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Advanced Testing of Systems of Systems Volume 2 Practical Aspects 1St Edition Bernard Homes Full Chapter PDF
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Systems-of-Systems, Volume 2 -
Practical Aspects 1st Edition Bernard
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Practical Aspects
Bernard Homès
First published 2022 in Great Britain and the United States by ISTE Ltd and John Wiley & Sons, Inc.
Apart from any fair dealing for the purposes of research or private study, or criticism or review, as
permitted under the Copyright, Designs and Patents Act 1988, this publication may only be reproduced,
stored or transmitted, in any form or by any means, with the prior permission in writing of the publishers,
or in the case of reprographic reproduction in accordance with the terms and licenses issued by the
CLA. Enquiries concerning reproduction outside these terms should be sent to the publishers at the
undermentioned address:
www.iste.co.uk www.wiley.com
Any opinions, findings, and conclusions or recommendations expressed in this material are those of the
author(s), contributor(s) or editor(s) and do not necessarily reflect the views of ISTE Group.
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv
10.8.3. Prevalidation regression tests, sanity checks and smoke tests . . . . . . . 179
10.8.4. What to automate? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
10.8.5. Test frameworks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
10.8.6. E2E test cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
10.8.7. Automated test case maintenance or not? . . . . . . . . . . . . . . . . . . 184
10.9. Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185
10.9.1. Automated reporting for the test manager . . . . . . . . . . . . . . . . . . 186
Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
I would also like to thank the many managers and colleagues I had the privilege
of meeting during my career. Some, too few, understood that quality is really
everyone’s business. We will lay a modest shroud over the others.
Testing Qualification Board), CFTL (Comité Français des Tests Logiciels, the
French Software Testing committee) and GASQ (Global Association for Software
Quality). I also dedicate these books to you, the reader, so that you can improve your
testing competencies.
Preface
Implementation
August 2022
1
deadlines, the scope initially considered increases, the level of quality of input data –
requirements, components to be tested, interfaces – is often of lower quality than
expected and the number of faults or anomalies is greater than anticipated. All of
these are under tighter budgetary and calendar constraints because, even if the
developments take longer than expected, the production launch date is rarely
postponed.
The methodologies offered by ITIL, PRINCE2, CMMI, etc. bring together a set
of good practices that can be adapted – or not – to our system-of-systems project.
CMMI, for example, does not have test-specific elements (only IVV), and it may be
necessary to supplement CMMI with test-specific tasks and actions as offered by
TMM and TMMI.
The execution of the tests is carried out in different test environments according
to the test levels envisaged. It will therefore be necessary to ensure the availability
of environments for each level.
4 Advanced Testing of Systems-of-Systems 2
Test environments, as well as their data and the applications they interface with
must be properly synchronized with each other. This implies an up-to-date definition
of the versions of each system making up the system-of-systems and of the
interfaces and messages exchanged between them.
It is obvious that the input test data of a test case and the expected data at the
output of a test case are necessary, and it is also important to have a set of other data
that will be used for testing:
– data related to the users who will run the tests (e.g. authorization level,
hierarchical level, organization to which they are attached, etc.);
– information related to the test data used (e.g. technical characteristics,
composition, functionalities present, etc.) and which are grouped in legacy systems
interfaced with the system-of-systems under test;
– historical information allowing us to make proposals based on this historical
information (e.g. purchase suggestions based on previous purchases);
– information based on geographical positioning (e.g. GPS position), supply
times and consumption volumes to anticipate stock replenishment needs (e.g. need
to fill the fuel tank according to the way to drive and consume fuel, making it
possible to offer – depending on the route and GPS information – one or more
service stations nearby);
– etc.
Test Project Management 5
The creation and provision of quality test data is necessary before any test
campaign. Designing and updating this data, ensuring that it is consistent, is
extremely important because it must – as far as possible – simulate the reality of the
exchanges and information of each of the systems of the system-of-systems to be
tested. We will therefore need to generate data from monitoring systems (from
sensors, via IoT systems) and ensure that their production respects the expected
constraints (e.g. every n seconds, in order to identify connection losses or deviations
from nominal operating ranges).
Test data should be realistic and consistent over time. That is, they must either
simulate a reference period and each of the campaigns must ensure that the systems
have modified their reference date (e.g. use a fixed range of hours and reset systems
at the beginning of this range) or be consistent with the time of execution of the test
campaign. This last solution requires generating the test data during the execution of
the test campaign, in order to verify the consistency of the data with respect to the
expected (e.g. identification of duplicate messages, sequencing of messages, etc.)
and therefore the proper functioning of the system-of-systems as a whole.
Development and construction projects are associated with often strict delivery
dates and schedules. The impact of a late delivery of a component generates
cascading effects impacting the delivery of the system and the system-of-systems.
Timely delivery, with the expected features and the desired level of quality, is
therefore very important. In some systems-of-systems, the completeness of the
functionalities and their level of quality are often more important than the respect of
the delivery date. In others, respecting the schedule is crucial in order to meet
imperatives (e.g. launch window for a rocket aiming for another planet).
This involves close collaboration between test manager and project managers in
charge of the design and production of components, products or systems to be
6 Advanced Testing of Systems-of-Systems 2
tested, as well as managers in charge of test environments and the supply of test
data.
In the context of Agile and Lean methods, any delay in deliveries and any
non-compliance with schedules is a “loss of value” and should be eliminated. It is
however important to note that the principles of agility propose that it is the
development teams that define the scope of the functionalities to be delivered at each
iteration.
Depending on the test levels, environments will include more and more
components, products and systems that will need to coordinate to represent test
environments representative of real life. Each environment includes one or more
systems, components, products, as well as interfaces, ETLs and communication
equipment (wired, wireless, satellite, optical networks, etc.) of increasing
complexity. The design of these various environments quickly becomes a full-time
job, especially since it is necessary to ensure that all the versions of all the software
are correctly synchronized and that all the data, files, contents of databases and
interfaces are synchronized and validated in order to allow the correct execution of
the tests on this environment.
Testing activities can start effectively and efficiently as soon as all their
prerequisites are present. Otherwise, the activities will have to stop and then start
again when the missing prerequisite is provided, etc. This generates significant
waste of time, not to mention everyone’s frustration. Before starting any test task,
we must make sure that all the prerequisites are present, or at the very least that they
will arrive on time with the desired level of quality. Among the prerequisites, we
have among others the requirements, the environment, the datasets, the component
to be tested, the test cases with the expected data, as well as the testers, the tools and
procedures for managing tests and anomalies, the KPIs and metrics allowing the
reporting of the progress of the tests, etc.
Test Project Management 7
One solution to ensure the presence of the prerequisites is to set up a TRR (Test
Readiness Review) milestone, a review of the start of the tests. The purpose of this
milestone is to verify – depending on the test level and the types of test – whether or
not the prerequisites are present. If prerequisites are missing, it is up to the project
managers to decide whether or not to launch the test activity, taking into account the
identified risks.
In Agile methods, such a review can be informal and only apply to one user story
at a time, with the acronym DOR for definition of ready.
The delivery of test datasets (TDS) is not limited to the provision of files or
databases with information usable by the component, product or system. This also
includes – for the applications, components, products or systems with which the
component, product or system under test interacts – a check of the consistency and
synchronization of the data with each other. It will be necessary to ensure that the
interfaces are correctly described, defined and implemented.
The design of coherent and complete datasets is a difficult task requiring a good
knowledge of the entire information system and the interfaces between the
component, product or system under test on the one hand and all the other systems
of the test environment on the other hand. Some components, products or systems
may be missing and replaced by “stubs” that will simulate the missing elements. In
this case, it is necessary to manage these “stubs” with the same rigor as if they were
real components (e.g. evolution of versions, data, etc.).
A Go-NoGo meeting is used to analyze the risks associated with moving to the
next step in a process of designing and deploying a component, product, system or
system-of-systems, and to decide whether to proceed to the next step.
In an Agile environment, the concept of Go-NoGo and TRB is detailed under the
concept of DOD (definition of done) for each of the design actions.
Another aspect to consider is the need for test automation and (1) the continued
increase in the number of tests to be executed, which will mean increasing test
execution time as well as (2) the need to ensure that the test classes in the software
(case of TDD and BDD) are correctly removed from the versions used in integration
tests and in system tests.
According to Kim et al. (2016), in companies like Amazon and Google, the
majority of teams practice continuous delivery and some practice continuous
deployment. There is wide variation in how to perform continuous deployment.
Monitoring test projects requires monitoring the progress of each of the test
activities for each of the systems of the system-of-systems, as well as on each of the
test environments of each of the test levels of each of these systems. It is therefore
important that the progress information of each test level is aggregated and
summarized for each system and that the test progress information of each system is
aggregated at the system-of-systems level. This involves defining the elements that
must be measured (the progress), against which benchmark they must be measured
(the reference) and identifying the impacts (dependencies) that this can generate.
Reporting of similar indicators from each of the systems will facilitate
understanding. Automated information feedback will facilitate information retrieval.
10 Advanced Testing of Systems-of-Systems 2
Systems-of-systems projects are subject to more risk than other systems in that
they may inherit upstream-level risks and a process’s tolerance for risk may vary by
organization and the delivered product. In Figure 1.1, we can identify that the more
we advance in the design and production of components by the various
organizations, the risks will be added and the impact for organizations with a low
risk tolerance will be more strongly impacted than others.
In Figure 1.2, we can identify that an organization will be impacted by all the
risks it can inherit from upstream organizations and that it will impose risks on all
downstream organizations.
can impact the final delivery of the component, product or system, or even the
system-of-systems.
– Side effects may appear on other components, so it will be necessary to retest
all components each time a component update is delivered. This solution can be
limited to the components interacting directly with the modified component(s) or
extend to the entire system-of-systems, and it is recommended to automate it.
– The interfaces between components may not be developed simultaneously and
therefore that the tests of these interfaces may be delayed.
It is not possible to envisage retesting all the combinations of data and actions of
the components of a level of a system-of-systems; this would generate a workload
disproportionate to the expected benefits. One solution is to verify that the design
and test processes have been correctly carried out, that the proofs of execution are
available and that the test activities – static and dynamic – have correctly covered
the objectives. These verification activities are the responsibility of the quality
assurance teams and are mainly based on available evidence (paper documentation,
execution logs, anomaly dashboards, etc.).
relationships with each other, others and to the outside. This information is grouped
into what NASA calls CRM (Crew Resource Management). Developed in the
1970s–1980s, CRM is a mature discipline that applies to complex projects and is
ideal for decision-making processes in project management.
It is essential to:
– recognize the existence of a problem;
– define what the problem is;
– identify probable solutions;
– take the appropriate actions to implement a solution.
If CRM is mainly used where human error can have devastating effects, it is
important to take into account the lessons that CRM can bring us in the
implementation of decision-making processes. Contrary to a usual vision, people
with responsibilities (managers and decision-makers) or with the most experience
are sometimes blinded by their vision of a solution and do not take into account
alternative solutions. Among the points to keep in mind is communication between
the different members of the team, mutual respect – which will entail listening to the
information provided – and then measuring the results of the solutions implemented
in order to ensure their effectiveness. Team members can all communicate important
information that will help the project succeed.
The specialization of the members of the project team, the confidence that we
have in their skills and the confidence that they have in their experience, the
management methods and the constraints – contractual or otherwise – mean that the
decision-making method and the decisions made can be negatively impacted in the
absence of this CRM technique. This CRM technique has been successfully
implemented in aeronautics and space, and its lessons should be used successfully in
complex projects.
2
Testing Process
These processes will all be involved to some degree in the testing processes.
Indeed, the test processes will decline the requirements, whether or not they are
defined in documents describing the conformity needs, and the way in which these
requirements will be demonstrated (type of IADT proofs), will split the types of
demonstration according to the levels test and integration (system, subsystem,
sub-subsystem, component, etc.) and static types (Analysis and Inspection for static
checks during design) or dynamic (demonstration and tests during the levels of
integration and testing of subsystems, systems and systems-of-systems). Similarly,
the activities of the test process will report information and progress metrics to
project management (CMMI PMC for Project Monitoring and Control process) and
will be impacted by the decisions descending from this management.
The processes described in this chapter apply to a test level and should be
repeated on each of the test levels, for each piece of software or containing software.
Any modification in the interfaces and/or the performance of a component
interacting with the component(s) under test will involve an analysis of the impacts
and, if necessary, an adaptation of the test activities (including about the test) and
evidence to be provided to show the conformity of the component (or system,
subsystem, equipment or software) to its requirements. Each test level should
coordinate with the other levels to limit the execution of tests on the same
requirements.
16 Advanced Testing of Systems-of-Systems 2
An additional process can be defined: the review process, which can be carried
out several times on a test level, on the one hand, on the input deliverables, and on
the other hand, on the deliverables produced by each of the processes of the level.
Review activities can occur within each defined test process.
The proposed test processes are applicable regardless of the development mode
(Agile or sequential). In the case of an Agile development mode, the testing
processes must be repeated for each sprint and for each level of integration in a
system-of-systems.
The processes must complement each other and – even if they may partially
overlap – it must be ensured that the processes are completed successfully.
2.1. Organization
Objectives:
– develop and manage organizational needs, in accordance with the company’s
test policy and the test strategies of higher levels;
– define the players at the level, their responsibilities and organizations;
– define deliverables and milestones;
– define quality targets (SLA, KPi, maximum failure rate, etc.);
– ensure that the objectives of the test strategy are addressed;
– define a standard RACI matrix.
Actor(s):
– CPI (R+A), CPU/CPO (I), developers (C+I);
– experienced “test manager” having a pilot role of the test project (R).
Prerequisites/inputs:
– calendar and budgetary constraints defined for the level;
– actors and subcontractors envisaged or selected;
– repository of lessons learned from previous projects.
Deliverables/outputs:
– organization of level tests;
– high-level WBS with the main tasks to be carried out;
18 Advanced Testing of Systems-of-Systems 2
Entry criteria:
– beginning of the organization phase.
Exit criteria:
– approved organizational document (ideally a reduced number of pages).
Indicators:
1) efficiency: writing effort;
2) coverage: traceability to the quality characteristics identified in the project test
strategy.
Points of attention:
– ensure that the actors and meeting points (milestones and level of reporting)
are well defined.
2.2. Planning
Objective:
– plan test activities for the project, level, iteration or sprint considering existing
issues, risk levels, constraints and objectives for testing;
– define the tasks (durations, objectives, incoming and outgoing, responsibilities,
etc.) and sequencing;
– define the exit criteria (desired quality level) for the level;
– identify the prerequisites, resources (environment, personnel, tools, etc.)
necessary;
– define measurement indicators and frequencies, as well as reporting.
Actor(s):
– CPI (R+A), CPU/CPO (I), developers (C+I);
– experienced testers “test manager”, having a role of manager of the test
project (R);
– testers (C+I).
Testing Process 19
Prerequisites/inputs:
– information on the volume, workload and deadlines of the project;
– information on available environments and interfaces;
– objectives and scope of testing activities.
Objective:
– plan test activities for the project or level, iteration or sprint considering
existing status, risk levels, constraints and objectives for testing;
– define the tasks (durations, objectives, incoming and outgoing, responsibilities,
etc.) and sequencing;
– define the exit criteria (desired quality level) for the level;
– identify prerequisites, resources (environment, personnel, tools, etc.)
necessary;
– define measurement indicators and frequencies, as well as reporting.
Actor(s):
– CPI (R+A), CPU/CPO (I), developers (C+I);
– experienced testers “test manager”, having a role of manager of the test project
(R);
– testers (C+I).
Prerequisites/inputs:
– REAL and project WBS defined in the investigation phase;
– lessons learned from previous projects (repository of lessons learned).
Deliverables/outputs:
– master test plan, level test plan(s);
– level WBS (or TBS for Test Breakdown Structure), detailing – for the
applicable test level(s) – the tasks to be performed;
– initial definition of test environments.
20 Advanced Testing of Systems-of-Systems 2
Entry criteria:
– start of the investigation phase.
Exit criteria:
– test plan approved, all sections of the test plan template are completed.
Indicators:
1) efficiency: writing effort vs. completeness and size of the deliverables
provided;
2) coverage: coverage of the quality characteristics selected in the project Test
Strategy.
Points of attention:
– ensure that test data (for interface tests, environment settings, etc.) will be well
defined and provided in a timely manner;
– collect lessons learned from previous projects.
Deliverables/outputs:
– master test plan, level test plan(s);
– level WBS, detailing – for the test level(s) – the tasks to be performed;
– detailed Gantt of test projects – each level – with dependencies;
– initial definition of test environments.
Entry criteria:
– start of the investigation phase.
Exit criteria:
– approved test plan, all sections of the applicable test plan template are
completed.
Indicators:
1) efficiency: writing effort;
2) coverage: coverage of the quality characteristics selected in the project’s test
strategy.
Testing Process 21
Points of attention:
– ensure that test data (for interface testing, environment settings, etc.) will be
well defined and provided in a timely manner.
Objective:
– throughout the project: adapt the test plan, processes and actions, based on the
hazards and indicators reported by the test activities, so as to enable the project to
achieve its objectives;
– identify changes in risks, implement mitigation actions;
– provide periodic reporting to the CoPil and the CoSuiv;
– escalate issues if needed.
Actor(s):
– CPI (A+I), CPU/CPO (I), developers (I);
– test manager with a test project manager role (R);
– testers (C+I) [provide indicators];
– CoPil CoNext (I).
Prerequisites/inputs:
– risk analysis, level WBS, project and level test plan.
Deliverables/outputs:
– periodic indicators and reporting for the CoPil and CoSuiv;
– updated risk analysis;
– modification of the test plan and/or activities to allow the achievement of the
“project” objectives.
Entry criteria:
– project WBS, level WBS.
Exit criteria:
– end of the project, including end of the software warranty period.
22 Advanced Testing of Systems-of-Systems 2
Indicators:
– dependent on testing activities.
2.4. Analyze
Objective:
– analyze the repository of information (requirements, user stories, etc. usable
for testing) to identify the test conditions to be covered and the test techniques to be
used. A risk or requirement can be covered by more than one test condition. A test
condition is something – a behavior or a combination of conditions – that may be
interesting or useful to test.
Actor(s):
– testers, test analysts, technical test analysts.
Prerequisites/inputs:
– initial definition of test environments;
– requirements and user stories (depending on the development method);
– acceptance criteria for (if available);
– analysis of prioritized project risks;
– level test plan with the characteristics to be covered, the level test environment.
Deliverables/outputs:
– detailed definition of the level test environment;
– test file;
– prioritized test conditions;
– requirements/risks traceability matrix – test conditions.
Entry criteria:
– validated and prioritized requirements;
– risk analysis.
Exit criteria:
– each requirement is covered by the required number of test conditions
(depending on the RPN of the requirement).
Testing Process 23
Indicators:
1) Efficiency:
- number of prioritized test conditions designed,
- updated traceability matrix for extension to test conditions.
2) Coverage:
2.5. Design
Objective:
– convert test conditions into test cases and identify test data to be used to cover
the various combinations. A test condition can be converted into one or more test
cases.
Actor(s):
– testers, test technicians.
Prerequisites/inputs:
– prioritized test conditions;
– requirements/risks traceability matrix – test conditions.
Deliverables/outputs:
– prioritized test cases, definition of test data for each test case (input and
expected);
– prioritized test procedures, taking into account the execution prerequisites;
– requirements/risks traceability matrix – test conditions – test cases.
Entry criteria:
– test conditions defined and prioritized;
24 Advanced Testing of Systems-of-Systems 2
– risk analysis.
Exit criteria:
– each test condition is covered by one or more test cases (according to the
RPN);
– partitions and typologies of test data defined for each test;
– defined test environments.
Indicators:
1) Efficiency:
- number of prioritized test cases designed,
- updated traceability matrix for extension to test cases.
2) Coverage:
- percentage of requirements and/or risks covered by one or more test cases
designed.
2.6. Implementation
Objective:
– finely describe – if necessary – the test cases;
– define the test data for each of the test cases generated by the test design
activity;
– automate the test cases that need to be;
– setting up test environments.
Actor(s):
– testers, test automators, data and systems administrators.
Prerequisites/inputs:
– prioritized test cases;
– risk analysis.
Deliverables/outputs:
– automated or non-automated test scripts, test scenarios, test procedures;
Testing Process 25
Entry criteria:
– prioritized test cases, defined with their data partitions.
Exit criteria:
– test data defined for each test;
– test environments defined, implemented and verified.
Indicators:
1) Efficiency:
- number of prioritized test cases designed with test data,
- updated traceability matrix for extension to test data,
- number of test environments defined, implemented and verified vs. number
of environments planned in the test strategy.
2) Coverage:
- percentage of test environments ready and delivered,
- coverage of requirements and/or risks by one or more test cases with data,
- coverage of requirements and/or risks by one or more automated test cases.
Objective:
– execute the test cases (on the elements of the application to be tested) delivered
by the development;
– identify defects and write anomaly sheets;
– report monitoring and coverage information.
Actor(s):
– testers, test technicians.
26 Advanced Testing of Systems-of-Systems 2
Prerequisites/inputs:
– system to be tested is available and managed in delivery (configuration
management), accompanied by a delivery sheet.
Deliverables/outputs:
– anomaly sheets filled in for any identified defect;
– test logs.
Entry criteria:
– testing environment and resources (including testing tools) available for the
level, and tested;
– anomaly management tool available and installed;
– test cases and test data available for the level;
– component or application to be tested available and managed in delivery
(configuration management);
– delivery sheet provided.
Exit criteria:
– coverage of all test cases for the level.
Indicators:
1) Efficiency:
- percentage of tests passed, skipped (not passed) and failed, by level of risk,
- percentage of test environment availability for test execution,
- test execution workload achieved vs. planned.
2) Coverage:
- percentage of requirements/risks tested with at least one remaining defect,
- percentage of requirements/risks tested without any defect remaining.
2.8. Evaluation
Objective:
– identify whether the test execution results show that the execution campaign
will be able to achieve the objectives;
Testing Process 27
– ensure that the acceptance criteria defined for the requirements or user stories
are met;
– if scope or quality changes impact testing, identify and select the mitigation
actions.
Actor(s):
– person responsible for project testing activities.
Prerequisites/inputs:
– definition of acceptance criteria;
– project load estimation data;
– actual usage data of project loads;
– progress data (coverage, deadlines, anomalies, etc.) of the project.
Deliverables/outputs:
– progress graphs, identification of trends;
– progress comments (identification of causes and proposals for mitigation).
Entry criteria:
– start of the project.
Exit criteria:
– end of the duration of each test task and of the test campaign;
– complete coverage achieved for the features or components to be tested.
Indicators:
1) Efficiency:
- identify the workload used, the anomalies identified – including priority and
criticality – as well as the level of coverage achieved, compare against the objectives
defined in the planning part.
2) Coverage:
- all the activities planned for the test task or for the test campaign have been
carried out,
- to be defined based on the planned objectives and their achievement for each
requirement or user story.
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irresistible consequence of the goodness of heart, integrity of mind,
and correctness of disposition of Mr. Jefferson. All nations, even
pirates and savages, were to be moved by the influence of his
persuasive virtue and masterly skill in diplomacy.”
Eaton’s interviews probably took place at the moment when the
Louisiana treaty confirmed the Cabinet in its peace policy and in
reliance on diplomacy. In March, 1804, Eaton succeeded in returning
to the Mediterranean as naval agent, but without special powers for
the purpose he had in mind.
“The President becomes reserved; the Secretary of War ‘believes
we had better pay tribute,’—he said this to me in his own office.
Gallatin, like a cowardly Jew, shrinks behind the counter. Mr. Madison
‘leaves everything to the Secretary of the Navy Department.’ And I am
ordered on the expedition by Secretary Smith,—who, by the by, is as
much of a gentleman and a soldier as his relation with the
Administration will suffer,—without any special instructions to regulate
my conduct.”
With no other authority to act as a military officer than a vague
recommendation from the President as a man who was likely to be
extremely useful to Barron, Eaton returned with Barron’s large
squadron. He felt himself ill-treated, for he was irritable and self-
asserting by nature, and was haunted by a fixed idea too
unreasonable for the President to adopt; but he chose to act without
authority rather than not act at all, for he was born an adventurer,
and difficulties which seemed to cooler heads insurmountable were
nothing in his eyes. Sept. 5, 1804, he arrived at Malta, and thence
sailed to Alexandria; for in the meanwhile Hamet had been driven to
take refuge in Egypt, and Eaton on reaching Cairo, Dec. 8, 1804,
found that the object of his search was shut up in Minyeh on the Nile
with some rebellious Mamelukes, besieged by the viceroy’s troops.
After infinite exertions and at no little personal danger, Eaton brought
Hamet to Alexandria, where they collected some five hundred men,
of whom one hundred were Christians recruited on the spot. Eaton
made a convention with Hamet, arranged a plan of joint operations
with Barron, and then at about the time when President Jefferson
was delivering his second Inaugural Address, the navy agent led his
little army into the desert with the courage of Alexander the Great, to
conquer an African kingdom.
So motley a horde of Americans, Greeks, Tripolitans, and Arab
camel-drivers had never before been seen on the soil of Egypt.
Without discipline, cohesion, or sources of supply, even without
water for days, their march of five hundred miles was a sort of
miracle. Eaton’s indomitable obstinacy barely escaped ending in his
massacre by the Arabs, or by their desertion in a mass with Hamet at
their head; yet in about six weeks they succeeded, April 17, 1805, in
reaching Bomba, where to Eaton’s consternation and despair he
found no American ships.[315]
“Nothing could prevail on our Arabs to believe that any had been
there. They abused us as impostors and infidels, and said we had
drawn them into that situation with treacherous views. All began now
to think of the means of individual safety; and the Arabs came to a
resolution to separate from us the next morning. I recommended an
attempt to get into Derne. This was thought impracticable. I went off
with my Christians, and kept up fires upon a high mountain in our rear
all night. At eight the next morning, at the instant when our camp was
about breaking up, the Pacha’s casnadar, Zaid, who had ascended
the mountain for a last look-out, discovered a sail! It was the ‘Argus;’
Captain Hull had seen our smokes, and stood in. Language is too
poor to paint the joy and exultation which this messenger of life
excited in every breast.”
Drawing supplies from the brig the little army rested a few days;
and then, April 25, moved against Derne, where they found the town
held by a garrison of eight hundred men who had thrown up
earthworks and loopholed the terraces and houses for musketry.
Eaton sent to the governor a flag of truce, which was sent back with
the Eastern message,—“My head, or yours!” Three cruisers, the
“Nautilus,” “Argus,” and “Hornet,” acted in concert with Eaton, and a
vigorous combined attack, April 27, drove the governor and his
garrison from the town. Eaton received a ball through the left wrist,
but could not afford to be disabled, for on the news of his arrival a
large force was sent from Tripoli to dislodge him; and he was obliged
to fight another little battle, May 13, which would have been a
massacre had not the ships’ guns held the Tripolitans in awe.
Skirmishing continued another month without further results. Eaton
had not the force to advance upon Tripoli, which was nearly seven
hundred miles to the westward, and Hamet found no such popular
support at Derne as he had hoped.
What influence Eaton’s success at Derne had on the Pacha at
Tripoli was never perfectly understood; but the Pacha knew that
Rodgers was making ready for an assault, beside which the hottest
of Preble’s bombardments would seem gentle; Eaton at Derne with
Hamet was an incessant and indefinite threat; his own subjects were
suffering, and might at any moment break into violence; a change of
ruler was so common a matter, as Yusuf had reason to remember,
that in the alternative of losing his throne and head in one way or the
other, he decided that peace was less hazardous than war.
Immediately upon hearing that his troops had failed to retake Derne,
he entered into negotiations with Tobias Lear, the American Consul-
General at Algiers, who had come to Tripoli for the purpose; and on
this occasion the Pacha negotiated with all the rapidity that could be
wished. June 3, 1805, he submitted to the disgrace of making peace
without being expressly paid for it, and Lear on his side consented to
ransom the crew of the “Philadelphia” for sixty thousand dollars.
When Eaton learned what Lear had done, his anger was great
and not unreasonable. That Lear should have made a treaty which
sacrificed Eaton’s Mahometan allies, and paid sixty thousand dollars
for the imprisoned seamen at a moment when Eaton held Derne,
and could, as he thought, with two hundred marines on shore and an
immense fleet at sea drive the Pacha out of his dominions within six
weeks, was astonishing. Lear’s only excuse was the fear of causing
a massacre of the “Philadelphia’s” crew,—a reason which Eaton
thought unfounded and insufficient, and which was certainly, from a
military point of view, inadmissible. The treaty left the Mahometan
allies at Derne to be massacred, and threw Hamet on Eaton’s hands.
Deposited at Syracuse with a suite of thirty persons without means
of support, Caramelli became a suppliant for alms to the United
States Congress. Eaton declared the treaty disgraceful, and
thenceforth his grievances against the government took an acute
form. The settlement of his accounts was slow and difficult. He
returned to America and received great attentions, which made him
none the less loud in complaint, until at last he died in 1811 a victim
to drink and to craving for excitement. Eaton was beyond question a
man of extraordinary energies and genius; he had even the rare
courage to displease his own Federalist friends in 1807, because of
defending Jefferson who had done nothing for him, but who at a
critical moment represented in his eyes the Union.
Meanwhile peace with Tripoli was obtained without tribute, but at
the cost of sixty thousand dollars, and at the expense of Eaton and
his desperate band of followers at Derne. Hamet Caramelli received
at last a small sum of money from Congress, and through American
influence was some years afterward made governor of Derne. Thus
after four years of unceasing effort the episode of the Tripolitan war
came to a triumphant end. Its chief result was to improve the navy
and give it a firmer hold on popular sympathy. If the once famous
battles of Truxton and the older seamen were ignored by the
Republicans, Preble and Rodgers, Decatur and Hull, became brilliant
names; the midnight death of Somers was told in every farmhouse;
the hand-to-hand struggles of Decatur against thrice his numbers
inflamed the imagination of school-boys who had never heard that
Jefferson and his party once declaimed against a navy. Even the
blindest could see that one more step would bring the people to the
point so much dreaded by Jefferson, of wishing to match their forty-
fours against some enemy better worthy of their powers than the
pirates of Tripoli.
There was strong reason to think that this wish might soon be
gratified; for on the same day when Lear, in the “Essex,” appeared
off Tripoli and began his negotiation for peace, Monroe’s travelling-
carriage rumbled through the gates of Madrid and began its dusty
journey across the plains of Castile, bearing an angry and
disappointed diplomatist from one humiliation to another.
INDEX TO VOLS. I. AND II.
Abolition Society, an early, i. 128.
Acts of Congress, of Sept. 24, 1789, to establish the Judiciary, i,
259, 260, 275, 276;
of June 13, 1798, to suspend intercourse with France, 383;
of June 25, 1798, concerning aliens, 140, 141, 206, 207, 259,
286;
of July 14, 1798, concerning sedition, 140, 141, 206, 207,
259, 261, 286;
of Feb. 9, 1799, further to suspend intercourse with France,
384;
of Feb. 13, 1801, to provide for the more convenient
organization of the courts, 274–276, 278, 280, 288, 293,
297;
of Jan. 14, 1802, for the apportionment of representatives,
301;
of March 8, 1802, to repeal the Judiciary Act of 1801, 280,
281, 284–298;
of March 16, 1802, fixing the military peace establishment,
301;
of April 6, 1802, to repeal the internal taxes, 272;
of April 29, 1802, for the redemption of the public debt, 272;
of April 29, 1802, to amend the judicial system, 298;
of April 30, 1802, to enable Ohio to form a State government,
302;
of Feb. 28, 1803, for building four sloops-of-war and fifteen
gunboats, ii. 77;
of Oct. 31, 1803, to take possession of Louisiana, 119, 120;
of Feb. 24, 1804, for collecting duties within the territories
ceded to the United States, 257, 260–263, 291, 293, 304,
380;
of March 25, 1804, to establish the Mediterranean Fund, 141;
of March 26, 1804, for the temporary government of
Louisiana, 120–129;
of Jan. 19, 1805, to erect a dam from Mason’s island, 209;
of March 2, 1805, further providing for the government of
Orleans Territory, 401;
of March 3, 1805, for the more effectual preservation of peace
in the ports and harbors of the United States, 397, 398.
Acts of Parliament, on navigation, ii. 319, 320, 327;
on naturalization, 338, 413, 414;
on merchant-shipping, 345.
Adams, John Quincy, senator from Massachusetts, ii. 110, 117,
184, 379;
proposes draft of Constitutional amendment, 118, 160, 164.
Addington ministry, ii. 358, 416.
Addington, Henry (Lord Sidmouth), succeeds Pitt, ii. 342, 347;
retires from office, 418.
Addison, Judge, impeached, ii. 195.
Admiralty courts in the West Indies, ii. 340.
Albany in 1800, i. 3.
Alien and sedition laws, i. 140, 206, 259.
(See Acts of Congress.)
Allston, Washington, i. 149.
Alquier, French minister at Madrid, i. 363, 368.
Alsop, Richard, i. 102.
Amendment to the Constitution, the twelfth, ii. 132.
“American Citizen,” the, i. 331.
Ames, Fisher, i. 82, 83;
his opinion of democracy, 84;
in conversation, 86;
speech of, on the British treaty, 88, 93;
his language toward opponents, 119; ii. 164.
Amiens, peace of, i. 370; ii. 59, 290, 326, 347, 385.
(See Treaties.)
Amusements in 1800, in New England, i. 50;
in Virginia, 51.
Anderson, Joseph, senator from Tennessee, ii. 157.
“Aristides.” Pamphlet by W. P. Van Ness, ii. 73, 172.
Armstrong, General John, senator from New York, i. 108, 113,
230, 234, 281; ii. 157;
succeeds Livingston at Paris, 291, 308.
Army, chaste reformation of, i. 238;
peace establishment in 1801, 242, 261, 272, 301.
Ashe, an English traveller, i. 43, 52, 53, 54.
Astor, John Jacob, i. 28.
“Aurora” newspaper, i. 118, 121.