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 vii

Contents

Preface xi
Symbols and Abbreviations xv

1 Introduction 1

2 Mathematical Foundations 13
2.1 Matrix Algebra 13
2.2 Vector Algebra 20
2.3 Simultaneous Linear Equation Systems 22
2.4 Linear Dependence 26
2.5 Convex Sets and n-Dimensional Geometry 29

3 Introduction to Linear Programming 35

3.1 Canonical and Standard Forms 35
3.2 A Graphical Solution to the Linear Programming Problem 37
3.3 Properties of the Feasible Region 38
3.4 Existence and Location of Optimal Solutions 38
3.5 Basic Feasible and Extreme Point Solutions 39
3.6 Solutions and Requirement Spaces 41

4 Computational Aspects of Linear Programming 43

4.1 The Simplex Method 43
4.2 Improving a Basic Feasible Solution 48
4.3 Degenerate Basic Feasible Solutions 66
4.4 Summary of the Simplex Method 69

5 Variations of the Standard Simplex Routine 71

5.1 The M-Penalty Method 71
5.2 Inconsistency and Redundancy 78
5.3 Minimization of the Objective Function 85
viii Contents

5.4 Unrestricted Variables 86

5.5 The Two-Phase Method 87

6 Duality Theory 95
6.1 The Symmetric Dual 95
6.2 Unsymmetric Duals 97
6.3 Duality Theorems 100
6.4 Constructing the Dual Solution 106
6.5 Dual Simplex Method 113
6.6 Computational Aspects of the Dual Simplex Method 114
6.7 Summary of the Dual Simplex Method 121

7 Linear Programming and the Theory of the Firm 123

7.1 The Technology of the Firm 123
7.2 The Single-Process Production Function 125
7.3 The Multiactivity Production Function 129
7.4 The Single-Activity Profit Maximization Model 139
7.5 The Multiactivity Profit Maximization Model 143
7.6 Profit Indifference Curves 146
7.7 Activity Levels Interpreted as Individual Product Levels 148
7.8 The Simplex Method as an Internal Resource Allocation Process 155
7.9 The Dual Simplex Method as an Internalized Resource Allocation
Process 157
7.10 A Generalized Multiactivity Profit-Maximization Model 157
7.11 Factor Learning and the Optimum Product-Mix Model 161
7.12 Joint Production Processes 165
7.13 The Single-Process Product Transformation Function 167
7.14 The Multiactivity Joint-Production Model 171
7.15 Joint Production and Cost Minimization 180
7.16 Cost Indifference Curves 184
7.17 Activity Levels Interpreted as Individual Resource Levels 186

8 Sensitivity Analysis 195

8.1 Introduction 195
8.2 Sensitivity Analysis 195
8.2.1 Changing an Objective Function Coefficient 196
8.2.2 Changing a Component of the Requirements Vector 200
8.2.3 Changing a Component of the Coefficient Matrix 202
8.3 Summary of Sensitivity Effects 209

9 Analyzing Structural Changes 217

9.1 Introduction 217
9.2 Addition of a New Variable 217
 Contents ix

9.3 Addition of a New Structural Constraint 219

9.4 Deletion of a Variable 223
9.5 Deletion of a Structural Constraint 223

10 Parametric Programming 227

10.1 Introduction 227
10.2 Parametric Analysis 227
10.2.1 Parametrizing the Objective Function 228
10.2.2 Parametrizing the Requirements Vector 236
10.2.3 Parametrizing an Activity Vector 245
10.A Updating the Basis Inverse 256

11 Parametric Programming and the Theory of the Firm 257

11.1 The Supply Function for the Output of an Activity (or for
an Individual Product) 257
11.2 The Demand Function for a Variable Input 262
11.3 The Marginal (Net) Revenue Productivity Function for an Input 269
11.4 The Marginal Cost Function for an Activity (or Individual
Product) 276
11.5 Minimizing the Cost of Producing a Given Output 284
11.6 Determination of Marginal Productivity, Average Productivity,
Marginal Cost, and Average Cost Functions 286

12 Duality Revisited 297

12.1 Introduction 297
12.2 A Reformulation of the Primal and Dual Problems 297
12.3 Lagrangian Saddle Points 311
12.4 Duality and Complementary Slackness Theorems 315

13 Simplex-Based Methods of Optimization 321

13.1 Introduction 321
13.2 Quadratic Programming 321
13.3 Dual Quadratic Programs 325
13.4 Complementary Pivot Method 329
13.5 Quadratic Programming and Activity Analysis 335
13.6 Linear Fractional Functional Programming 338
13.7 Duality in Linear Fractional Functional Programming 347
13.8 Resource Allocation with a Fractional Objective 353
13.9 Game Theory and Linear Programming 356
13.9.1 Introduction 356
13.9.2 Matrix Games 357
13.9.3 Transformation of a Matrix Game to a Linear Program 361
13.A Quadratic Forms 363
x Contents

13.A.1 General Structure 363

13.A.2 Symmetric Quadratic Forms 366
13.A.3 Classification of Quadratic Forms 367
13.A.4 Necessary Conditions for the Definiteness and Semi-Definiteness of
Quadratic Forms 368
13.A.5 Necessary and Sufficient Conditions for the Definiteness and
Semi-Definiteness of Quadratic Forms 369

14 Data Envelopment Analysis (DEA) 373

14.1 Introduction 373
14.2 Set Theoretic Representation of a Production Technology 374
14.3 Output and Input Distance Functions 377
14.4 Technical and Allocative Efficiency 379
14.4.1 Measuring Technical Efficiency 379
14.4.2 Allocative, Cost, and Revenue Efficiency 382
14.5 Data Envelopment Analysis (DEA) Modeling 385
14.6 The Production Correspondence 386
14.7 Input-Oriented DEA Model under CRS 387
14.8 Input and Output Slack Variables 390
14.9 Modeling VRS 398
14.9.1 The Basic BCC (1984) DEA Model 398
14.9.2 Solving the BCC (1984) Model 400
14.9.3 BCC (1984) Returns to Scale 401
14.10 Output-Oriented DEA Models 402

References and Suggested Reading 405

Index 411
 xi

Preface

Economists, engineers, and management scientists have long known and

employed the power and versatility of linear programming as a tool for solving
resource allocation problems. Such problems have ranged from formulating a
simple model geared to determining an optimal product mix (e.g. a producing
unit seeks to allocate its limited inputs to a set of production activities under a
given linear technology in order to determine the quantities of the various
products that will maximize profit) to the application of an input analytical tech-
nique called data envelopment analysis (DEA) – a procedure used to estimate
multiple-input, multiple-output production correspondences so that the pro-
ductive efficiency of decision making units (DMUs) can be compared. Indeed,
DEA has now become the subject of virtually innumerable articles in profes-
sional journals, textbooks, and research monographs.
One of the drawbacks of many of the books pertaining to linear programming
applications, and especially those addressing DEA modeling, is that their cov-
erage of linear programming fundamentals is woefully deficient – especially in
the treatment of duality. In fact, this latter area is of paramount importance and
represents the “bulk of the action,” so to speak, when resource allocation
decisions are to be made.
That said, this book addresses the aforementioned shortcomings involving
the inadequate offering of linear programming theory and provides the founda-
tion for the development of DEA. This book will appeal to those wishing to solve
linear optimization problems in areas such as economics (including banking
and finance), business administration and management, agriculture and energy,
strategic planning, public decision-making, health care, and so on. The material
is presented at the advanced undergraduate to beginning graduate level and
moves at an unhurried pace. The text is replete with many detailed example
problems, and the theoretical material is offered only after the reader has been
introduced to the requisite mathematical foundations. The only prerequisites
are a beginning calculus course and some familiarity with linear algebra and
matrices.
xii Preface

Looking to specifics, Chapter 1 provides an introduction to the primal and

dual problems via an optimum product mix problem, while Chapter 2 reviews
the rudiments of vector and matrix operations and then considers topics such as
simultaneous linear equation systems, linear dependence, convex sets, and
some n-dimensional geometry. Specialized mathematical topics are offered in
chapter appendices.
Chapter 3 provides an introduction to the canonical and standard forms of a
linear programming problem. It covers the properties of the feasible region, the
existence and location of optimal solutions, and the correspondence between
basic feasible solutions and extreme point solutions.
The material in Chapter 4 addresses the computational aspects of linear
programming. Here the simplex method is developed and the detection of
degeneracy is presented.
Chapter 5 considers variations of the standard simplex theme. Topics such as
the M-penalty and two-phase methods are developed, along with the detection
of inconsistency and redundancy.
Duality theory is presented in Chapter 6. Here symmetric, as well as unsym-
metric, duals are covered, along with an assortment of duality theorems. The
construction of the dual solution and the dual simplex method round out this
key chapter.
Chapter 7 begins with a basic introduction to the technology of a firm via
activity analysis and then moves into single- and multiple-process production
functions, as well as single- and multiple-activity profit maximization models.
Both the primal and dual simplex methods are then presented as internal
resource allocation mechanisms. Factor learning is next introduced in the con-
text of an optimal product mix. All this is followed by a discussion of joint pro-
duction processes and production transformation functions, along with the
treatment of cost minimization in a joint production setting.
The discussion in Chapter 8 deals with the sensitivity analysis of the optimal
solution (e.g. changing an objective function coefficient or changing a compo-
nent of the requirements vector) while Chapter 9 analyzes structural changes
(e.g. addition of a new variable or structural constraint). Chapter 10 focuses
on parametric programming and consequently sets the stage for the material
presented in the next chapter. To this end, Chapter 11 employs parametric pro-
gramming to develop concepts such as the demand function for a variable input
and the supply function for the output of an activity. Notions such as the mar-
ginal and average productivity functions along with marginal and average cost
functions are also developed.
In Chapter 12, the concept of duality is revisited; the primal and dual pro-
blems are reformulated and re-examined in the context of Lagrangian saddle
points, and a host of duality and complementary slackness theorems are offered.
This treatment affords the reader an alternative view of duality theory and,
 Preface xiii

depending on the level of mathematical sophistication of the reader, can be con-

sidered as optional or can be omitted on a first reading.
Chapter 13 deals with primal and dual quadratic programs, the complemen-
tary pivot method, primal and dual linear fractional functional programs, and
(matrix) game theory solutions via linear programming.
Data envelopment analysis (DEA) is the subject of Chapter 14. Topics such as
the set theoretic representation of a production technology, input and output
distance functions, technical and allocative efficiency, cost and revenue effi-
ciency, the production correspondence, input-oriented models under constant
and variable returns to scale, and output-oriented models are presented. DEA
model solutions are also discussed.
A note of thanks is extended to Bharat Kolluri, Rao Singamsetti, and Jim Peta.
I have benefited considerably from conversations held with these colleagues
over a great many years. Additionally, Alice Schoenrock accurately and
promptly typed the entire manuscript. Her efforts are greatly appreciated.
I would also like to thank Mindy Okura-Marszycki, editor, Mathematics and
Statistics, and Kathleen Pagliaro, assistant editor, at John Wiley & Sons, for their
professionalism and encouragement.
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 xv

Symbols and Abbreviations

■ Denotes end of example

n
n-dimensional Euclidean space
n
+ {x n
|x ≥ O}
(xo) Tangent support cone
Region of admissible solutions
(xo)+ Polar support cone
(xo)∗ Dual support cone
A Transpose of a matrix A
Index set of binding constraints
∇ Del operator
O Null matrix (vector)
In Identity matrix of order n
(m × n) Order of a matrix (with m rows and n columns)
A B Matrix A is transformed into matrix B
|A| Determinant of a square matrix A
Set of all square matrices
A−1 Inverse of matrix A
n Vector space
x Norm of x
ei ith unit column vector
ρ(A) Rank of a matrix A
dim Dimension of a vector space
δ(xo) Spherical δ-neighborhood of xo
xc Convex combination
Hyperplane
+ −
( ), ( ) Open half-planes
+ −
[ ], [ ] Closed half-planes
Cone
Ray or half-line
lim Lower limit
xvi Symbols and Abbreviations

lim Upper limit

AE Allocative efficiency
BCC Banker, Charnes, and Cooper
CCR Charnes, Cooper, and Rhodes
CE Cost efficiency
CRS Constant returns to scale
DBLP Dual of PBLP (multiplier form of (primal) linear program)
DEA Data envelopment analysis
DLP Dual of PLP
DMU Decision making unit
EDLP Extension of DLP
Eff Efficient
IPF Input distance function
Isoq Isoquant
LCP Linear complementarity problem
ODF Output distance function
P1 Phase 1
P2 Phase 2
PBLP Envelopment form of the (primal) linear program
PLP Primal linear program
RE Revenue efficiency
TE Technical efficiency
VRS Variable returns to scale
 1

Introduction

This book deals with the application of linear programming to firm decision
making. In particular, an important resource allocation problem that often
arises in actual practice is when a set of inputs, some of which are limited in
supply over a particular production period, is to be utilized to produce, using
a given technology, a mix of products that will maximize total profit. While a
model such as this can be constructed in a variety of ways and under different
sets of assumptions, the discussion that follows shall be limited to the linear
case, i.e. we will consider the short-run static profit-maximizing behavior of
the multiproduct, multifactor competitive firm that employs a fixed-coefficients
technology under certainty (Dorfman 1951, 1953; Naylor 1966).
How may we interpret the assumptions underlying this profit maximiza-
tion model?

1) All-around perfect competition – the prices of the firm’s product and

variable inputs are given.
2) The firm employs a static model – all prices, the technology, and the
supplies of the fixed factors remain constant over the production period.
3) The firm operates under conditions of certainty – the model is deterministic
in that all prices and the technology behave in a completely systematic (non-
random) fashion.
4) All factors and products are perfectly divisible – fractional (noninteger) quan-
tities of factors and products are admissible at an optimal feasible solution.
5) The character of the firm’s production activities, which represent specific
ways of combining fixed and variable factors in order to produce a unit of
output (in the case where the firm produces a single product) or a unit of
an individual product (when the number of activities equals or exceeds
the number of products), is determined by a set of technical decisions inter-
nal to the firm. These input activities are:
a) independent in that no interaction effects exist between activities;
b) linear, i.e. the input/output ratios for each activity are constant along
with returns to scale (if the use of all inputs in an activity increases by

Linear Programming and Resource Allocation Modeling, First Edition. Michael J. Panik.
© 2019 John Wiley & Sons, Inc. Published 2019 by John Wiley & Sons, Inc.
2 1 Introduction

a fixed amount, the output produced by that activity increases by the

same amount);
c) additive, e.g. if two activities are used simultaneously, the final quantities
of inputs and outputs will be the arithmetic sums of the quantities that
would result if these activities were operated separately. In addition, total
profit generated from all activities equals the sum of the profits from each
individual activity; and
d) finite – the number of input activities or processes available for use dur-
ing any production period is limited.
6) All structural relations exhibit direct proportionality – the objective func-
tion and all constraints are linear; unit profit and the fixed-factor inputs per
unit of output for each activity are directly proportional to the level of oper-
ation of the activity (thus, marginal profit equals average profit).
7) The firm’s objective is to maximize total profit subject to a set of structural
activities, fixed-factor availabilities, and nonnegativity restrictions on the
activity levels. Actually, this objective is accomplished in two distinct stages.
First, a technical optimization problem is solved in that the firm chooses a set
of production activities that requires the minimum amount of the fixed and
variable inputs per unit of output. Second, the firm solves the aforemen-
tioned constrained maximum problem.
8) The firm operates in the short run in that a certain number of its inputs are
fixed in quantity.

Why is this linear model for the firm important? It is intuitively clear that the
more sophisticated the type of capital equipment employed in a production proc-
ess, the more inflexible it is likely to be relative to the other factors of production
with which it is combined. That is, the machinery in question must be used in
fixed proportions with regard to certain other factors of production (Dorfman
1953, p. 143). For the type of process just described, no factor substitution is pos-
sible; a given output level can be produced by one and only one input combina-
tion, i.e. the inputs are perfectly complementary. For example, it is widely
recognized that certain types of chemical processes exhibit this characteristic
in that, to induce a particular type of chemical reaction, the input proportions
(coefficient) must be (approximately) fixed. Moreover, mechanical processes such
as those encountered in cotton textile manufacturing and machine-tool produc-
tion are characterized by the presence of this limitationality, i.e. in the latter case,
constant production times are logged on a fixed set of machines by a given num-
ber of operators working with specific grades of raw materials.
For example, suppose that a firm produces three types of precision tools
(denoted x1, x2, and x3) made from high-grade steel. Four separate production
operations are used: casting, grinding, sharpening, and polishing. The set of
input–output coefficients (expressed in minutes per unit of output), which
describe the firm’s technology (the firm’s stage one problem, as alluded to
 1 Introduction 3

above, has been solved) is presented in Table 1.1. (Note that each of the three
columns represents a separate input activity or process.)
Additionally, capacity limitations exist with respect to each of the four pro-
duction operations in that upper limits on their availability are in force. That
is, per production run, the firm has at its disposal 5000 minutes of casting time,
3000 minutes of grinding time, 3700 minutes of sharpening time, and 2000 min-
utes of polishing time. Finally, the unit profit values for tools x1, x2, and x3 are
$22.50, $19.75, and $26.86, respectively. (Here these figures each depict unit
revenue less unit variable cost and are computed before deducting fixed costs.
Moreover, we are tacitly assuming that what is produced is sold.) Given this
information, it is easily shown that the optimization problem the firm must
solve (i.e. the stage-two problem mentioned above) will look like (1.1):
max f = 22 50x1 + 19 75x2 + 26 86x3 s t subject to
13x1 + 10x2 + 16x3 ≤ 5000
12x1 + 8x2 + 20x3 ≤ 3000
11
8x1 + 4x2 + 9x3 ≤ 3700
5x1 + 4x2 + 6x3 ≤ 2000
x1 , x2 ,x3 ≥ 0
How may we rationalize the structure of this problem? First, the objective func-
tion f represents total profit, which is the sum of the individual (gross) profit
contributions of the three products, i.e.
3
total profit = total profit from xj sales
j=1

3
= unit profit from xj sales number of units of xj sold
j=1

Table 1.1 Input–output coefficients.

Tools

x1 x2 x3 Operations

13 10 16 Casting
12 8 20 Grinding
8 4 9 Sharpening
5 4 6 Polishing
Exploring the Variety of Random
Documents with Different Content
and seventh about equal; first four abruptly cut out on the inner web;
secondaries broad and rounded. Tail rather long, broad, slightly
rounded.
Bill light blue at the base, with the margins yellowish, the tip black;
the cere yellow. Iris hazel. Feet yellow; claws black, at the base
bluish. The general colour of the upper parts is chocolate-brown. The
quills are of the general colour externally, but the primaries are black
toward the tip, a great part of the inner web, with the shaft, white,
and barred with brownish-black, the bars more extended on the
secondaries. The tail is marked with about ten dusky bars on a
reddish-brown ground, tinged with grey, the last dark bar broader,
the tips paler. The eyelids are whitish, as is the throat, which is
longitudinally streaked with dusky. The rest of the lower parts are
yellowish or brownish white, barred with brown. The lower wing-
coverts are white, barred or spotted with dusky; the white of the inner
webs of the primaries forms a conspicuous patch, contrasted with
the greyish-black of their terminal portion.
Length to end of tail 23 inches; wing from flexure 17; tail 10 1/2; bill
along the ridge 1 8/12, along the edge of lower mandible 1 7/12; tarsus
3 5/12; hind toe 1, its claw 1 1/12; middle toe 1 10/12, its claw 1 1/12.

Another specimen in my possession, procured by Dr Townsend on

the plains of Snake River, has the upper parts brown, streaked and
spotted with reddish-white; the upper tail-coverts white, barred with
dusky, the lower parts as above described. The colours however
vary, and in some the upper parts are deep brown, the lower reddish
or brownish white, barred with reddish-brown.
When compared with European specimens, mine have the bill
somewhat stronger; but in all other respects, including the scutella
and scales of the feet and toes, and the structure of the wings and
tail, the parts are similar.
 Marsh Hare.

Lepus palustris, Bachman.

The Hare figured in the plate is thus described by my learned friend
Dr Bachman, in his excellent observations on the different species of
the genus Lepus inhabiting the United States and Canada, inserted
in the seventh volume of the Journal of the Academy of Natural
Sciences of Philadelphia:—
“Smaller than the American Hare. Ears much shorter than the head;
eyes rather small; tail very short; feet small, thinly clothed with hair.
Upper surface yellowish-brown; beneath, grey.

4 0—0 6—6
Incisors Canines Molars = 28
2, 0—0, 5—5,

“The upper incisors are longer and broader than those of the
American Hare, marked, like all the rest of the species, with a deep
longitudinal furrow. The small accessory incisors are smaller and
less flattened than those of the last mentioned species, and the
molars are narrower and a little shorter. The transverse diameter of
the cranium is much smaller, the vertical diameter about equal.
Orbits of the eyes one-third smaller. This is a striking peculiarity,
giving it a smaller and less prominent eye than that of any other
American species. The pterygoid processes of the temporal bone
project downwards nearly in a vertical line, whilst those of the
American Hare are almost horizontal.
“Head and ears shorter than those of the Lepus Americanus; legs
short, and rather small; body short and thick; feet small, thinly
clothed with hair beneath, so as not to cover the nails, which are
larger than those of the American Hare. Tail shorter than that of any
other species of true hare inhabiting the United States, except the
Lepus Nuttalli. Hair on the back long and somewhat rough. From the
short legs and ears of this species, and its general clumsy habit, it
has the appearance when running through the marshes, splashing
through mud and mire, and plunging into creeks and ponds of water,
of some large Norway Rat, hastening to escape from its pursuers.
“The teeth are yellowish-white; the eyes are dark brown, appearing
in certain lights quite black. Upper parts of the head brown and
greyish-ash. Around the orbits of the eyes slightly fawn-coloured.
Whiskers black. Ears dark greyish-brown. The back and whole upper
parts yellowish-brown, intermixed with many strong black hairs. The
hairs, when examined singly, are bluish-grey at the roots, then light
brown, and are tipped with black. The fur, beneath, is light
plumbeous; under the chin grey; throat yellowish-brown; belly light
grey, the fur beneath bluish. Under surface of the tail ash-colour,
edged with brown. During winter the upper surface becomes
considerably darker than in summer.

Dimensions, taken from a specimen in the flesh:

Length, from point of nose to insertion of tail, 13 inches
Height, from the top of the fore-shoulder to the 7
end of the middle claw
Length of the head, 3 1/2
..... ..... ears, 2 1/2
..... ..... hind foot, 3
..... ..... tail (vertebræ), 5/
6
..... ..... tail, including the fur, 1 1/2
Weight 2 1/2 lb.

“I have not heard of the existence of this small species of Hare to the
north of the State of South Carolina, nor is it found in the upper parts
of this State,—confining itself to the maritime districts, to low marshy
grounds partially inundated, to the borders of rivers subject to the
overflowing of their banks, and to the ponds, usually termed
reserves, where the waters intended to overflow the rice-fields are
preserved. In these situations, rendered almost inaccessible on
account of mud, entangled vines, and stagnant waters, sending up
poisonous miasmata, the fruitful source of disease, surrounded by
frogs, water-snakes, and alligators, this species resides through the
whole year, scarcely molested by man. In these forbidden retreats,
frequented by Herons (Ardea), Snake-birds (Plotus Anhinga), and
Ibises, this almost aquatic quadruped finds a home suited to its
habits; making up for its want of speed in eluding pursuit, by its
facility in winding through miry pools and marshes overgrown with
rank weeds and willows. In such situations, I have met with it fifty
miles north of Charleston; but, as soon as the traveller arrives at the
high grounds of the middle country, where the marshes disappear,
this Hare is no longer seen. It is common in all the lower parts of
Georgia, and I have observed it for sale in the market of Savannah.
It is abundant in East Florida, even at its farthest southern extremity.
I received a living animal of this species, taken on one of the islands
near Indian Key, called Rabbit Key, separated from the main-land by
several miles of sea; where it could have proceeded only by
swimming, but where it is now found in great numbers. In all the low
grounds of Florida, this species takes the place of the American
Hare, which has not been observed in those situations.
“The Marsh Hare is one of the most singular in its habits of all the
species. It runs low on the ground, and cannot be said to possess
the fine leaping gait of the American Hare. It is so slow of foot, that
nothing but the sheltered and miry situations in which it resides can
save it from being easily overtaken and captured. I have, indeed,
observed the domestics on a plantation, during a holiday, setting fire
to a piece of marsh ground, in a very dry season, and armed with
clubs, waiting till the flames drove these Hares from their retreats,
when they were run down and killed in considerable numbers, I
noticed that when the American Hare made its appearance it was
suffered to pass, on account of the speed they knew it to possess,
but no sooner did the Marsh Hare appear, than with a whoop, they
gave chase, and seldom failed to overtake it.
“The feet of the Marsh Hare are admirably adapted to its aquatic
habits. A thick covering of hair on its soles, like that on the other
species, would be inconvenient; they would not only be kept wet for
a considerable length of time, but would retard them in swimming. All
quadrupeds that frequent the water, such as the Beaver, Otter,
Muskrat, Mink, &c., and aquatic birds, have nearly naked palms; and
it is this peculiar structure, together with the facility of distending its
toes, that enables this quadruped to swim with such ease and
rapidity. The track, when observed in moist or muddy situations,
differs very much from that of the other species. Its toes are spread
out, each leaving a distinct impression, like those of the rat.
“The Marsh Hare deposits its young in a pretty large nest, composed
of a large species of rush (Juncus effusus) growing in a convenient
situation. These appeared to have been cut into pieces of about a
foot in length. I have seen these nests nearly surrounded by, and
almost floating on, the water. They were generally arched, by
carefully bending the rush-grass over them, admitting the mother by
a pretty large hole in the side. A considerable quantity of hair was
found lining the nest, but whether plucked out by the parent, or the
effect of the season, (it being late in spring when these animals shed
their coat) I was unable to ascertain. The young were from five to
seven. They evidently breed several times in the season, but I have
observed that the females usually produce their young two months
later, at least, than the American Hare. Twenty-one specimens were
obtained from the 9th to the 14th day of April; none of the females
had produced young that season, although some of them would
have done so in a very few days. On one occasion only, have I seen
the young in March. These bear a strong resemblance to the adults,
and may almost at a glance be distinguished from those of the last-
mentioned species.
“This species possesses a strong marshy smell at all times, even
when kept in confinement, and fed on the choicest food. Its flesh,
however, although dark, is fully equal, if not superior, to that of the
American Hare. The Marsh Hare never visits gardens or cultivated
fields, confining itself throughout the year to the marshes. It is
occasionally found in places overflown by salt or brackish water, but
seems to prefer fresh-water marshes, where its food can be most
conveniently obtained. It feeds on various grasses, gnaws off the
twigs of the young sassafras, and of the pond spice (Laurus
geniculata). I have seen many places in the low grounds dug up, the
foot-prints indicating that it was the work of this species in search of
roots. It frequently is found digging for the bulbs of the wild potato
(Apios tuberosa), as also for those of a small species of Amaryllis
(Amaryllis Atamasco).
“I possess a living animal of this species, which was sent me a few
weeks ago, having been captured when full grown. It became so
gentle in a few days that it freely took its food from the hand. It is fed
on turnip and cabbage leaves, but prefers bread to any other food
that has been offered to it. It is fond of lying for hours in a trough of
water, and seems restless and uneasy when the trough is removed,
scratching the sides of its tin cage until it has been replaced, when it
immediately plunges in, burying the greater part of its body in the
water.
“It has already shed a great portion of its summer, and resumed its
winter, dress. The hairs on the upper surface, instead of becoming
white at the point, as in the American Hare, have grown long and
black, through which the brownish parts beneath are still distinctly
visible.
“This species, like others of the genus existing in this country, as well
as in the deer and squirrels, is infested with a troublesome larva of
an œstrus in the summer and autumn, which, penetrating into the
flesh, and continually enlarging, causes pain to the animal, and
renders it lean. One of these larvæ dropped from an orifice in the
throat of the hare which I have in confinement. It was of the usual
cylindrical shape, but appears to differ in some particulars from the
Œstrus cuniculi.”
 EVENING GROSBEAK.

Fringilla vespertina, Cooper.

PLATE CCCLXXIII. Male.

This fine species of Grosbeak was first introduced to the notice of

ornithologists by Mr William Cooper, who published an account of
it in the Annals of the Lyceum of New York. Mr Schoolcraft
observed a few individuals, in the beginning of April 1823, near the
Sault Sainte Marie in Michigan, from which the species was traced to
the Rocky Mountains. Dr Richardson mentions it as a common
inhabitant of the maple groves on the Saskatchewan plains, whence
“its native appellation of Sugar-bird.” The female remained utterly
unknown until it was obtained by Dr Townsend, who found this
Grosbeak abundant about the Columbia River, and procured a great
number of specimens, several of which are in my possession. The
following note from him contains all the information respecting its
habits that I can lay before you.
“Columbia River, May 27, 1836.—The Evening Grosbeak, Fringilla
vespertina, is very numerous in the pine-woods at this time. You can
scarcely enter a grove of pines at any hour in the day without seeing
numbers of them. They are very unsuspicious and tame, and I have,
in consequence, been enabled to procure a fine suite of specimens.
The accounts that have been published respecting them by the only
two authors to whom I have access, Mr Nuttall and Prince
Bonaparte, are, I think, in many respects incorrect. In the first place,
it is stated that they are retiring and silent during the day, and sing
only on the approach of evening. Here they are remarkably noisy
during the whole of the day, from sunrise to sunset. They then retire
quietly to their roosts in the summits of the tall pines, and are not
aroused until daylight streaks the east, when they come forth to feed
as before. Thus I have observed them here, but will not say but that
at other seasons, and in other situations, their habits may be
different. They are now, however, very near the season of breeding,
as the organs of the specimens I have examined sufficiently indicate.
They appear fond of going in large bodies, and it is rare to see one
alone in a tree. They feed upon the seeds of the pine and other
trees, alighting upon large limbs, and proceeding by a succession of
hops to the very extremities of the branches. They eat, as well as
seeds, a considerable quantity of the larvæ of the large black ant,
and it is probable that it is to procure this food that they are not
uncommonly seen in the tops of the low oaks which here skirt the
forests. Their ordinary voice, when they are engaged in procuring
food, consists of a single rather screaming note, which from its tone I
at first supposed to be one of alarm, but soon discovered my error.
At other times, particularly about mid-day, the male sometimes
selects a lofty pine branch, and there attempts a song; but it is a
miserable failure, and he seems conscious of it, for he frequently
pauses and looks discontented, then remains silent sometimes for
some minutes, and tries it again, but with no better success. The
note is a single warbling call, exceedingly like the early part of the
Robin’s song, but not so sweet, and checked as though the
performer were out of breath. The song, if it may be so called, is to
me a most wearisome one: I am constantly listening to hear the
stave continued, and am as constantly disappointed. Another error of
the books is this,—they both state that the female is similar to the
male in plumage. Now, this is entirely a mistake: she is so very
different in colour and markings, that were it not for the size and
colour of the bill, and its peculiar physiognomy, one might be induced
to suppose it another species. The specimens in possession of Mr
Leadbeater of London, and from which Prince Bonaparte drew up
his descriptions, must have been all males.”
In the present plate you will find the figure of a male only; but in Plate
CCCCXXIV. are representations of the young male and adult female,
which are however here described.

Fringilla vespertina, Cooper, Ann. Lyc. New York, vol. i. p. 220.—Ch.

Bonaparte, Synopsis of Birds of United States, p. 113.
Evening Grosbeak, Fringilla vespertina, Ch. Bonaparte, Amer. Orn. vol.
ii. pl. 14. fig. 1.
Coccothraustes vespertina, Evening Grosbeak, Richards. and Swains.
Fauna Bor.-Amer. vol. ii. p. 269.
Evening Grosbeak, Nuttall, Manual, vol. ii. Appendix, p. 594.

Adult Male. Plate CCCLXXIII.

Bill of moderate length, extremely thick, conical, pointed; upper
mandible with the dorsal line very slightly convex, the sides rounded;
the edges sharp, overlapping, with a slight sinus close to the acute
tip; lower mandible with the angle very short and broad, the dorsal
line straight, or very slightly concave, the back very broad, the sides
rounded, the edges inflected, the tip acute. Nasal sinus extremely
short and broad: nostrils round, basal, concealed by short reflected
bristly feathers.
Head large, roundish-ovate; neck short; body moderately full. Feet
short, of moderate strength; tarsus short, compressed, with seven
anterior scutella, and two plates behind forming a sharp edge; hind
toe large, outer toe somewhat longer than inner; claws rather large,
moderately arched, much compressed, acute.
Plumage full, soft, blended, the feathers oblong. Wings rather long,
broad, abruptly pointed; the outer three primaries almost equal, the
first longest; outer secondaries emarginate. Tail of moderate length,
rather narrow, emarginate, of twelve rather narrow feathers.
Bill yellow; iris hazel; feet flesh-colour, claws brown. The upper part
of the head and the occiput are brownish-black, bounded anteriorly
by a broadish band of bright yellow across the forehead, and laterally
by a streak of the same, passing over the eye; the stiff feathers over
the nostrils black, as is the loral space. The cheeks, hind neck, and
throat are dark yellowish-olive, and that colour gradually brightens
until, on the outer edges of the scapulars, the rump, the axillars and
inner lower wing-coverts, the abdomen and lower tail-coverts, it
becomes pure yellow. The smaller wing-coverts, alula, primary
coverts, three outer secondaries, outer web of the next, and the
bases of the inner secondaries, black; as is the tail; six of the inner
secondaries, inner web of the next, and inner margin of the rest, as
well as their coverts, white, the basal part excepted.
Length to end of tail 8 inches; wing from flexure 4 3/4; tail 3; bill along
1/2
the ridge 10/12, along the edge of lower mandible 11/12; tarsus 9 /12;
hind toe 5/12, its claw, 4 1/2/12; middle toe, 8/12, its claw 3 3/4/12.
Adult Female. Plate CCCCXXIV. Fig. 5.
The adult female, which is here figured and described for the first
time, from a specimen obtained from Dr Townsend, and marked
“Black Hills, Female, June 3, 1834,” wants the yellow band on the
forehead, the streak of the same colour over the eye, the black line
along the basal margin of the upper mandible, and the large patch of
white on the wings. The bill and feet are as in the male, but paler.
The upper part of the head is dark brownish-olive; the cheeks lighter;
the hind neck, back, and scapulars light brownish-grey, with a slight
olivaceous tint, shaded into brownish-yellow on the rump. The wings
are black; a portion of the edge of the wing, the tips and part of the
margins of the secondary coverts, a concealed band on the basal
part of the primaries, the outer three excepted, and the edges of all
the quills toward the end, white, which is broader on the
secondaries, and forms a band on them. Tail-coverts black, tipped
with a triangular spot of white; tail-feathers also black, with a white
spot on the inner web at the tip, eight-twelfths long on the outermost
feather, gradually diminishing towards the central feathers, which are
slightly tipped. Throat greyish-white, margined on either side by a
longitudinal band of black, from the base of the lower mandible, and
ten-twelfths in length; the lower parts yellowish-grey; abdomen and
lower tail-coverts white, axillars and some of the lower wing-coverts
yellow.
Length to end of tail 7 1/2 inches; wing from flexure 4 1/4; tail 2 10/12;
bill along the ridge 9 1/2/12.

Young Male. Plate CCCXXIV. Fig. 6.

The young male bears a considerable resemblance to the female,
differing chiefly in wanting the black bands on the throat, and in
having the upper parts much lighter, and the lower more yellow. Bill
yellow; iris hazel; feet flesh-colour, claws dusky. Head and cheeks
light greyish-brown, the rest of the upper parts of a paler tint, slightly
tinged with yellow on the margins. The wings and tail are black, as in
the female, and similarly spotted with white, but tinged with yellow.
The lower parts are yellowish-grey, the sides of the neck and the
axillars pale yellow, the abdomen and lower tail-coverts white.
The young male has been described as the adult female by Mr
Swainson in the Fauna Boreali-Americana, and has been made a
distinct species by M. Lesson, under the name of Coccothraustes
Bonapartii. The Prince of Musignano, it is observed, has erred in
stating that “no difference of any consequence is observable
between the sexes; though it might be said that the female is a little
less in size, and rather duller in plumage.”
 BLACK-HEADED GROSBEAK.

Fringilla melanocephala.
PLATE CCCLXXIII. Male and Female.

The following account of this Grosbeak affords another proof of the

ardent zeal of my excellent friend Thomas Nuttall, who, though
more especially engaged with botany on his recent journey to the
Columbia, has not neglected opportunities of noting many interesting
facts relative to birds.
“On the central table-land of the Rocky Mountains, and on the upper
branches of the Colorado of the west, we first heard the powerful
song of this most delightful Finch. From thence, in the thick groves of
all the streams on our western course to the borders of the
Columbia, and throughout the dense forests of that river nearly to the
sea, we were frequently cheered amidst the wildest desolation by the
inimitable voice of this melodious bird. Jealous of all intrusion on his
lonely and wild haunts, it was seldom that we had the opportunity of
witnessing this almost fairy musician, which gave a charm to the
saddest gloom, and made the very woods as it were re-echo to his
untiring song. With the modesty of superior merit, and almost with
the solicitude of the Nightingale, our favourite Finch seeks the
darkest thicket of the deepest forest. The moment his eye rests on
the intruding observer he flits off in haste, calls to his mate, and
plunging into the thicket sits in silence till he is satisfied of the
restoration of solitude, when he again cautiously mounts the twig
and pours out afresh the oft-told but never-tiring tale of his affection
and devotion to the joys of nature. His song, which greatly resembles
that of the Red-breasted Grosbeak, is heard at early dawn, and at
intervals nearly to the close of night. It is a loud, varied, high-toned
and melodious fife, which rises and falls in the sweetest cadence;
but always, like the song of the nightingale, leaves a sensation of
pleasing sadness on the ear, which fascinates more powerfully than
the most cheering hilarity. In fact, the closing note of our bird is often
so querulous as to appear like the shrill cry of appealing distress: it
sinks at last so faintly, yet still so charmingly on the sense. When
seen, which is only by accident, he sits conspicuously on some lofty
bough, below the summit of the tree, and raising his head, and
swelling his throat with a rising motion, almost amounting to a flutter,
he appears truly rapt in ecstacy, and seems to enjoy his own powers
of melody as much as the listener. Even the cruel naturalist, ever
eager to add another trophy to his favourite science, feels arrested
by his appeal, and connives at his escape from the clutch of the
collector.
“About the month of July, in the Rocky Mountains, I observed the
female feeding her fledged young, and they also spent the summer
in the thickest branches, but with the nest and eggs I am
unacquainted. The song, as I have heard it, in the forests of
Columbia, seems to be like the syllables ’tait, weet, teet, weowit, teet
weowit, teet weeowit, verr, and sometimes terminating weet, weet,
weet, every note a loud tender trill of the utmost sweetness,
delivered in his own “wood-notes wild,” mocking nothing, but still
exulting in his powers, which, while exerted, seem to silence every
songster around. The Robin seems almost his pupil in song and
similarity of expression, but falls short, and after our Orpheus, seems
at best but a faultering scholar.”

Guiraca melanocephala, Swainson.

Adult Male. Plate CCCLXXIII. Figs. 2, 3.
Bill rather short, very robust, bulging at the base, conical, acute;
upper mandible with its dorsal outline a little convex, the sides
rounded, the edges sharp, ascending from the base to beyond the
nostrils, then deflected with a slight median festoon, and an obscure
notch close to the tip; lower mandible with the angle short and very
broad, the dorsal line straight, the back very broad at the base, the
sides high and convex, the edges inflected, the tip acute. Nostrils
basal, roundish, partly concealed by the feathers.
Head large, roundish-ovate; neck short; body rather full. Legs of
moderate length, rather strong; tarsus anteriorly covered with seven
scutella, posteriorly with two plates forming a sharp edge; toes rather
large, the first stout, the lateral nearly equal, the middle toe much
longer. Claws rather long, arched, much compressed, acute.
Plumage soft and blended. Wings of moderate length, broad. The
first quill two-twelfths shorter than the second, which is longest, but
scarcely exceeds the third, the fourth longer than the first;
secondaries slightly emarginate. Tail rather long, nearly even.
Bill with the upper mandible dusky, the lower white. Iris hazel. Feet
and claws wood-brown. Head, cheeks, and a small portion of the
throat black; the upper parts brownish-black; the feathers on the
lower part of the hind neck all round, a streak over each eye, another
along the middle of the hind head, the greater part of the rump, and
the lower parts generally, yellowish-red or brownish-orange; the
edges of some of the feathers on the back, a broad band formed by
the first row of small coverts, a narrow band formed by the tips of the
secondary coverts, a band on the base of the primaries, the outer
web of the first excepted, the margins of three of the primaries
toward the end, and a spot on the outer web of most of the
secondaries at the end; a large patch on the inner web of all the tail-
feathers, excepting the two middle, and largest on the outer, pure
white; the middle of the breast and abdomen, with the axillaries and
lower wing-coverts, yellow.
Length to end of tail 8 1/2 inches; wing from flexure 4 1/4; tail 3 8/12;
bill along the ridge 9/12, along the edge of lower mandible 10/12;
tarsus 11/12; hind toe 4 1/2/12, its claw 5/12; middle toe 8/12, its claw
3 1/2/ .
12

Adult Female. Plate CCCLXXIII. Fig. 4.

The female is much less beautiful. The bill is of a lighter brown
above, brownish-white beneath, with the edges and tip of the lower
mandible light brown; the feet and claws wood-brown. The upper
parts are wood-brown, the head darker, with three longitudinal bands
of brownish-white; a band of reddish-white across the hind neck, the
feathers of the back margined with whitish; the wings marked as in
the male, but with brownish-white; the tail without white spots. The
lower parts are of a much paler tint than those of the male; the
axillars and lower wing-coverts yellow.
Length to end of tail 8 1/4 inches; bill along the ridge 9/12; tarsus 11/12;
middle toe and claw 1 3/12.
SHARP-SHINNED OR SLATE-COLOURED HAWK.

Falco fuscus, Gmel.

PLATE CCCLXXIV. Male and Female.

There is a pleasure which that ornithologist only can feel who spends
his days in searching for the materials best adapted for his purpose,
and which arises from the contemplation of the objects he is anxious
to portray and describe, as they roam in freedom over Nature’s wild
domains. Another pleasure is derived from finding in different
countries birds so much alike in form, colour, and habits, that they
seem as if formed for the purpose of exercising our faculties of
observation and comparison. But this pleasure passes into pain, or
at least perplexity, when, as in the present instance, two species
differ so slightly that you cannot clearly define their characters,
although they yet seem to be distinct. In fact, I long felt uncertain
whether the American bird described by Wilson under the names of
Sharp-shinned Hawk, and Slate-coloured Hawk, was distinct from
the Sparrow Hawk, F. Nisus, of Europe.
It is mentioned in the Fauna Boreali-Americana, that a specimen of
this bird was killed in the vicinity of Moose Factory, and that it has
been deposited by the Hudson’s Bay Company in the Zoological
Museum of London. This specimen I have not seen, but confiding
entirely in the accuracy of every fact mentioned by the authors of
that work, I here adduce it as a proof of the extraordinary range of
this species in America, which from the extreme north extends to our
most southern limits, perhaps far beyond them, during its autumnal
and winter migrations. I have met with it in every State or Territory of
the Union that I have visited. In the spring of 1837, it was abundant
in Texas, where it appeared to be travelling eastward. I have a
specimen procured by Dr Townsend in the neighbourhood of the
Columbia River; and, when on my way towards Labrador, I met with
it plentifully as far as the southern shores of the Gulf of St Lawrence,
beyond which, however, none were observed by me or any of my
party.
I never saw this daring little marauder on wing without saying or
thinking “There goes the miniature of the Goshawk!” Indeed, reader,
the shortness of the wings of the Sharp-shinned Hawk, its long tail,
though almost perfectly even, instead of being rounded as in the
Goshawk, added to its irregular, swift, vigorous, varied, and yet often
undecided manner of flight, greatly protracted however on occasion,
have generally impressed upon me the idea alluded to. While in
search of prey, the Sharp-shinned Hawk passes over the country,
now at a moderate height, now close over the land, in so swift a
manner that, although your eye has marked it, you feel surprised that
the very next moment it has dashed off and is far away. In fact it is
usually seen when least expected, and almost always but for a few
moments, unless when it has procured some prey, and is engaged in
feeding upon it. The kind of vacillation or wavering with which it
moves through the air appears perfectly adapted to its wants, for it
undoubtedly enables this little warrior to watch and to see at a single
quick glance of its keen eyes every object, whether to the right or to
the left, as it pursues its course. It advances by sudden dashes, as if
impetuosity of movement was essential to its nature, and pounces
upon or strikes such objects as best suit its appetite; but so very
suddenly that it appears quite hopeless for any of them to try to
escape. Many have been the times, reader, when watching this
vigilant, active, and industrious bird, I have seen it plunge headlong
among the briary patches of one of our old fields, in defiance of all
thorny obstacles, and, passing through, emerge on the other side,
bearing off with exultation in its sharp claws a Sparrow or Finch,
which it had surprised when at rest. At other times I have seen two or
three of these Hawks, acting in concert, fly at a Golden-winged
Woodpecker while alighted against the bark of a tree, where it
thought itself secure, but was suddenly clutched by one of the
Hawks throwing as it were its long legs forward with the quickness of
thought, protruding its sharp talons, and thrusting them into the back
of the devoted bird, while it was endeavouring to elude the harassing
attacks of another, by hopping and twisting round the tree. Then
down to the ground assailants and assailed would fall, the
Woodpecker still offering great resistance, until a second Hawk
would also seize upon it, and with claws deeply thrust into its vitals,
put an end to its life; when both the marauders would at once
commence their repast.
On several such occasions, I have felt much pleasure in rescuing
different species of birds from the grasp of the little tyrant, as
whenever it seizes one too heavy to be carried off, it drops to the
ground with it, and being close by, I have forced it to desist from
committing further mischief, as it fears man quite as much as its poor
quarry dreads itself. One of these occurrences, which happened in
the neighbourhood of Charleston, in South Carolina, is thus related
in my journal.
Whilst walking one delightful evening in autumn, along a fine hedge-
row formed by the luxuriant Rocky Mountain rose-bushes, I observed
a male of this species alighted in an upright position on the top-bar of
a fence opposite to me. I marked it with particular attention, to see
what might follow. The Hawk saw me as plainly as I did him, and
kept peeping now at me, and now at some part of the hedge
opposite, when suddenly, and with the swiftness of an arrow, it shot
past me, entered the briars, and the next instant was moving off with
a Brown Thrush, Turdus rufus in its talons. The Thrush, though
seized by the sharp claws of the marauder, seemed too heavy for
him to carry far, and I saw both falling to the ground. On running up, I
observed the anxiety of the Hawk as I approached, and twice saw it
attempt to rise on wing to carry off its prize; but it was unable to do
so, and before it could disengage itself I was able to secure both.
The Thrush must have been killed almost instantaneously, for, on
examining it, I found it quite dead.
My friend Thomas Nuttall, Esq., tells us that in the “thinly settled
parts of the States of Georgia and Alabama, this Hawk seems to
abound, and proves extremely destructive to young chickens, a
single one having been known regularly to come every day until he
had carried away between twenty and thirty. At noon-day, while I was
conversing with a planter, one of these Hawks came down, and
without ceremony, or heeding the loud cries of the housewife, who
most reluctantly witnessed the robbery, snatched away a chicken
before us.” Again, while speaking of the wild and violent manner of
this bird, he adds “descending furiously and blindly upon its quarry, a
young Hawk of this species broke through the glass of the green-
house, at the Cambridge Botanic Garden; and fearlessly passing
through a second glass partition, he was only brought up by the
third, and caught, though little stunned by the effort. His wing-
feathers were much torn by the glass, and his flight in this way so
impeded as to allow of his being approached.”
Whilst travelling to some distance, the Sharp-shinned Hawk flies
high, though in a desultory manner, with irregular quick flappings of
the wings, and at times, as if to pause for a while and examine the
objects below, moves in short and unequal circles, after which it is
seen to descend rapidly, and then follow its course at the height of
only a few feet from the ground, visiting as it were every clump of low
bushes or briar patches likely to be supplied with the smaller birds,
on which it principally feeds. Again, after having satisfied its hunger,