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 Contents • vii

6. Social Role Theory 166

Case Vignette 167
Historical Context 168
Key Concepts 169
New Directions 176
A Research Example: Balancing Work and Family Roles 182
An Application: Supporting Refugee Families and Youth 185
How Does Social Role Theory Answer the Basic Questions That a
Theory of Human Development Is Expected to Address? 187
Critique of Social Role Theory 190
Critical Thinking Questions and Exercises 192
Key Terms 193
Recommended Resources 193
References 194
7. Life Course Theory 198
Case Vignette 199
Historical Context 200
Key Concepts 202
New Directions 207
A Research Example: Work and Family Trade-Offs in Three Cohorts 209
An Application: Life Course Theory and Trajectories of Criminal Behavior 211
How Does Life Course Theory Answer the Questions That a
Theory of Human Development Is Expected to Address? 213
Critique of Life Course Theory 216
Critical Thinking Questions and Exercises 219
Key Terms 219
Recommended Resources 219
References 220

Part III: Theories That Emphasize the Interaction Between the

Person and the Environment 223

8. Psychosocial Theory 225

Case Vignette 226
Historical Context 228
Key Concepts 230
New Directions 235
A Research Example: Individual Identity 240
An Application: The Role of Hope in Coping and Problem Solving 242
How Does Psychosocial Theory Answer the Basic Questions That a
Theory of Human Development Is Expected to Address? 243
Critique of Psychosocial Theory 247
Critical Thinking Questions and Exercises 250
Key Terms 250
Recommended Resources 251
References 251
viii • Contents

9. Cognitive Social-Historical Theory255

Case Vignette 256
Historical Context 258
Key Concepts 259
New Directions 265
A Research Example: Cultural Management of Attention 268
An Application: Implications of Vygotsky’s Theory for Instruction 270
How Does Cognitive Social-Historical Theory Answer the Basic Questions
That a Theory of Human Development Is Expected to Address? 272
Critique of Cognitive Social-Historical Theory 276
Critical Thinking Questions and Exercises 279
Key Terms 280
Recommended Resources 280
References 281
10. Bioecological Theory 284
Case Vignette 285
Historical Context 287
Key Concepts 290
New Directions 294
A Research Example: Sensitive Care in Two Cultures 295
An Application: Evaluating the Impact of Early Childhood Care
on Developmental Outcomes 297
How Does Bioecological Theory Answer the Basic Questions
That a Theory of Human Development Is Expected to Address? 298
Critique of Bioecological Theory 302
Critical Thinking Questions and Exercises 304
Key Terms 305
Recommended Resources 305
References 306
11. Dynamic Systems Theory 308
Case Vignette 309
Historical Context 311
Key Concepts 312
New Directions 321
A Research Example: The A-not-B Error 325
An Application: A Dynamic Systems Model of Antisocial Development 327
How Does Dynamic Systems Theory Answer the Basic Questions
That a Theory of Human Development Is Expected to Address? 329
Critique of Dynamic Systems Theory 333
Critical Thinking Questions and Exercises 335
Key Terms 336
Recommended Resources 336
References 337
 Contents • ix

12. Epilogue 340

Case Vignette and Analysis 341
Why So Many Theories? 348
Which One Shall I Choose? 351

Glossary 352
Author Index 367
Subject Index 369
This page intentionally left blank
 Preface

Think about the power of ideas. Consider how concepts like freedom, justice, or equality have
inspired action, or how ideas like loyalty, authority, and discipline have influenced family and
military life. Scientific theories are logical, empirically grounded sets of ideas that can have a
profound impact on the way one understands oneself and others. Theories draw you into a world
of ideas, leading you to consider relationships, processes, time, culture, and self in new ways
and suggesting methods for exploring human behavior. The goal of this book is to provide an
engaging introduction to theoretical perspectives about human development. The ten theories
that are presented have guided research, intervention, and practice in numerous fields including
developmental psychology, life-span development, education, medicine and nursing, social work,
human services, counseling, parenting, therapy, and mental health.
One weakness of several current books in this area is that they offer a “shotgun” approach to
theory. Each chapter is typically devoted to a separate theory, but students have no idea why these
theories were selected or how they relate to one another. In contrast, this book is designed to
focus on three major families of theories: those that emphasize biological systems in guiding the
direction of development; those that emphasize environmental factors in guiding the direction of
development; and those that emphasize a dynamic interaction between biological, environmental,
and self-directed forces in guiding the direction of development. Within each family, a small
number of influential theories are presented. These theories were selected because they have had
a major impact on developmental science and continue to evolve because of new insights from
contemporary scholarly work. Our hope is that, in examining the concepts and perspectives of
the ten theories, students will have new resources to think critically about theoretical ideas, begin
to assess the strengths and weaknesses of the theories, and gain a deeper understanding of how
the particular emphasis of a theory guides research, application, policy, and public opinion.
The book highlights the role of theories in building a knowledge base. Theories guide research,
help to interpret behavior, and guide the design of interventions. Students will appreciate how
theories are revised and extended as new issues are brought to light. They will observe, through
examples, how the research process contributes to the evaluation and modification of theories.
They will be able to appreciate how, over time, ideas that may have been introduced in one
theory are revisited in another theoretical framework, and how an emerging societal issue or
new research capability brings back the relevance of a theoretical concept from the past. Students
will also be encouraged to consider the historical and cultural context within which each theory
was developed. This perspective suggests that there are inevitable biases that accompany any
individual’s efforts to explain and predict human behavior, situated as they are in the prevailing

xi
xii • Preface

scientific environment and influenced by the theorist’s particular scholarly training, values, and
beliefs.
The book was written for upper division undergraduates and beginning graduate students
who have already taken one course in human development or developmental psychology. It
is comprised of 12 chapters: an introduction, ten theory chapters divided into three families,
and an epilogue. The introduction (Chapter 1) reviews the role that theories play in guiding
the development of knowledge and the design of interventions. It also highlights some of the
challenges of understanding human development across the life span. The introductory chapter
introduces six guiding questions that a theory of human development is expected to address.
These questions are addressed in each theory chapter, providing a vehicle for students to compare
and contrast the contributions of each theory. Each family of theories is introduced with a brief
interlude that provides some highlights of each theory and its unique perspectives, and an
explanation for why the theories in that section have been grouped together.
The discussion of each theory includes the following sections:

A. Guiding questions: each chapter begins with a small set of guiding questions to help orient the
reader to some big ideas and to introduce issues that will be central to the focus of the theory.
B. An opening case and brief narrative that links the case to themes from the theory.
C. The historical and cultural context in which the theory was developed.
D. An overview of the theory’s key concepts and important ideas.
E. New directions that extend the theory in contemporary scientific work.
F. A research example that shows how the theory has been tested and modified.
G. An application that shows how the theory has guided the design of an intervention or program,
or has been used to inform practice.
H. An analysis of how the theory answers six basic questions that a theory of human development
is expected to address.
I. A critique of the theory, pointing out strengths and weaknesses, and a table which summarizes
these points.
J. A set of critical thinking questions and exercises.
K. Key terms.
L. Recommended resources.

A major objective of this book is to foster critical thinking and an active approach to
learning. The book is written in a clear, comprehensible style without sacrificing the integrity
and complexity of ideas. Concepts are explained so that students can grasp the underlying logic
of the theory and its basic contributions. Each theory chapter follows the same organization to
allow students to do their own comparisons and to learn to anticipate the issues that are likely
to be raised. By emphasizing three families of theories and selecting a few examples within each
family, we hope to help students begin to grasp the essential features of the family of theories and
appreciate how new theories they will encounter fit within one orientation or another. Within
each chapter, the use of case material encourages application of concepts to real-life situations.
By returning to the six questions that a theory of human development is expected to address,
students begin to accumulate a broad and comparative view of the theories, and their relevance
for understanding the complexities of human behavior. After reading the critique of each theory,
highlighting strengths and weaknesses, students can begin to add their own ideas, possibly
combining ideas from several theories to address limitations.
 Preface • xiii

The Epilogue, Chapter 12, is new to this edition. The Epilogue describes a single case that is
interpreted using each of the ten theories presented in the text. This approach is intended to
foster complex thinking by illustrating how the variety of theoretical ideas and principles can cast
a unique light on a common situation. The Epilogue also summarizes some of the similarities and
differences among the theories, culminating in a table that compares the theories with regard to
basic processes; conceptualizations about periods of life; the universal versus contextual emphasis
of the theory; and the timescale that the theory features in its approach to development.

Pedagogical Features
The pedagogical features of the text are intended to foster understanding and stimulate
conceptual development. An initial outline provides a roadmap of ideas that will be covered in
the chapter. The guiding questions help students to formulate a basis for their critical analysis
of the theories. As they read several theories, these questions will become increasingly useful to
guide efforts to compare and contrast the theories. The initial case vignette provides a real-life
situation to help illustrate how the theory can be useful in dealing with individual, family, and/
or organizational situations. The narrative that follows the case vignette provides a link from the
case to the concepts of the theory, even before the students have explored the theory in depth.
Each chapter includes a discussion of strengths and weaknesses of the theory, in order to facilitate
comparing theories and evaluating their usefulness for specific educational, counseling, human
service, or policy goals.
The chapters close with a set of critical thinking questions and exercises which are intended
to promote an analytical review of concepts, link the theory to personal life experiences, and
encourage students to return to the opening case with enhanced appreciation for the insights
provided by the theoretical lens. Key terms are boldfaced throughout each chapter, and the
definition of these words and phrases can be found in the glossary as well as in the student
e-resource. These glossary terms will support student assessment and outcomes. Recommended
resources are suggested that extend the ideas of the theory through lectures, videos, websites, and
additional readings. These resources suggest ways that students who are motivated can continue
their exploration of the theory by examining its past as well as its current trends and application.

New to the Second Edition

This edition preserves the basic organization and writing style of the first edition. It has been
thoroughly updated with new references and contemporary examples of theoretical extensions,
research, and applications. As noted above, many pedagogical elements were added to this
edition. With respect to the content, a stronger emphasis on application can be seen in the use
of opening cases for each theory chapter, a basic question about the practical implications of the
theory, and critical thinking questions that focus on using the theory to interpret the case and
personal life experiences. A new theory chapter, Chapter 10, Bioecological Theory, was added,
based on its importance as a foundational framework in education, human services, and social
work. The Epilogue, Chapter 12, was also added to provide a supplemental stimulus for analysis
and comparison.
New topics are incorporated into the chapters. A few examples include: research on free-riders
in Chapter 2; new research on the cognitive unconscious in Chapter 3; Robbie Case’s theory of
central conceptual structures in Chapter 4; a discussion of Albert Bandura’s social cognitive theory
xiv • Preface

in Chapter 5; an expanded discussion of gender role development in Chapter 6; a discussion of

the effects of the accumulation of advantage and disadvantage over the life course in Chapter 7;
a discussion of the practical implications of psychosocial theory in Chapter 8; an explanation of
cultural historical activity theory (CHAT) in Chapter 9; and an explanation of Gilbert Gottlieb’s
concept of probabilistic epigenesis in Chapter 11.
This edition is accompanied by a website at www.psypress.com/9781848726673. The website
provides instructors with a test bank, PowerPoints, cases, discussion questions and activities, tips
for using the book with various types of majors, and a conversion guide outlining changes to
the new edition. Students will find a summary, chapter outline, key terms with definitions, and
additional readings and websites for further study.
We hope the text will serve instructors well in bringing the realm of theory to life. We hope
the content will encourage students to see the field of human development as a living science that
invites their critical thinking and creative contributions.
 Acknowledgments

We would like to thank the reviewers who gave us their input on the revision: Davidio Dupree,
University of Pennsylvania, Michele Gregoire Gill, University of Central Florida, Hillary Merk,
University of Portland, Lydia B. Smith, University of North Carolina at Charlotte, and one
anonymous reviewer.

xv
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 About the Authors

Barbara M. Newman received her Ph.D. in developmental psychology from the University
of Michigan. She is a professor emeritus at the University of Rhode Island in Human
Development and Family Studies where she served for six years as department chair. She has
been on the faculty at Russell Sage College and the Ohio State University, where she served as
department chair in Human Development and Family Science, and as associate provost for
faculty recruitment and development. As associate provost, she provided leadership for the
recruitment of women and underrepresented minorities in the faculty, including innovative
spousal advocacy initiatives. She was one of the founders of the Young Scholars Program as
well as a program to provide access and coordinate resources for single mothers who wanted
to complete an undergraduate degree. Dr. Newman received the outstanding teaching award
from the College of Human Science and Services at the University of Rhode Island. Her
teaching included courses in human development and family theories, life-span development,
adolescence and young adulthood, and the research process. Dr. Newman’s publications include
articles on social and emotional development in adolescence, parent–adolescent relationships,
and adjustment in the transition to high school and the transition to college. She is currently
involved in two major research projects: a study of the sense of purpose and adaptation to
the college environment for students with disabilities; and a multinational study of adolescent
well-being.

Philip R. Newman received his Ph.D. in social psychology from the University of Michigan. He
is a fellow of the American Psychological Association, the Society for the Psychological Study of
Social Issues (SPSSI), and the American Orthopsychiatric Association. He has taught courses in
introductory psychology, adolescence, social psychology, developmental psychology, counseling,
and family, school and community contexts for development. He served as the director for
research and evaluation for the Young Scholars Program at the Ohio State University, and as the
director of the Human Behavior Curriculum Project for the American Psychological Association.
His research focused on the transition to high school for low-income, minority students, and
the relationship of group identity and alienation to adaptation in early adolescence. His current
projects include a book about how high schools can meet the psychosocial needs of adolescents,
and the development of a protocol for counselors to assess psychosocial maturity and problems
in living based on the developmental framework presented in Development through life: A
psychosocial approach.

xvii
xviii • About the Authors

Together, the Newmans have co-authored 13 books in the field of human development as well
as numerous journal articles and book chapters on adolescent development, parenting, and
psychosocial theory. Their life-span developmental text, Development through life: A psychosocial
approach, is in its 12th edition.
 1
Introduction

CHAPTER OUTLINE
Case Vignette 1
What Is Human Development? 3
What Is a Theory? 4
Components of a Theory 5
Requirements of a Good Theory 6
What Do We Expect from a Theory of Human Development? 6
What Are the Challenges to Understanding Human Development Across the Life Span? 9
Why So Many Theories? Which One Should I Choose? 11
The Organization of the Book 11
Critical Thinking Questions and Exercises 13
Key Terms 13
Recommended Resources 14
References14

Guiding Questions
• What is the role of theory in the study of human development?
• What are some important features of a theory?
• How would you decide which theory is most appropriate for explaining behaviors that
are of interest to you?

Case Vignette
Imagine the following situation. You are babysitting for Clark, who is 2½. You are getting
ready to go to the park, which Clark loves, and you tell Clark that he needs to get his shoes on

1
2 • Introduction

before you can leave the house. Clark sits down on the floor, pulls his shoes on, and starts to
tie his laces. You see that he is having trouble, so you offer to help. “No!” says Clark, “I do it.”
You wait a while, and then you say, “Let me get that so we can go to the park.” “No!” says Clark
again, and pulls away. “Don’t you want to go to the park?” you ask. Clark takes his shoes off
and throws one at you. He falls on the floor, kicking and crying “no shoes, no help, no park!”

As a student of human development, you might begin to try to understand this situation
by reflecting on what you observed. What did Clark say and do? What did you say and
do? What was the context in which this interaction took place? Once you have taken
careful account of the “what” of the situation, you will probably begin asking yourself some
questions in order to understand the “why” of the situation and how to cope with it. You
may wonder about the meaning of the situation for you and for Clark. You might consider
that since you are an adult and Clark is a young child, the meaning of the situation might
be different for each of you. Why won’t Clark accept your help? Does Clark understand why
he has to wear shoes to the park? Why is Clark so set on tying his own shoelaces? What role
did you play in this situation? Did you say or do something that made Clark reject your
help? How can you intervene so that Clark puts his shoes on and gets to go to the park?

In order to answer these questions, you need to link your observation of your behavior
and Clark’s behavior to ideas that explain them. These ideas are your theory of why things
happened as they did for you, for Clark, and for you and Clark. The theory will lead you to
a decision about what you might do next.

The world of scientific inquiry can be divided into two related components: observation and
theory. Scientific observations describe what happens; scientific theories offer explanations
about “how” and “why” these things happen.
In the study of human development, theories play a powerful role by shaping our ideas about
the meaning of behavior, expanding our understanding of the scope and potential of complex
human functioning, opening the way to new research, and guiding interventions. There is
no single, agreed on theory that all scholars of human development endorse. Yet, many of the
theories have given us a new lens for observing and interpreting behavior.

• Jean Piaget’s theory of cognitive development led to a new appreciation for the way children
create meaning out of their experiences. His theory has helped parents and teachers appreciate
that as children develop they use different strategies for learning and thinking. This insight has
had broad application in the design of age-appropriate curricula and learning environments.
• Sigmund Freud’s theory of development provided insights into the unconscious, giving us
a way of thinking about the tension between strong motives or desires and the constraints
against expressing those desires. His emphasis on the early and continuing maturation of
sexual drives has influenced parenting practices and approaches to psychotherapy. Current
biopsychosocial theory draws on his work, linking internal sexual motives with patterns of
reproductive behavior and their implications for human evolution.
• Albert Bandura’s theory of social learning led to widespread use of the idea of modeling
to characterize the social conditions under which children learn through observation and
imitation of the behavior of others. His theory stimulated greater awareness of the social nature
 Introduction • 3

of learning across many contexts. His ideas about self-efficacy have pointed to the importance
of confidence as a person strives to meet new and challenging standards for performance.
This concept has been applied in many fields including coaching, classroom instruction, and
workplace performance.
• Erik Erikson’s psychosocial theory highlighted the concept of identity, a creative synthesis
of a sense of self in society, that emerges in later adolescence and guides the direction of
development over the life span. His theory was one of the first to provide a model of
development that extends over the entire life span. His theory has been applied broadly in
the field of college student development with specific links to student achievement, career
exploration, ethnic identity, and gender role development.

These are a few examples of how theorists have provided frameworks for identifying unobservable
processes and mechanisms that account for behavior. In doing this, they have given us a new
vocabulary for understanding and studying the dynamics of development.
This book is a selective introduction to ten theories that have inspired the study of human
development and produced a rich heritage of research and intervention. Each theory not only has
a distinguished history, but is also important in shaping the current focus of the field and guiding
approaches to both research and practice.
This introductory chapter will address the following questions:

1. What is human development?

2. What is theory?
3. What do we expect from a theory of human development?
4. What are some of the challenges to understanding human development across the life span?
5. Why are there so many theories?

The chapter closes with an overview of the organization of the text.

What Is Human Development?

The study of human development focuses on describing patterns of constancy and change across
the life span and identifying the underlying processes that account for these patterns (Kagan,
1991). The term development implies change that occurs over time and has a direction. The
direction is usually from simple to more complex, from less organized and coordinated to more
organized and coordinated, or from less integrated to more integrated. In order to decide whether
a particular change is developmental, one must ask if there is some pattern to the change that can
be observed from one individual to the next, and if this change appears to have a direction that
suggests a new level of complexity or integration. Consider the behavior of walking as an example.
Walking is a new form of locomotion that can be observed from one child to the next. The change
from crawling or scooting to standing and walking involves new levels of coordination in balance,
and new integration of sensory and motor information.
The term human development suggests a focus on the human species, not all life forms. This
focus brings with it special considerations. First, humans have ideas and experiences that influence
their outlook. Scientists and theorists are similar to other humans in this regard. Scholars of
human development are humans studying their own species. They have their own thoughts
and experiences that may serve as a basis for expectations about the direction and meaning of
4 • Introduction

behavior. Often, these personal thoughts and experiences serve to give focus and direction to
the scholar’s work. For example, Erik Erikson grew up in southern Germany with his mother
and stepfather who was a Jewish pediatrician. It was not until he was older that he learned that
his biological father was Danish. The experience of being an ethnically and religiously mixed
child growing up in a tight knit, bourgeois community contributed to his heightened awareness
of identity, self, and society which became key constructs in his theory. Each theory of human
development must be understood as reflecting the education and training, historical context, and
personal experiences, values, and beliefs of the human beings who invented it.
Second, humans enjoy a wonderful capacity for representational or symbolic thought.
Thus, theories of human development must address more than a description of behaviors and
explanations that account for these behaviors. They must also account for the nature of mental
activity such as knowledge acquisition and use, imagination, aspirations and plans, emotions,
problem solving, patterns of change and the direction of change in mental activity. Theories of
development need to offer ideas about the mechanisms that link mental activity and behavior.
Third, humans have a comparatively long life span during which their capacities change
dramatically. In contrast to many other species, humans are born in a dependent state, and
their daily survival depends on the care and nurturance provided by others. This dependent
state continues for quite some time. Humans may live to an advanced age of 100 years or more,
achieving many new levels of complex thought and behavior, participating in a wide range of
social relationships, and adapting to diverse physical and social settings. Theories of human
development must address constancy and change of an organism over a long period of time.

What Is a Theory?
A theory is a logical system of concepts that helps explain observations and contributes to the
development of a body of knowledge. We all have our informal, intuitive theories about why
people behave as they do. For example, the adage “The acorn doesn’t fall far from the tree,” is an
informal theory that predicts that children are going to grow up to behave a lot like their parents.
However, a formal scientific theory is different from an informal set of beliefs. In order for a set of
ideas to reach the level of a formal scientific theory, it has to be supported by extensive evidence,
including systematic experimentation and observation (Zimmerman, 2009). A formal scientific
theory is a set of interconnected statements, including assumptions, definitions, and hypotheses,
which explain and interpret observations. The function of this set of interconnected statements is
to describe unobservable structures, mechanisms, or processes and to relate them to one another
in order to explain observable events. For example, in learning, the information or strategies that
have been learned are not observable nor is the process of learning. The information becomes
observable by asking questions, giving a test, or presenting a situation where the information
must be used to solve a problem. However, the process of learning the information is not directly
observable and our understanding of this process relies on theories that attempt to explain how
new information is acquired, remembered, and produced when needed. Components of a theory
and characteristics of a good theory are listed in Table 1.1.
In the field of human development, theory is differentiated from research and from facts. The
research process may be guided by theory; however, the research process is a separate approach to
building a knowledge base. For example, Piaget’s cognitive developmental theory introduced the
idea that through direct interaction with the physical world, infants gradually construct a scheme
for the permanent object, and understanding that objects do not cease to exist when they are out
 Introduction • 5

Table 1.1 What is a theory?

Components of a theory Characteristics of a good theory

Assumptions Logical
Domains Internally consistent
Range of applicability Parsimonious
Constructs Testable
Hypotheses Integrates previous research
Deals with a relatively large area of science

of sight. A growing body of research, stimulated by this theory, has led to a more complex view
of what infants know about objects depending on the nature of the task, the kind of response the
baby is required to make, and the setting where the baby is studied.
Facts are distinct from the theories that might try to explain or account for them. For example,
life expectancy at birth in the United States has increased considerably from 1900 to the present.
This fact is indisputable. There may be several theories about factors that account for changes in
longevity. Each theory might influence the direction of research about longevity. However, these
theories do not change the facts.

Components of a Theory
Theories are like short stories with a situation, main characters, and a plot. The theory identifies
a domain such as cognition, language, learning, motivation, or identity development that will be
the focus of explanation. This is the situation or problem the theory is attempting to address. In
order to understand a theory, one must be clear about which phenomena the theory is trying to
explain. A theory of intellectual development may include hypotheses about the evolution of the
brain, the growth of logical thinking, or the capacity to use symbolism. Such a theory is less likely
to explain fears, motives, or friendship. Understanding the focus of the theory helps to identify its
range of applicability. Although principles from one theory may have relevance to another area
of knowledge, a theory is evaluated in terms of the domain it was originally intended to explain.
In reading about each theory, you will encounter certain assumptions about the scientific
process, human behavior, or development. These assumptions may not be testable; they provide
a platform upon which the theory is built. Assumptions are the guiding premises underlying the
logic of a theory. In order to evaluate a theory, you must first understand what its assumptions
are. Darwin assumed that lower life forms “progress” to higher forms in the process of evolution.
Freud assumed that all behavior is motivated and that the unconscious is a “storehouse” of
motives and wishes. The assumptions of any theory may or may not be correct. Assumptions may
be influenced by the cultural context that dominates the theorist’s period of history, by the sample
of observations from which the theorist has drawn inferences, by the current knowledge base of
the field, and by the intellectual capacities of the theorist.
Each theory is comprised of key constructs that refer to certain unobservable relationships
or processes. You might think of these constructs as the principal characters in the story. We
use constructs such as intelligence, motivation, and goals to explain human behavior, just as we
use constructs such as electricity, gravity, and momentum to explain the physical world. In each
case, the construct is not observable directly, although in the case of the physical world, scientists
often have reached agreement on ways of measuring constructs. Developmental scholars work
to measure explanatory constructs just as physical scientists do, but there is much less agreement
about approaches to measurement.
6 • Introduction

Finally, theories offer if–then links or testable hypotheses. This is the plot. What does the
theory predict? For example, Skinner’s theory of operant conditioning offered the following
testable hypothesis: “When a response is followed by a reward or reinforcement, the probability
of its recurrence will increase.” This means that successful actions (those that are rewarded)
are more likely to be repeated than unsuccessful actions (those that are not rewarded).
From this single hypothesis, one can interpret many observations about human behavior
and predict others.

Requirements of a Good Theory

A formal theory should meet certain requirements. It should be logical and internally consistent,
with no contradictory statements. The hypotheses can be explored through systematic research.
As you read each theory, look for ways that the abstract concepts of the theory can be observed
and measured. For example, a theory of learning might suggest that a behavior is more likely to
occur when it is followed by a reinforcement. You can test this theory by monitoring a specific
behavior, creating a specific reinforcement, and observing whether or not a person performs the
behavior more often once the reinforcement has been presented.
The theory should be parsimonious, which means that the theory should be simple, relying on
as few assumptions, constructs, and propositions as possible while still accurately accounting for
the observations. Parsimony is relative. For example, Freud hypothesized that there were five stages
of development. Erikson hypothesized that there were eight stages of development. Using the
principle of parsimony, one might conclude that Freud’s theory is a better one. However, Erikson’s
theory provides a more differentiated view of adulthood and aging, and, as a result, his theory
offers more insight into the process of development over the life span. On the other hand, a theory
that suggests 30 or 40 stages of life might be viewed as overly complex and less parsimonious
than one that provides a smaller number of integrated periods. Finally, a theory should integrate
previous research, and it should deal with a relatively large area of science (Miller, 2011).
Theories add new levels of understanding by suggesting causal relationships, by unifying diverse
observations, and by identifying the importance of events that may have gone unnoticed. Once you
agree to use the constructs of the theory as a way of talking about the domain, the theory takes you
through a set of logical steps to predict the nature and direction of constancy and change.
Upon entering the world of a specific theory, it is easy to be caught up in its vocabulary and
logic and to think of the theory as offering the truth about its domain. However, an important
aspect of any scientific theory is that it is viewed as tentative and open to revision based on new
observations. Scientific theories are different from beliefs. They are created with an understanding
that new instrumentation, new observations, and new insights may result in new and better
explanations. Thus, in your study of scientific theories you must realize that you are dealing with
works in progress, and always treat them as providing descriptions and explanations that are
useful until a more inclusive, accurate analysis is available (Bordens & Abbott, 2013).

What Do We Expect from a Theory of Human Development?

Theories of human development offer explanations regarding the origins and functions of human
behavior and mental activity, and the changes that can be expected under certain conditions or
from one period of life to the next. A theory of development should help to explain how people
change and grow over time, as well as how they remain the same (Thomas, 1999). We expect a
theory of human development to provide explanations for six questions:
 Introduction • 7

1. What is the direction of change over the life span? We assume that there is a direction to
development, that it is not random. Development is not the same as changing one’s hair style
or deciding one day to play tennis and the next to play soccer. Theories of development offer
some big ideas about maturity, and shed light on important ways in which thought, self-
understanding, the capacity for social relationships, and/or the capacity for adaptation become
increasingly complex and integrated as life goes along. Theories of development provide a
framework for thinking about optimal development, that is, age-related characteristics of
social, physical, emotional and cognitive competence that can be expected when a person is
highly motivated, physically healthy, and well-integrated into their social group.
2. What are the mechanisms that account for growth from conception through old age? Do these
mechanisms vary across the life span? Theories of development suggest kinds of processes
or experiences that bring about systematic change. In this book, we will present and explain
the variety of mechanisms theorists offer for how growth and development occur. For
example, Piaget’s theory suggests that change occurs when a person encounters discrepancy
between what is experienced in the world and the mental representations of that experience.
He assumed that there is a natural tendency for people to resolve this discrepancy and seek
equilibrium. Another theorist might offer a different kind of mechanism for explaining how
change occurs. And in some instances, a theory suggests that different kinds of processes are
at work at different periods of life.
3. How relevant are early experiences for later development? The theories presented in this
book offer different ideas about the significance of early experiences for the psychological and
behavioral organization of later periods of life. Some theories suggest that incidents from infancy
and childhood play a powerful role in guiding the direction of development well into adulthood.
Other theories emphasize the influence of contemporary events in guiding development by
viewing the person as continuously adapting to new demands and opportunities.
  Two contrasting concepts inform this question: canalization and plasticity. Canalization
means that responsiveness, whether at a neural or behavioral level, is shaped and narrowed
as a result of repeated experiences (Gottlieb, 1991, 1997). For example, in infancy, babies are
initially able to perceive sounds from a wide range of languages. However, some time between
6 and 10 months, infants are no longer able to differentiate the sounds of non-native languages,
while their sensitivity to native language sounds and combinations becomes increasingly
adept. Repeated exposure to early stressors, such as harsh parenting, has a similar canalizing
impact at the neurological, hormonal, and cognitive levels (Blair & Raver, 2012). Children who
have been repeatedly exposed to harsh, violent environments may develop neurological and
hormonal responses that provide an advantage—a more rapid, sensitive awareness to threat,
and the related ability to withdraw. However, this advantage comes at the cost of physical
health, difficulties in concentrating, and impaired self-regulation.
  In contrast to the concept of canalization is the idea of plasticity, the capacity for adaptive
reorganization at the neurological, psychological, and behavioral levels. The impressive ability
of humans to learn from experience reflects this concept. Plasticity can be observed at the
neurological level. For example, after a stroke, rehabilitation efforts allow a person to relearn
many of the functions that were lost due to brain damage. Through repetition and practice,
new neural networks and pathways are established. In some cases, new regions of the brain
take over functions of regions that were damaged.
4. How do the environmental and social contexts affect individual development? Individuals
develop in contexts, especially physical, cultural, family, school, work, and community contexts.
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carried to a safe place and saying, “I will face the enemy.” If the
battle has its monument, so the hero that won it has his, and the
traveler on the New York Central Railway can see both, but thirty
miles apart, the one at Oriskany, the other a short distance down the
valley from Little Falls.

Fig. 10. Oriskany Battle Monument, a Few Miles West of

Utica
Herkimer was not a trained soldier, but a plain farmer of the
valley. His letters and military orders show us that he could spell as
poorly as any of his neighbors, and that is saying a good deal. His
army was made up of these same simple neighbors, who, though
they did not know much about soldierly marching, were good shots
and hard hitters, fighting not for pay but to save their liberty and to
protect their homes from the cruel savages.
The names of many of these men are on the battle monument,—
names such as Groot, Petrie, Dunckel, Klock, Kraus, Sammons,
Schnell, Van Horn, and Zimmerman. We do not need to be told that
these were not men of English blood; indeed, many of them
belonged to those same Dutch families which we saw settling in the
Hudson and Mohawk valleys. And some, like the last one, were not
Dutch but German, and their ancestors came not from Holland but
from a land farther up the Rhine. They had been driven out by the
persecutions of one of the French kings and had come to America.
They had had a hard time, suffering much from taskmasters, from
poverty, and from the savages, until finally they had gone farther
west in the Mohawk valley and had received good lands lying
eastward from Utica. There they became comfortable and
prosperous. They answered promptly the brave Herkimer’s call to
arms, and many of them gave their lives for home and country at
Oriskany.
We must now tell the other side of the story and see who the
invaders were and where they came from. In Revolutionary days
nearly all the people of New York were in its two great valleys. One
could go up the Hudson from New York, pass Albany and Fort
Edward, and, without finding high ground, enter the valley of lake
Champlain and go down to Montreal on the St. Lawrence. Here,
then, was an easy valley road from the sea at New York into
Canada. Coming either way, one could turn off to the west at Fort
Orange or Albany and go up the Mohawk and down to Oswego on
lake Ontario. In these two valleys were all the farms, the towns, and
of course the forts. There were forts at Oswego and where Rome,
Utica, and Albany are; at Fort Edward, Fort Ann, Ticonderoga, and
many other places, making a chain of defenses in these valleys.
West of the Hudson and south of the Mohawk were the high, rough
woods of the Catskills; while west of lake Champlain and north of the
Mohawk were the rugged Adirondacks, without roads or clearings.
And because the roads, the homes, and the forts were in the valleys,
we shall almost always find the armies and the fighting there.
This will help us to understand the plan which the British made in
1777, by which they felt sure of crushing the rebellion. The year
before they had to leave Boston and had come around to New York.
New York was not so large as Philadelphia then, but it was an
important place, for it was the key to the Hudson valley. The British
generals decided to send one army up the Hudson to destroy the
forts and beat back the colonists. This army was under General
Howe. Another army, commanded by General Burgoyne, was to
come from the St. Lawrence up lake Champlain and through the
woods by Fort Edward to Albany. Burgoyne was a brave officer, but
he was conceited, and he felt too sure that he could do his part
easily. He was confident that when he marched through the country
many colonists would run to place themselves under the English
flag. In a few weeks he learned that these backwoods Americans
were quite ready to meet and give battle to the combined forces of
the British regulars, the hired German soldiers, and the Indians with
whom they were in league.

Fig. 11. General Nicholas Herkimer directing the Battle of

Oriskany
 There was yet a third division in this campaign. A British force
under General St. Leger had come up the St. Lawrence and lake
Ontario to Oswego. St. Leger also had with him many Indians, and
these were commanded by Joseph Brant, a famous chief, who had
had much to do with white men and who was well educated. This
third army was to go east, over the Oneida Carrying Place and down
the Mohawk to Albany. By this pretty plan three armies, one from the
south under Howe, one from the north under Burgoyne, and one
from the west under St. Leger, were to meet in Albany. They would
put British soldiers in every fort on the way, capture and disarm the
rebels, and have all New York under their feet. More than this, they
would thus shut off New England from Pennsylvania and Virginia,
cutting the unruly colonies into two parts so that they could not help
each other.
But the scheme, brilliant as it was, would not work. None of the
British armies reached Albany. Howe did not, perhaps because he
did not try. Burgoyne and St. Leger did not, because they could not:
there was altogether too much in the way. We shall now see how this
happened.
St. Leger brought into the Mohawk valley from Oswego an army
of seventeen hundred men. Some were British, some were Hessians
or hired German soldiers, and the rest were Indians under Joseph
Brant. They thought that it would not be much trouble to take Fort
Stanwix and then go down the valley, burning and killing as they
went, until they should meet the other armies of the king at Albany.
But the colonists sent more soldiers to defend the fort, and Colonel
Peter Gansevoort, who was in command, had under him nearly a
thousand men. Just before the British came in sight a stock of
provisions, brought on several boats up the river, had been safely
delivered within the defenses. This was early in August, and only
about seven weeks before Congress had adopted the style of
American flag which we know so well. There was no flag at Fort
Stanwix, so the garrison set about making one. They cut up shirts to
make the white. The blue came from a cloak captured not long
before in a battle, on the Hudson, by Colonel Marinus Willett, one of
the bravest commanders within the fort. The red is said to have been
taken from a petticoat. Certain it is that a patriot flag was made, and
some think that it was the first American flag ever raised over a
fortification.
While the British were besieging Fort Stanwix, General Herkimer
had called out the men of the valley, bidding all between the ages of
sixteen and sixty make ready for battle. The boys and old men were
to do their best to care for the families and to defend their homes.
Eight hundred men gathered under Herkimer and marched to help
the garrison of the fort. Hearing of this, part of the British army,
including the Indians, came down the valley to head off Herkimer.
They met at Oriskany. The farmer soldiers were hurrying up the
valley without due watching for sudden attack, while the enemy
placed themselves in ambush around a low field which was wooded
and swampy. Through this field the road ran, and when Herkimer’s
men were well down into it the Indians opened a hot fire, which threw
the patriots into disorder. They soon rallied and fought fiercely for
five hours, until two hundred of them had lost their lives. Early in the
battle Herkimer was shot, but he forgot his pain when he saw his
men victorious. Much of the fighting was of the Indian sort, from
behind trees, for the Dutchmen well knew the ways of the savages.
They saw that when one man fired from behind a tree an Indian
would rush forward to tomahawk him before he could load his gun
for another shot. So they were ordered to stand by twos and take
turns in firing. Thus when the Indian ran forward with his tomahawk
he would receive a bullet from the other man’s gun.
 Fig. 12. Nicholas Herkimer’s Monument
To the right is the old mansion in which he lived. Near Little Falls, New York
Under John Johnson, the son of Sir William Johnson, were many
Tories from the valley. They and the patriots often recognized each
other as former neighbors, and then the fight was more stubborn
than ever, for the soldiers of freedom were bitterly angry to find old
friends in arms against them. During the battle a terrific thunder-
shower came up, and both sides stopped fighting, having enough to
do to keep their powder and guns dry. The dark storm passed and
the strife went on again. At length the Indians grew tired and ran,
leaving the field to Herkimer and his little army. The importance of a
conflict is not always in proportion to the size of the armies engaged,
and in what it did for freedom Oriskany takes high place among the
battles of modern times.
The enemy went back to the siege of Fort Stanwix, and soon a
new force of patriots under Benedict Arnold was sent up the valley to
relieve the fort. It was during this march that an ignorant but cunning
fellow named Han Yost Schuyler was caught, tried, and condemned
to die as a spy. Because his friends pleaded for his life Arnold finally
told him that he might live if he would go up to Fort Stanwix and
make the Indians and British believe that a great army was marching
against them. Meanwhile the man’s brother was held as a hostage,
to be punished if the promise was not fulfilled. Han Yost did his part
so well that St. Leger, taking fright, left the fort in great haste and his
expedition was entirely broken up. Why he did not have a gay march
down to Albany is now quite plain.
A few days after the battle of Oriskany a number of men drove
some cattle to Fort Stanwix as food for the soldiers. Several women
went with them on horseback to visit their husbands, who belonged
to the garrison. At the ford of the river, now the Genesee street
crossing in Utica, a big Dutchman, who did not wish to get wet,
leaped uninvited upon a horse behind one of the women. The horse
did not like the double load, and made great sport by throwing the
Dutchman into the middle of the stream, while he carried his
mistress over in safety.
General Burgoyne came nearer Albany than did St. Leger.
Indeed he went to Albany, but not until he had lost his army. He had
promptly captured Ticonderoga on lake Champlain, and this success
gave him high hopes and sent rejoicing throughout Great Britain; but
the patriots, by felling trees and cutting away bridges, hindered his
southward march in every way. He sent a thousand of his German
soldiers across to Bennington, among the Green mountains, to
capture stores which he knew were there. But General Stark was
there also, with a little army from New Hampshire and
Massachusetts, and the thousand Hessians did not go back to help
Burgoyne. He had left another thousand to guard Ticonderoga, and
so he was two thousand short. All this time the patriot army was
growing, for the men of the Hudson valley were maddened when
they saw the bloodthirsty Indians marching with the English, and, to
Burgoyne’s surprise, they had no mind to fight for the king. Howe did
not come, St. Leger did not come, and the provisions were getting
short. These could only come along the road from the north, and the
colonists were already marching in behind Burgoyne’s army to cut
his line of communications. He knew that he must fight or starve. He
chose to fight. The battle was fought on Bemis Heights, a range of
hills west of the Hudson, a short distance north of the little village of
Stillwater. The British general, after his defeat, withdrew a few miles
northward and surrendered his army near the present town of
Schuylerville. A tall monument marks the place. This was the battle
of Saratoga, fought in old Saratoga, which is several miles from the
famous resort of that name.
So it was that up and down these beautiful valleys went armies
and scouting bands, as well as peaceful emigrants with their oxen,
their stages, and their small freight boats. One cannot go far along
the Hudson or the Mohawk without finding the site of an Indian
village, the foundations of an old fort, the homestead of a
Revolutionary hero, or an ancient place of worship. When we see the
great railways and swift trains, the bundles of telegraph wires, the
noisy cities and great mills of to-day, we can remember Philip
Schuyler, Sir William Johnson, Marinus Willett, Peter Gansevoort,
and Nicholas Herkimer. There were no nobler patriots, even in
Virginia and Massachusetts, than these men of the Mohawk valley.
 CHAPTER IV
THE ERIE CANAL

If we think that the men of a hundred years ago were people with
few wants, who were willing to let others do the trading and make the
fortunes, we are quite in the wrong. They were as eager in business
as are the driving Americans of to-day. So long ago as 1683 Thomas
Dongan, a well-born Irishman, came to New York to be its governor.
In his letters to the government in London he said a great deal about
the fur trade and the danger of its going to other cities. Once he
reported that two hundred packs of beaver skins had gone down the
Susquehanna river and across to Philadelphia instead of being
brought by the Mohawk to New York, and he thought that if this traffic
continued New York would be ruined.
As time went on the rivalry grew stronger and stronger. All the
cities on the coast were bidding for the western trade. The “West”
was then the Genesee country, the plains along the Lakes, and the
rich lands of the Ohio valley. Some of the trade from the Lakes and
the Genesee went down the St. Lawrence. Heavy articles especially
were sent to Quebec, while lighter freight was taken overland down
the Mohawk. When De Witt Clinton was stirring up the legislature
and the people of New York, he told them he was very sorry to learn
that merchandise from Montreal was sold in the state for less than
New York prices. This was because there was transportation by
water from Montreal, and the St. Lawrence merchants could afford to
undersell those of New York.
Many people thought that the wheat and flour and other products
of western New York would all go down the Susquehanna to
Baltimore and Philadelphia. Rough boats known as “arks” were built
and floated down the river in the high water caused by the melting of
the snows in the Allegheny highlands. From two to five hundred
barrels of flour were carried in one of these craft. As the boats could
not be sailed up the river, they were taken to pieces at the end of the
voyage and sold for lumber. We have already seen that Colonel
Rochester followed this valley in migrating to the Genesee river, and
one writer calls attention to the fact that in seven days several elderly
people had come quite comfortably by this route from Baltimore to
Bath in the southwestern part of New York. One could now travel
from San Francisco to New York and almost halfway across the
Atlantic ocean in that time.
Other cities also hoped to secure some of the profits of dealing
with the rapidly growing West. The tourist on his way down the
Potomac to Mount Vernon, the home of Washington, will pass by
Alexandria, a quiet old town of about fifteen thousand people.
Washington himself thought it possible that Alexandria might get a
good share of the trade from Detroit and other places on the Lakes
and on the Ohio river. All this seems strange to us, because since
the days of our great-grandfathers the traffic has been going largely
to New York. The cause of the change was the Erie canal. Yet in
1818, a few months after the canal was begun, an Albany
newspaper discussed very earnestly, as one of the chief questions of
the day, the danger that Philadelphia would take away the western
trade.
Flour, salt, and potash had been taken to New York in large
quantities, but all these products were carried as far as Schenectady
in little ten-ton boats, by way of Wood creek and the Mohawk. As the
business grew it was seen to be impossible always to drag the boats
up Wood creek with horses, and that the small canal, ten feet wide,
which had been cut around the rapids at Little Falls, could not serve
the purposes of another generation.
Hence for many years there had been talk of a canal to join the
Lakes and the Hudson, thus making navigation without a break from
the interior of the country to the Atlantic ocean at New York. The
credit for first thinking of such a canal has been claimed for several
men, but probably it was “in the air,” and many thought of it at about
the same time.
 Gouverneur Morris, one of the famous New York statesmen of
the day, proposed that lake Erie should be “tapped” and its waters
led to the Hudson. The surface of this lake is five hundred and
seventy-three feet above tide water at Albany. It was Morris’s idea to
dig a channel, with a gently sloping bottom, which should send the
water east in a stream deep enough to float a boat. The water thus
turned from its course would go to Albany instead of flowing through
the Niagara and the St. Lawrence. There were, however, difficulties
about the plan which Morris did not understand, and it was never
carried out.

Fig. 13. De Witt Clinton

The great water way is often known as “Clinton’s Ditch.” This
name was doubtless given in ridicule by those who did not think it
could be built. There were many who laughed at the surveyors when
they saw them looking about, using their levels, and driving their
stakes in the woods and swamps. It was even said that to dig such a
canal was impossible, that it would cost too much money, that it
would take too much time, and that the canal itself could never be
made to hold water.
But Clinton and his supporters believed in it, and worked hard to
make it a success. They said that the cost of carrying a ton of
produce in wagons a distance of one hundred miles was about thirty-
two dollars. The experience of others had proved that in canals a ton
could be carried one mile for one cent, or a hundred miles for one
dollar. There is a great difference between one dollar and thirty-two
dollars, especially if the difference is added to the cost of the wheat
from which our bread is made, or of the lumber used in building our
houses. Clinton himself thought that it might take ten or fifteen years
to make the canal, but, as we shall see, it was finished in less time
than he supposed.
Clinton declared very truly that New York was especially
fortunate, for the surface made it an easy task to dig the ditch. There
was no high or rough ground to be crossed, there was plenty of
water to keep the canal full, and it would run through a fertile and
rich country. As Clinton was governor of New York during much of
the period in which the canal was made, his name is imperishably
connected with the great enterprise. He was once candidate for the
office of President of the United States, but perhaps even that office,
if he had been elected, would not have given him so much honor as
did the building of this great public work.
Canals were not new in Clinton’s time. Long before the Christian
era began men had dug them to carry water for various uses, such
as irrigation and turning machinery. Often, as for hundreds of years
in the fen country of England, canals have been used to drain wet or
flooded lands and for moving boats. Even beavers have been known
to dig ditches, which fill with water, that they may float the wood
which they cut to the place where they build their dams and their
homes.
If a region is perfectly level, only a ditch and water are needed.
But lands are not often level for more than short distances; hence a
canal consists commonly of a series of levels at different heights. Of
course the boats must be passed from one level to another by some
means. If they are small, they can be dragged up or down between
two levels; but this method will not serve for large boats carrying
many tons of coal, lumber, salt, or bricks, hence locks are generally
used. A lock is a short section of a canal, long enough for the boats
used, and having walls rising from the bottom of the lower level to
the top of the upper one. There are big gates at each end. If a boat is
to ascend, it runs into the lock on the lower level and the lower gates
are closed. A small gate in the large upper gate is then opened and
the water runs in from above, slowly raising the water in the lock and
with it the boat. When the water in the lock is even with the water in
the upper level, the big upper gates are swung open and the boat
goes on its way. In a similar manner boats go down from higher to
lower sections of the canal. Locks have been used in Italy and in
Holland for more than four hundred years.
On April 15, 1817, the legislature passed the law for the
construction of the long ditch, and the first spade was set into the
earth by Judge John Richardson at Rome, New York, on July 4 of
the same year. This was forty-one years after the Declaration of
Independence, and it is plain that the country had grown much in
wealth and numbers when a single state could start out to build a
water way three hundred miles long. After the first spadeful of soil
had been lifted, the citizens and the laborers eagerly seized the
shovels, and thus everybody had a small share in beginning the
great work. Guns were fired and there was much rejoicing.
 Fig. 14. Erie Canal, looking East from Genesee Street
Bridge, Utica
The men who took the contracts for digging short sections of the
canal were mainly farmers who had gained good properties and who
were living along the line. In those days, if any one had visited the
men at work, he would not have seen crowds of foreign laborers
living in huts, but men born and reared in the country round about. It
was little more than twenty years since the Genesee road had been
built through central New York, and there was still much forest. The
trees grew rank and strong, and it was no light task to cut through
the tangled network of roots that lay below the surface. First the
trees were cut down, making a lane sixty feet wide, and in this the
canal was dug to a width of forty feet. Powerful machines that could
draw out stumps and pull over the largest trees were brought from
Europe. The wheels of the stump machine were sixteen feet across.
A plow with a sharp blade was also made, to cut down through the
heavy carpet of fibers and small roots.
 Swiftly one piece after another of the canal was finished and the
water let in. The trench was found to hold water, and boats were
soon busy hauling produce from town to town. In 1825 it was
finished from Black Rock, or Buffalo, to Waterford, above Troy. The
work had taken eight years and had cost a little less than eight
million dollars. De Witt Clinton was right and the croakers were
wrong. Perhaps it was hard at that time to find any one who did not
think that he had always wanted a canal.
There were, it is true, a few disappointed ones at Schenectady.
There the wagons from Albany had always stopped, and there the
boating up the Mohawk had begun. As all the loads had to be shifted
between the river and the land journeys, there had been work for
many men. Thus the place had grown up, and now that boats were
to run through without change, some people naturally thought that
the town would die out, or would at least lose much of its business.
These few discontented folk, however, were hardly to be counted,
among the thousands who exulted over the completed canal.

Fig. 15. Along the Canal in Syracuse

Copyrighted, 1899, by A. P. Yates, Syracuse, N.Y.
A great celebration was arranged, and the rejoicings of the
beginning were redoubled in the festivities at the end. Boats were
made ready at Buffalo to take Governor Clinton and the other guests
to New York. When the first boat entered the canal from lake Erie a
cannon was fired. Cannon had been set within hearing distance all
the way to the sea along the line of the canal. This way of sending
news was the nearest approach to the telegraph at that time. Soon
the tidings of the great event came booming down among the cliffs of
1
the Hudson and reached New York.

1
The time allowed for the signaling from
Buffalo to Sandy Hook was one hour and twenty
minutes. This programme was substantially
carried out. From Albany to Sandy Hook only
twenty minutes were required.

Two kegs of lake Erie water were put on one of the boats at
Buffalo, and we shall see what was done with them. There were also
two barrels of fine apples which had been raised in an orchard at
Niagara Falls. These were not to be eaten on the way, one barrel
being for the Town Council of Troy, and the other for the city fathers
of New York. Many people on both sides of the ocean are still eating
fine apples from the trees of the Genesee country.
One boat in the little fleet was called Noah’s Ark, and on board
were two eagles, a bear, some fawns, fishes, and birds, besides two
Indian boys. These were sent to New York as “products of the West.”
At every town there was a celebration, and great was the excitement
in such cities as Rochester, Syracuse, Utica, and Albany. There were
salutes and feasts and speeches and prayers, and the gratitude and
joy of the people fairly ran over. The greatest celebration of all was in
New York, where everybody turned out to do honor to the occasion.
The fine ladies boarded a special boat, and the “aquatic procession”
went down through the bay to Sandy Hook. It was arranged that a
messenger of Neptune, the sea god, should meet the fleet, inquire
their errand, and lead them to his master’s realm. Here Governor
Clinton turned out the lake Erie water from the two kegs into the sea
as a symbol of the joining of the lakes and the ocean. Then all the
people went back to the city and had speeches and parades, feasts
and fireworks, while the city-hall bell was rung for several hours. The
illumination was said to be a fine one, but perhaps their lamps and
candles would now look dim.
After the canal was finished the carrying business was quite
made over. Little was heard then about sending western New York
fruit and grain to Philadelphia or Montreal or Alexandria. Freighting
was so cheap that a man who had been selling his wheat for thirty
cents a bushel now received a dollar for it. In the war with England,
only a few years before, it had cost more to carry a cannon from
Albany to Oswego than it had cost to make it. The journey had now
become an easy and simple matter. Two farmers built a boat of their
own, loaded it with the produce of their farms, and took it down
Seneca lake and all the way to New York. They were let out of the
woods into the wide world.

Fig. 16. Traveling by Packet on the Erie Canal

The canal was not entirely given up to the carrying of freight.
People thought that it was a fine experience to travel in the
passenger boats, which were called “packets.” These were
considered as remarkable as are the limited express trains of to-day.
The speed allowed by law was five miles an hour. To go faster would
drive the water against the banks and injure them. The fare was five
cents a mile including berth and table. It was said that a man could
travel from New York to Buffalo with “the utmost comfort” and without
fatigue. The journey cost eighteen dollars, and only took six days!
We, of course, cannot help thinking of the Empire State Express,
which leaves New York at 8.30 a.m. and arrives in Buffalo at 4.50
p.m.

Fig. 17. Erie Canal and Solvay Works, Syracuse

If the journey of those days seems long to us, we must
remember that to most of the travelers the scenery was fresh and
interesting, for it was a visit to a new land. The rocky highlands, the
blue Catskills, the winding Mohawk, and the towns and farms of the
interior were perhaps as full of interest as the morning paper is on
the trains of to-day. From Utica to Syracuse, more than fifty miles, is
one great level; but on nearing Rochester the canal follows an
embankment across a valley, and the passengers in those days
looked wonderingly down on the tops of trees. At Lockport they
heard the clatter as they slowly rose by a long row of locks to the top
of the cliffs, and at Buffalo they looked out on a sea of fresh water. At
Utica, Rome, Rochester, and other places, after a few years, side
canals came in from north and south, from Binghamton and from the
upper valley of the Genesee; and up in the hills great reservoirs were
built, with shallow canals known as “feeders” leading down to the
main trench. These were built to make sure that there should be
water enough for dry seasons; for locks will leak, and whenever a
boat locks down a lockful of water goes on toward the sea.
Now all was stir and growth. Buffalo had started on its way to
become a great city. Rochester ground more wheat and Syracuse
made more salt. There was no doubt that New York would soon be
known as the metropolis of the western world, and “Clinton’s Ditch”
became the most famous of American canals.
 CHAPTER V
THE NEW YORK CENTRAL RAILWAY

The Erie canal had not long been finished when a new way of
carrying men and merchandise came into use in New York. In the
next year after the great celebration the legislature granted a charter
to build a railroad from Albany to Schenectady. It is sometimes said
that this was the first time in America that cars were drawn by means
of steam. This is not true, but New York was not far behind some
other states, and the De Witt Clinton train, of which a picture is
shown in this chapter, looks as if it must have been one of the very
earliest ones. This train made its trial trip in 1831, which was
seventeen years after George Stephenson had built his first
locomotive in England.
A railroad had been opened from Baltimore, a few miles to the
west, the year before, and about the same time another was built in
South Carolina. Two years earlier, in 1829, the Delaware and
Hudson Canal Company brought from England three locomotives,
one of them built by Stephenson, to draw coal to their canal from
their mines at Honesdale, Pennsylvania. In 1826 a railroad four miles
long was built at Quincy, Massachusetts, to carry granite from the
quarries to the sea. It was called a tramway, and horses were used
instead of steam. If we go to England, we shall find that tramways
have been used there for more than a hundred years. Thus it is not
easy to say when the first railroad was built, and all writers do not tell
the same story about it, but it is certain that steam cars were first
used and long roads with iron tracks were first built a little less than a
hundred years ago.