reason why it is meeting with this recognition is
because we have not allowed it to become fossilized, but have adapted
our construction of it to meet the growing, changing needs of this
hemisphere. Fossilization, of course, means death, whether to an
individual, a government, or a doctrine.
It is out of the question to claim a right and yet shirk the responsibility
for exercising that right. When we announce a policy such as the Monroe
Doctrine we thereby commit ourselves to accepting the consequences of
the policy, and these consequences from time to time alter.
Let us look for a moment at what the Monroe Doctrine really is. It
forbids the territorial encroachment of non-American powers on
American soil. Its purpose is partly to secure this Nation against seeing
great military powers obtain new footholds in the Western Hemisphere,
and partly to secure to our fellow-republics south of us the chance to
develop along their own lines without being oppressed or conquered by
non-American powers. As we have grown more and more powerful our
advocacy of this doctrine has been received with more and more respect;
but what has tended most to give the doctrine standing among the nations
is our growing willingness to show that we not only mean what we say
and are prepared to back it up, but that we mean to recognize our
obligations to foreign peoples no less than to insist upon our own rights.
We can not permanently adhere to the Monroe Doctrine unless we
succeed in making it evident in the first place that we do not intend to
treat it in any shape or way as an excuse for aggrandizement on our part
at the expense of the republics to the south of us; second, that we do not
intend to permit it to be used by any of these republics as a shield to
protect that republic from the consequences of its own misdeeds against
foreign nations; third, that inasmuch as by this doctrine we prevent other
nations from interfering on this side of the water, we shall ourselves in
good faith try to help those of our sister republics, which need such help,
upward toward peace and order.
As regards the first point we must recognize the fact that in some
South American countries there has been much suspicion lest we should
interpret the Monroe Doctrine in some way inimical to their interests.
Now let it be understood once for all that no just and orderly government
on this continent has anything to fear from us. There are certain of the
republics south of us which have already reached such a point of
stability, order, and prosperity that they are themselves, although as yet
hardly consciously, among the guarantors of this doctrine. No stable and
growing American republic wishes to see some great non-American
military power acquire territory in its neighborhood. It is the interest of
all of us on this continent that no such event should occur, and in
addition to our own Republic there are now already republics in the
regions south of us which have reached a point of prosperity and power
that enables them to be considerable factors in maintaining this doctrine
which is so much to the advantage of all of us. It must be understood that
under no circumstances will the United States use the Monroe Doctrine
as a cloak for territorial aggression. Should any of our neighbors, no
matter how turbulent, how disregardful of our rights, finally get into such
a position that the utmost limits of our forbearance are reached, all the
people south of us may rest assured that no action will ever be taken save
what is absolutely demanded by our self-respect; that this action will not
take the form of territorial aggrandizement on our part, and that it will
only be taken at all with the most extreme reluctance and not without
having exhausted every effort to avert it.
As to the second point, if a republic to the south of us commits a tort
against a foreign nation, such, for instance, as wrongful action against
the persons of citizens of that nation, then the Monroe Doctrine does not
force us to interfere to prevent punishment of the tort, save to see that the
punishment does not directly or indirectly assume the form of territorial
occupation of the offending country. The case is more difficult when the
trouble comes from the failure to meet contractual obligations. Our own
Government has always refused to enforce such contractual obligations
on behalf of its citizens by the appeal to arms. It is much to be wished
that all foreign governments would take the same view. But at present
this country would certainly not be willing to go to war to prevent a
foreign government from collecting a just debt or to back up some one of
our sister republics in a refusal to pay just debts; and the alternative may
in any case prove to be that we shall ourselves undertake to bring about
some arrangement by which so much as is possible of the just obligations
shall be paid. Personally I should always prefer to see this country step in
and put through such an arrangement rather than let any foreign country
undertake it.
I do not want to see any foreign power take possession permanently or
temporarily of the custom-houses of an American republic in order to
enforce its obligations, and the alternative may at any time be that we
shall be forced to do so ourselves.
Finally, and what is in my view, really the most important thing of all,
it is our duty, so far as we are able, to try to help upward our weaker
brothers. Just as there has been a gradual growth of the ethical element in
the relations of one individual to another, so that with all the faults of our
Christian civilization it yet remains true that we are, no matter how
slowly, more and more coming to recognize the duty of bearing one
another’s burdens, similarly I believe that the ethical element is by
degrees entering into the dealings of one nation with another.
Under strain of emotion caused by sudden disaster this feeling is very
evident. A famine or a plague in one country brings much sympathy and
some assistance from other countries. Moreover, we are now beginning
to recognize that weaker peoples have a claim upon us, even when the
appeal is made, not to our emotions by some sudden calamity, but to our
consciences by a long continuing condition of affairs.
I do not mean to say that nations have more than begun to approach
the proper relationship one to another, and I fully recognize the folly of
proceeding upon the assumption that this ideal condition can now be
realized in full—for, in order to proceed upon such an assumption, we
would first require some method of forcing recalcitrant nations to do
their duty, as well as of seeing that they are protected in their rights.
In the interest of justice, it is as necessary to exercise the police power
as to show charity and helpful generosity. But something can even now
be done toward the end in view. That something, for instance, this Nation
has already done as regards Cuba, and is now trying to do as regards
Santo Domingo. There are few things in our history in which we should
take more genuine pride than the way in which we liberated Cuba, and
then, instead of instantly abandoning it to chaos, stayed in direction of
the affairs of the island until we had put it on the right path, and finally
gave it freedom and helped it as it started on the life of an independent
republic.
Santo Domingo has now made an appeal to us to help it in turn, and
not only every principle of wisdom but every generous instinct within us
bids us respond to the appeal. The conditions in Santo Domingo have for
a number of years grown from bad to worse until recently all society was
on the verge of dissolution. Fortunately just at this time a wise ruler
sprang up in Santo Domingo, who, with his colleagues, saw the dangers
threatening their beloved country, and appealed to the friendship of their
great and powerful neighbor to help them. The immediate threat came to
them in the shape of foreign intervention. The previous rulers of Santo
Domingo had recklessly incurred debts, and owing to her internal
disorders she had ceased to be able to provide means of paying the debts.
The patience of her foreign creditors had become exhausted, and at least
one foreign nation was on the point of intervention and was only
prevented from intervening by the unofficial assurance of this
Government that it would itself strive to help Santo Domingo in her hour
of need. Of the debts incurred some were just, while some were not of a
character which really renders it obligatory on, or proper for, Santo
Domingo to pay them in full. But she could not pay any of them at all
unless some stability was assured.
Accordingly the Executive Department of our Government negotiated
a treaty under which we are to try to help the Dominican people to
straighten out their finances. This treaty is pending before the Senate,
whose consent to it is necessary. In the meantime we have made a
temporary arrangement which will last until the Senate has had time to
take action upon the treaty. Under this arrangement we see to the honest
administration of the custom-houses, collecting the revenues, turning
over forty-five per cent to the Government for running expenses and
putting the other fifty-five per cent into a safe deposit for equitable
division among the various creditors, whether European or American,
accordingly as, after investigation, their claims seem just.
The custom-houses offer well-nigh the only sources of revenue in
Santo Domingo, and the different revolutions usually have as their real
aim the obtaining possession of these custom-houses. The mere fact that
we are protecting the custom-houses and collecting the revenue with
efficiency and honesty has completely discouraged all revolutionary
movement, while it has already produced such an increase in the
revenues that the Government is actually getting more from the forty-
five per cent that we turn over to it than it got formerly when it took the
entire revenue. This is enabling the poor harrassed people of Santo
Domingo once more to turn their attention to industry and to be free
from the curse of interminable revolutionary disturbance. It offers to all
bona fide creditors, American and European, the only really good chance
to obtain that to which they are justly entitled, while it in return gives to
Santo Domingo the only opportunity of defense against claims which it
ought not to pay—for now if it meets the views of the Senate we shall
ourselves thoroughly examine all these claims, whether American or
foreign, and see that none that are improper are paid. Indeed, the only
effective opposition to the treaty will probably come from dishonest
creditors, foreign and American, and from the professional revolutionists
of the island itself. We have already good reason to believe that some of
the creditors who do not dare expose their claims to honest scrutiny are
endeavoring to stir up sedition in the island, and are also endeavoring to
stir up opposition to the treaty both in Santo Domingo and here, trusting
that in one place or the other it may be possible to secure either the
rejection of the treaty or else its amendment in such fashion as to be
tantamount to rejection.
Under the course taken, stability and order and all the benefits of
peace are at last coming to Santo Domingo, all danger of foreign
intervention has ceased, and there is at last a prospect that all creditors
will get justice, no more and no less. If the arrangement is terminated,
chaos will follow; and if chaos follows, sooner or later this Government
may be involved in serious difficulties with foreign governments over
the island, or else may be forced itself to intervene in the island in some
unpleasant fashion. Under the present arrangement the independence of
the island is scrupulously respected, the danger of violation of the
Monroe Doctrine by the intervention of foreign powers vanishes, and the
interference of our Government is minimized, so that we only act in
conjunction with the Santo Domingo authorities to secure the proper
administration of the customs, and therefore to secure the payment of
just debts and to secure the Santo Dominican Government against
demands for unjust debts. The present method prevents there being any
need of our establishing any kind of protectorate over the island and
gives the people of Santo Domingo the same chance to move onward and
upward which we have already given to the people of Cuba. It will be
doubly to our discredit as a nation if we fail to take advantage of this
chance; for it will be of damage to ourselves, and, above all, it will be of
incalculable damage to Santo Domingo. Every consideration of wise
policy, and, above all, every consideration of large generosity, bids us
meet the request of Santo Domingo as we are now trying to meet it.
So much for one feature of our foreign policy. Now for one feature of
our domestic policy. One of the main features of our national
governmental policy should be the effort to secure adequate and effective
supervisory and regulatory control over all great corporations doing an
interstate business. Much of the legislation aimed to prevent the evils
connected with the enormous development of these great corporations
has been ineffective, partly because it aimed at doing too much, and
partly because it did not confer on the Government a really efficient
method of holding any guilty corporation to account. The effort to
prevent all restraint of competition, whether harmful or beneficial, has
been ill-judged; what is needed is not so much the effort to prevent
combination as a vigilant and effective control of the combinations
formed, so as to secure just and equitable dealing on their part alike
toward the public generally, toward their smaller competitors, and
toward the wage-workers in their employ.
Under the present laws we have in the last four years accomplished
much that is of substantial value; but the difficulties in the way have
been so great as to prove that further legislation is advisable. Many
corporations show themselves honorably desirous to obey the law; but,
unfortunately, some corporations, and very wealthy ones at that, exhaust
every effort which can be suggested by the highest ability, or secured by
the most lavish expenditure of money, to defeat the purposes of the laws
on the statute books.
Not only the men in control of these corporations, but the business
world generally, ought to realize that such conduct is in every way
perilous, and constitutes a menace to the nation generally, and especially
to the people of great property.
I earnestly believe that this is true of only a relatively small portion of
the very rich men engaged in handling the largest corporations in the
country; but the attitude of these comparatively few men does
undoubtedly harm the country, and above all harm the men of large
means, by the just, but sometimes misguided, popular indignation to
which it gives rise. The consolidation in the form of what are popularly
called trusts of corporate interests of immense value has tended to
produce unfair restraints of trade of an oppressive character, and these
unfair restraints tend to create great artificial monopolies. The violations
of the law known as the anti-trust law, which was meant to meet the
conditions thus arising, have more and more become confined to the
larger combinations, the very ones against whose policy of monopoly
and oppression the policy of the law was chiefly directed. Many of these
combinations by secret methods and by protracted litigation are still
unwisely seeking to avoid the consequences of their illegal action. The
Government has very properly exercised moderation in attempting to
enforce the criminal provisions of the statute; but it has become our
conviction that in some cases, such as that of at least certain of the beef
packers recently indicted in Chicago, it is impossible longer to show
leniency. Moreover, if the existing law proves to be inadequate, so that
under established rules of evidence clear violations may not be readily
proved, defiance of the law must inevitably lead to further legislation.
This legislation may be more drastic than I would prefer. If so, it must be
distinctly understood that it will be because of the stubborn
determination of some of the great combinations in striving to prevent
the enforcement of the law as it stands, by every device, legal and illegal.
Very many of these men seem to think that the alternative is simply
between submitting to the mild kind of governmental control we
advocate and the absolute freedom to do whatever they think best. They
are greatly in error. Either they will have to submit to reasonable
supervision and regulation by the national authorities, or else they will
ultimately have to submit to governmental action of a far more drastic
type. Personally, I think our people would be most unwise if they let any
exasperation due to the acts of certain great corporations drive them into
drastic action, and I should oppose such action. But the great
corporations are themselves to blame if by their opposition to what is
legal and just they foster the popular feeling which tells for such drastic
action.
Some great corporations resort to every technical expedient to render
enforcement of the law impossible, and their obstructive tactics and
refusal to acquiesce in the policy of the law have taxed to the utmost the
machinery of the Department of Justice. In my judgment Congress may
well inquire whether it should not seek other means for carrying into
effect the law. I believe that all corporations engaged in interstate
commerce should be under the supervision of the National Government.
I do not believe in taking steps hastily or rashly, and it may be that all
that is necessary in the immediate future is to pass an interstate-
commerce bill conferring upon some branch of the executive
government the power of effective action to remedy the abuses in
connection with railway transportation. But in the end, and in my
judgment at a time not very far off, we shall have to, or at least we shall
find that we ought to, take further action as regards all corporations
doing interstate business. The enormous increase in interstate trade,
resulting from the industrial development of the last quarter of a century,
makes it proper that the Federal Government should, so far as may be
necessary to carry into effect its national policy, assume a degree of
administrative control of these great corporations.
It may well be that we shall find that the only effective way of
exercising this supervision is to require all corporations engaged in
interstate commerce to produce proof satisfactory, say, to the Department
of Commerce, that they are not parties to any contract or combination or
engaged in any monopoly in interstate trade in violation of the anti-trust
law, and that their conduct on certain other specified points is proper;
and, moreover, that these corporations shall agree, with a penalty of
forfeiture of their right to engage in such commerce, to furnish any
evidence of any kind as to their trade between the States whenever so
required by the Department of Commerce.
It is the almost universal policy of the several States, provided by
statute, that foreign corporations may lawfully conduct business within
their boundaries only when they produce certificates that they have
complied with the requirements of their respective States; in other words,
that corporations shall not enjoy the privileges and immunities afforded
by the State governments without first complying with the policy of their
laws. Now the benefits which corporations engaged in interstate trade
enjoy under the United States Government are incalculable; and in
respect of such trade the jurisdiction of the Federal Government is
supreme when it chooses to exercise it.
When, as is now the case, many of the great corporations consistently
strain the last resources of legal technicality to avoid obedience to a law
for the reasonable regulation of their business, the only way effectively
to meet this attitude on their part is to give to the Executive Department
of the Government a more direct and therefore more efficient supervision
and control of their management.
In speaking against the abuses committed by certain very wealthy
corporations or individuals, and of the necessity of seeking so far as it
can safely be done to remedy these abuses, there is always danger lest
what is said may be misinterpreted as an attack upon men of means
generally. Now it can not too often be repeated in a Republic like ours
that the only way by which it is possible permanently to benefit the
condition of the less able and less fortunate, is so to shape our policy that
all industrious and efficient people who act decently may be benefited;
and this means, of course, that the benefit will come even more to the
more able and more fortunate. If, under such circumstances, the less
fortunate man is moved by envy of his more fortunate brother to strike at
the conditions under which they have both, though unequally, prospered,
he may rest assured that while the result may be damaging to the other
man, it will be even more damaging to himself. Of course, I am now
speaking of prosperity that comes under normal and proper conditions.
In our industrial and social system the interests of all men are so
closely intertwined that in the immense majority of cases the straight-
dealing man who by ingenuity and industry benefits himself must also
benefit others. The man of great productive capacity who gets rich
through guiding the labor of hundreds or thousands of other men does so,
as a rule, by enabling their labor to produce more than it would without
his guidance, and both he and they share in the benefit, so that even if the
share be unequal it must never be forgotten that they too are really
benefited by his success.
A vital factor in the success of any enterprise is the guiding
intelligence of the man at the top, and there is need in the interest of all
of us to encourage rather than to discourage the activity of the
exceptional men who guide average men so that their labor may result in
increased production of the kind which is demanded at the time.
Normally we help the wage-worker, we help the man of small means, by
making conditions such that the man of exceptional business ability
receives an exceptional reward for that ability.
But while insisting with all emphasis upon this, it is also true that
experience has shown that when there is no governmental restraint or
supervision, some of the exceptional men use their energies, not in ways
that are for the common good, but in ways which tell against this
common good; and that by so doing they not only wrong smaller and less
able men—whether wage-workers or small producers and traders—but
force other men of exceptional abilities themselves to do what is wrong
under penalty of falling behind in the keen race for success. There is
need of legislation to strive to meet such abuses. At one time or in one
place this legislation may take the form of factory laws and employers’
liability laws. Under other conditions it may take the form of dealing
with the franchises which derive their value from the grant of the
representatives of the people. It may be aimed at the manifold abuses,
far-reaching in their effects, which spring from overcapitalization. Or it
may be necessary to meet such conditions as those with which I am now
dealing and to strive to procure proper supervision and regulation by the
National Government of all great corporations engaged in interstate
commerce or doing an interstate business.
There are good people who are afraid of each type of legislation; and
much the same kind of argument that is now advanced against the effort
to regulate big corporations has been again and again advanced against
the effort to secure proper employers’ liability laws or proper factory
laws with reference to women and children; much the same kind of
argument was advanced but five years ago against the franchise-tax law
enacted in this State while I was governor.
Of course there is always the danger of abuse if legislation of this type
is approached in a hysterical or sentimental spirit, or, above all, if it is
approached in a spirit of envy and hatred toward men of wealth.
We must not try to go too fast, under penalty of finding that we may
be going in the wrong direction; and in any event, we ought always to
proceed by evolution and not by revolution. The laws must be conceived
and executed in a spirit of sanity and justice, and with exactly as much
regard for the rights of the big man as for the rights of the little man—
treating big man and little man exactly alike.
Our ideal must be the effort to combine all proper freedom for
individual effort with some guarantee that the effort is not exercised in
contravention of the eternal and immutable principles of justice.

Transcriber’s Note:
Archaic and variable spelling has been preserved.
 *** END OF THE PROJECT GUTENBERG EBOOK ADDRESS OF
PRESIDENT ROOSEVELT AT CHAUTAUQUA, NEW YORK,
AUGUST 11, 1905 ***

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