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Energy in Warld History

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ESSAYS IN WORLD HISTORY
William H. McNeill and Ross E. Dunn, Series Editors
Energy in World History
Vaclav Smil
Coming Full Circle: An Economic History of the Pacific Rim
Eric Jones, Lionel Frost, and Colin White
The Industrial Revolution in World History
Peter N. Stearns
FORTHCOMING
Christian Missionaries and European Expansion:
1450 to the Present
Roger B. Beck
The New World Civilizations
Richard E. W. Adams
The Islamic Gunpowder Empires in World History
Douglas E. Streusand
Sailors, Ships, and the Sea:
Seafaring Technology in World History
John F. Guilmartin, Jr.
The Rise of Europe in the Middle Ages
William D. Phillips, Jr.

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Energy in
World History
Vaclav Smil
University of Manitoba

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Library of Congress Cataloging-in-Publication Data
Smil, Vaclav.
Energy in world history I Vaclav Smil.
p. em.
Includes bibliographical references and index.
ISBN 0-8133-1901-3.- ISBN 0-8133-1902-1 (pbk.)
I. Power resources-History. I. Title.
T)I63.5.S623 1994
333.79'09-dc20
94-16485
CIP
First published 1994 by Westview Press, Inc.
Published 2018 by Routledge
52 Vanderbilt Avenue, New York, NY 10017
2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN
Routledge is an imprint of the Taylor & Francis Group, an informa business
Copyright � 1994 Taylor & Francis
All rights reserved. No part of this book may be reprinted or reproduced or utilised in any
form or by any electronic, mechanical, or other means, now known or hereafter invented,
including photocopying and recording, or in any information storage or retrieval system,
without permission in writing from the publishers.
Notice:
Product or corporate names may be trademarks or registered trademarks, and are used
only for identification and explanation without intent to infringe.
ISBN 13: 978-0-367-00892-5 (hbk)

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Every event in history can occur only insofar as there is available whatever
amount of energy (i.e., work) is necessary to carry it out. We can think thoughts
wildly, but if we do not have the wherewithal to convert them into action, they
will remain thoughts . ... History acts in unpredictable ways. Events in history,
however, necessarily take on a structure or organization that must accord with
their energetic components.
-Richard N. Adams,
Paradoxical Harvest (1982.)

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Page 9
1
2
3
List of Illustrations
Acknowledgments
E1111111Y and Sacialy
Contents
Flows, Stores, and Controls 2
Concepts and Measures 5
Complexities and Caveats 8
Appendixes 10
Enargy in Prahistary
Foraging Societies 17
Origins of Agriculture 22
Appendixes 24
Tradililmal Agricullura
Commonalities and Peculiarities 29
Field Work 30
Dominance of Grains 35
Cropping Cycles 37
Routes to Intensification 39
Draft Animals 40
Irrigation 49
Fertilization 54
Crop Diversity 55
Persistence and Innovation 57
Egypt 57
China 6o
Mesoamerica 63
XIII
XVII
1
15
28
ix

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X
4
I
Contents
Europe 65
North America 70
Limits of Traditional Farming 73
Achievements 74
Nutrition 78
Limits So
Appendixes 85
Preindustrial Prime MIIVIIIS and ru.ls
Prime Movers and Biomass Fuels 93
Animate Power 94
Water and Wind 103
Explosives 112
Biomass Energies 115
Household Needs 119
Food Preparation 120
Heat and Light 123
Transportation and Construction 125
Moving on Land 125
Shipping 134
Building 139
Metallurgy 144
Nonferrous Metals 146
Iron and Steel 148
Appendixes 152
The Great Transition 158
Beginnings and Diffusion of Coal Extraction 159
Steam Engines 161
Oil and Internal Combustion Engines 167
Electricity 169
Technical Innovation 171
Fuels and Electricity 171
Prime Movers 176
92
157

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I
Contents
Metals 178
Fertilizers and Pesticides 182
Weapons 183
Unprecedented Power and Its Uses 185
Energy in Agriculture 188
Industrialization 191
Transportation 195
Information and Communication 200
Economic Growth 203
Consequences and Concerns 206
Urbanization 208
Standard of Living 210
Political Implications 213
Warfare 215
Environmental Changes 216
Appendixes 218
EnargyinWarld......,
Grand Patterns of Energy Use 223
Energy Eras and Transitions 224
Consequences 235
Between Determinism and Choice 242
Imperatives of Energy Needs and Uses 243
Importance of Controls 247
Limits of Energy Explanations 251
Basic Measures
Chronology of Energy-Related Developments
Power in History
Suggested Readings
References
About the Book and Author
Index
xi
223
257
259
268
270
272
292
293

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Page 13
mustratians
Figures
1.1
Matrix of energy conversions
3
1.2
Two eighteenth-century horses turning a c;ipstan
6
1.3
Glass polishers working in a French factory
9
2.1
Stone tools
16
2.2 Scaled drawings of large prehistoric animals hunted in
North America and Eurasia
20
J.1
A variety of ards
31
J.2 Evolution of curved moldboard plows
32
3�3
Different types of harrows
33
3�4 Sickles and scythes
34
3�5
Comparisons of animal draft power
41
J.6 Head and neck yokes for working oxen
43
3�7 Throat-and-girth and breastband harnesses
44
J.8 The collar harness and horseshoes
45
3�9 Whippletrees
47
3.10 Two water-lifting devices
51
J.ll Lifts, volumes, and power requirements of common
water-raising devices and machines
53
J.12 Scenes of farming life from Paheri's tomb
59
3�13 European draft horses
68
3�14 The three-wheeled steel riding plow and the twine harvester
72
3�15 English wheat yields
75
J.16 Approximate long-term trends of population densities per
hectare of farmland in Egypt, China, the Basin of Mexico,
and Europe
78
4�1 Three classes of levers
95
4�2 Equilibrium forces in pulleys
97
4�3 Miners using both a horizontal windlass and a crank to lift
water from a shaft
98
4�4 Eight men rotating a large vertical capstan
99
4�5 The great wheel
99
4�6 Large internal treadwheels
100
xiii

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xiv
Illustrations
4�7 Horizontal and inclined treadwheels
102
4�8 The horizontal waterwheel
104
4�9 Engravings of a large undershot wheel and an overshot wheel
105
4�10 A French wooden post mill
110
4�11 A detailed modern drawing of a traditional English smock
windmill
111
4.12 The Halladay windmill
113
4�13 Charcoal-making procedures
118
4�14 Grain-milling tools
121
4�15 Simplified drawings of riding positions throughout history
127
4.16 El-Bersheh colossus
129
4�17 An engraving showing the high density of horse-drawn traffic in
late nineteenth-century London
133
4.18 Early bicycles
134
4�19 Complete side view, partial plan, and cross-section of a
reconstructed Greek trireme, Olympias
135
4.20 Evolution of sailing ships
138
4.21 Scaled oblique views, dimensions, and volumes of
Khufu's pyramid at Giza, the Choga Zanbil ziggurat at Elam,
the Sun Pyramid at Teotilmacan, and the Jetavana stupa at
Anuradhapura
141
4.22 Examples of the principal structural elements of medieval
cathedrals
143
4�23 Roman aqueducts
145
4�24 Evolution of ironmaking furnaces
149
5-l
A typical English coal mine of the steam engine era
162
5�2
Two classical eighteenth-century steam engines
163
5�3
The rising power and improving efficiency of the best
steam engines, 1700-1930
164
5�4 Evolution of the steamship
165
5�5
Notable machines of the steam locomotive age
166
5.6
A century of oil tanker growth
173
5�7
Power and thermal efficiency ratings of turbogenerators
174
5�8
Evolution of U.S. transmission voltages
175
5�9
Evolution of aircraft engines
177
5�10 Plans and front views of some notable jet planes
178
5-11 Evolution of blast furnaces
179
5.12 Semi-logarithmic graphs charting blast furnace efficiencies,
1700-1990
180
5�13 Nitrogenous fertilizer production, 192o-1990
183
5�14 Global production of coal, crude oil, and natural gas
186
5-15 Global energy supply, 1700-1990
187

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Illustrations
5-16 Generation of electricity, 190o-1990
5-17 Energy inputs in crop farming, 190o-1990, and wheat yields in
selected countries, 187o-1990
5.18 Transatlantic crossing times, 18oo-1960, and maximum passenger
ship tonnages, 183o-1950
5-19 Motor vehicles, 190o-1990
5.20 Aircraft cruising speeds and maximum ranges, 191o-1990
5.21 Shares of principal electronic products in total global sales
5-22 Advances in computers, 1946-1990
5-23 U.S. energy consumption, 191o-1990, and energy consumption of
selected countries, 1990
5-24 Energy intensity of selected economies, 188o-1990, and energy
intensity of the world economic product, 1900-1990
5-25 Urban population statistics, 1800-1990
6.1 Prime mover capacities and maximum outputs
6.2 Maximum capacities of common prime movers
6.3 Global prime mover shares, 170o-1990, and capacities of U.S.
prime movers, 185o-1990
6.4 Prime mover weight/power ratios, 170o-1990, and improvements
in lighting, 187o-1990
6.5 Fuel shares, 1000 B.c.-1990
6.6 Comparisons of typical annual per capita consumption of
energy during different stages of human evolution
6.7 Maximum mass transportation speeds
6.8 Comparison of major energy eras, identified by principal fuels
and prime movers, with innovation clusters and
long-wave business cycles
T ............ ._.
A1.4 Energy densities of foodstuffs and fuels
A1.8 Energy intensities of common materials
A2.2 Body mass, energy density, and food content of animals
A2.6 Energy costs and population densities in shifting cultivation
A3.1 Labor and energy requirements in traditional farming
A3-3 Typical weights, drafts, working speeds, and power of
common domestic animals
A3.5 Power requirements, lifts, capacities, and efficiencies of
traditional water-lifting devices
XV
188
191
197
199
200
202
204
206
207
209
226
228
230
231
233
236
238
240
12
13
25
27
85
86

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xvi
Illustrations
A3.9 Labor requirements and energy costs of European wheat
harvests, 200-1800
A3.10 Labor requirements and energy costs of U.S. wheat
harvests, 1800-1900
A4.4 Energy content of biomass fuels
A5.4 Power requirements of common electrical appliances and
electronic devices
153
220

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Al:knawledgmanls
This book came about through a combination of old interests and new, chance
encounters. I have been fascinated by the nature and development of energy sys-
tems ever since my undergraduate years. Although most of my research since then
has been devoted to contemporary energy matters (and during the 1970s I also did
a good deal of modeling and technical forecasting), my preference for interdisci-
plinary studies has led me to look repeatedly at the historical developments and
implications of energy use and environmental and economic change. I eventually
systematized much of this historical work in General Energetics, a broad review
and analysis of all important aspects of energy flows in the biosphere and their
uses by mankind.
In April1991, just as General Energetics was being published, I came across an
announcement of a new book series on world history edited for Westview Press
by William H. McNeill and Ross E. Dunn. Before I finished reading the paragraph
I wanted to do a book on energy in world history. This� encounter must be as-
cribed to Westview's persistence in sending out annual catalogs. In 1982 I had
written a book for the house, and they had kept me on their mailing list. Even
more fortuitously, I had met Professor McNeill in October 1987 at the symposium
on The Earth as Transformed by Human Action, and I had never forgotten the
meandering conversation we had while walking through the Harvard Forest at Pe-
tersham. I wrote to him immediately after seeing the announcement for the new
series, hoping he would like my proposal.
In two weeks I had his encouraging letter, and setting aside all other work, I
started to write a sample chapter to test the pitch and style of the book. In sum-
mer 1991 I had to return to my abandoned obligations: Global Ecology and several
. smaller environmental and energy projects kept me busy for a year. In fall1992 I
returned to the book, and by summer 1993 the writing was completed. Professor
McNeill's criticism and suggestions at every stage of the process helped to make
the book not only clearer and more accurate but also richer.
Drafts were also read by David Keith, an MIT-trained physicist with an interest
in interdisciplinary energy matters, and David Smil, my son. They watched for
scientific accuracy and for the clarity of technical terms and explanations. Two
graphic artists who have worked on most of my previous projects, Marjorie
Halmarson and Ed Pachanuk, prepared the numerous reproductions of historical
illustrations and many original images and graphs. Once again, their work has
�helped to enrich my own.
xvii

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xviii
Acknowledgments
Obviously, my greatest debt is to hundreds of historians, scientists, engineers,
and economists. Without their research this book would not have been possible. I
owe them also many thanks for a great learning experience.
VaclavSmil

Page 19
1
Energy and Saciely
Obviously, if we can find a single word to represent an idea which applies to every
element in our existence in a way that makes us feel we have a genuine grasp of it,
we have achieved something economical and powerful. This is what has happened
with the idea expressed by the word energy. No other concept has so unified our
understanding of experience.
-R. Bruce Lindsay, Energy (1975)
ENERGY IS THE ONLY universal currency: It must be transformed to get anything
done. Manifestations of these transformations in the physical universe range from
rotating galaxies to the erosive forces of tiny raindrops. Life on Earth, the only
known life in the universe, would be impossible without the photosynthetic con-
version of solar energy into plant biomass. Humans depend on this transforma-
tion for their survival and on many more energy flows for their civilized existence.
The evolution of human societies has been dependent upon the conversion of
ever larger amounts of ever more concentrated and more versatile forms of en-
ergy. From the perspective of natural science, both prehistoric human evolution
and the course of history may be seen fundamentally as the quest for controlling
greater energy stores and flows. This endeavor has brought about the expansion
of human populations and allowed for increasingly complex social and produc-
tive arrangements. Neither the growth of technical capabilities and a deeper un-
derstanding of the surrounding world nor the effort to secure a better quality of
life would have been successful without innovations in energy use.
As formulated by Alfred Lotka (1925) in his law of maximum energy, natural se-
lection will tend to increase the total mass of an organic system, and this will in-
crease the rate of circulation of matter as well as the total energy flux through the
system-as long as there is a surplus of available energy. The history of successive
civilizations, the largest and most complex organisms in the biosphere, has fol-
lowed this course. Human dependence on ever higher energy flows can be seen as
an inevitable continuation of organismic evolution.
Starting with Wilhelm Ostwald (1909), a Nobel prize-winning chemist, twenti-
eth-century scholars have repeatedly made the link between energy and civiliza-
1

Page 20
2
Energy and Society
tion. Two quotations will suffice to illustrate this relationship. In a pioneering pa-
per, anthropologist Leslie White (1943) called the link the first important law of
cultural development: "Other things being equal, the degree of cultural develop-
ment varies directly as the amount of energy per capita per year harnessed and
put to work" (p. 338). Two generations later, a physicist, Ronald E. Fox (1988),
concluded a book on energy in evolution by writing, ''A refinemen~ in cultural
mechanisms has occurred with every refinement of energy flux coupling" (p. 166).
Assessing the validity of such conclusions is a major goal of this book.
But even Nobel prize winners encounter great difficulties when they try to give
a satisfactory answer to a seemingly simple question: What is energy? Richard
Feynman (1988), one of the greatest physicists of the twentieth century, stressed,
"It is important to realize that in physics today, we have no knowledge of what en-
ergy is. We do not have a picture that energy comes in little blobs of a definite
amount" (p. 4-2). What we do know is that all matter is energy at rest, that energy
manifests itself in a multitude of ways, and that these distinct energy forms are
linked by numerous conversions (see Figure 1.1). Scientists rapidly expanded and
systematized their understanding of these stores, potentials, and transformations
during the nineteenth century and perfected it during the twentieth; surprisingly,
they discovered how to release nuclear energy in the late 1930s, two decades before
they understood how photosynthesis works .
. Flaws, SIIII"'IS, and Canlrals
The availability of power sources determines the amount of work activity that can
exist, and control of these power flows determines the power in man's affairs and
in his relative influence on nature.
-Howard T. Odum, Environment, Power, and Society (1971)
All known forms of energy are critical for human existence. This reality precludes
any rank-ordering of their importance. Much in the course of history has been
determined and circumscribed by universal and planetary flows of energy and
their regional or local manifestations. Fundamental features of the universe are
governed by gravitational energy, which orders countless galaxies and star sets
akin to our solar system. Gravity also keeps our planet orbiting at just the right
distance from the sun and holds the atmosphere, which makes the Earth habit-
able (see Au).
Like all active stars, the sun is powered by nuclear energy. The product of those
thermonuclear reactions reaches the Earth in the form of electromagnetic (solar,
or radiant) energy. The flux of this energy ranges over a broad spectrum of wave-
lengths, including visible light, and about a third of this huge flow is reflected by
clouds and surfaces. Nearly all of the remainder is absorbed by oceans, land, and

Page 21
Energy and Society
3
~ ELECTRO�
CHEMICAL
NUCLEAR
THERMAL
KINETIC
ELECTRICAL
0
MAGNETIC
ELECTRO.
CHEMILUMINE5-
NUCLEAR
THERMAL
ACCELERATING
ELECTRO-
MAGNETIC
CENCE
BOMBS
RADIATION
CHARGES
MAGNETIC
RADIATION
CHEMICAL
PHOTO-
CHEMICAL
DISSOCIATION
SYNTHESIS
PROCESSING
BOILING
BY
ELECTROLYSIS
RADIOLYSIS
GAMMA-
NUCLEAR
NEUTRON
REACTIONS
THERMAL
SOLAR
FISSION
HEAT
RESISTANCE
COMBUSTION
---
FRICTION
ABSORPTION
FUSION
EXCHANGE
HEATING
RADIOACTIVITY
THERMAL
KINETIC
RADIOMETERS
METABOLISM
EXPANSION
GEARS
ELECTRIC
NUCLEAR
INTERNAL
MOTORS
BOMBS
COMBUSTION
FUEL CELLS
NUCLEAR
THERMD-
ELECTRICITY
ELECTRICAL SOLAR CELLS
BATTERIES
BATTERIES
ELECTRICITY
GENERATORS
FIGURE 1.1 Matrix of energy conversions. Where more possibilities exist, only
one or two leading transformations are identified.
the atmosphere, converted to thermal energy, and reradiated by the planet. Geo-
thermal energy results from the original gravitational accretion of the Earth's
planetary mass and from the decay of radioactive matter. These flows drive the
grand tectonic processes that continually reorder the oceans and continents and
cause volcanic eruptions and earthquakes.
Only a tiny part of radiant energy is transformed by photosynthesis into new
stores of chemical energy in plants. Thes.e stores provide the irreplaceable foun-
dation for all higher life. Animate metabolism reorganizes nutrients into growing
tissues and maintains body functions and, in all mammals, also constant body
temperature. Digestion also generates mechanical (kinetic) energy of working
muscles. In their energy conversions animals deploy their muscles in search of
food, reproduction, escape, and defense, but these functions are limited by the
size of their bodies and by the availability of accessible nutrition.
Humans can extend these physical limits by using tools and harnessing the en-
ergies outside their own bodies. Unlocked by the human intellect, these extra-
somatic energies have been used for a growing variety of tasks; they serve both as
powerful prime movers and as fuels that release heat during combustion. Two
conditions must be satisfied in order for humans to convert these energies to their
own uses. First, the requisite energy flows (water, wind) or potentials (animals,
biomass, fossil or nuclear fuels) must be present in exploitable quantities. Second,
humans must take the actions or deploy the controls necessary to capture or re-

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4
Energy and Society
lease these flows and potentials in useful forms. The triggers of energy supplies
depend on the flow of information and on an enormous variety of artifacts.
These devices have ranged from such simple tools as hammerstones and levers
to complex fuel-burning engines and reactors that can release the energy of nu-
clear fission. The basic evolutionary and historical sequence of these advances is
easy to outline in broad qualitative terms. Like any nonphotosynthesizing organ-
ism, humans require food. This is their most fundamental energy need. Foraging
and scavenging by early hominids was very similar to the food acquisition strate-
gies of their primate ancestors (Whiten and Widdowson 1992). Although some
primates have a rudimentary tool-making capability, only hominids have ex-
plored this potential in a sustained manner.
Tools have given people many mechanical advantages in the provision of food,
shelter, and clothing. The mastery of fire greatly extended humanity's range of
habitation and set humans further apart from animals (Goudsblom 1992). Later,
the invention of better tools allowed people to harness domesticated animals,
build complex muscle-powered machines, and convert a tiny fraction of the huge
kinetic energies of wind and water into useful mechanical power.
These new prime movers greatly enlarged useful power under human com-
mand, but for a very long time their effective use was circumscribed by the nature
and magnitude of the captured flows. Most obviously, this was the case with sail-
ing. Solar energy inputs govern the basic patterns of atmospheric and oceanic cir-
culation. Prevailing wind flows and persistent ocean currents are fashioned by lo-
cation and the interaction between land and water masses. These grand flows
steered the late fifteenth-century European transatlantic voyages to the Caribbean
and prevented the Spaniards from discovering Hawaii even after nearly three cen-
turies of sailing through the Pacific.
The development of controlled combustion in fireplaces, stoves, and furnaces
enabled people to turn the chemical energy of plants into thermal energy. Society
began to use this heat not only directly in households but also for commercial
purposes. It enabled them to smelt metals, to fire bricks, and to process and finish
countless products. Combustion of fossil fuels made all of these traditional uses
of heat more widespread and more efficient. A number of fundamental inven-
tions made it possible to convert thermal energy produced from the burning of
fossil fuels to mechanical energy. Steam and internal combustion engines were
the earliest of these inventions; gas turbines and rockets followed. Since the end of
the nineteenth century all modernizing societies have been using fossil fuels as
well as the kinetic energies of water and wind to generate electrical energy. Since
the 1950s an increasing number of nations has also been generating electricity by
using nuclear energy released by the fissioning of heavy atoms. Fossil fuels and
electricity have created a new form of high-energy civilization that has quickly ex-
panded to encompass the whole planet.
What is much more difficult than outlining this grand sequence is to set these
developments in a broader perspective. This attempt requires a number of

Page 23
Energy and Sodety
5
approaches-some straightforward and others more complex. It is relatively easy
to evaluate the advantages and drawbacks of the more potent prime movers and
the better fuels. It is more difficult to identify the factors that promote or impede
innovation-that is, the processes that enable a society to take the intellectual and
technical steps needed to unlock great energy potentials. As these changes take
place, they have important consequences for farming, industry, transport, settle-
ment patterns, warfare, and the Earth's environment. An appraisal of these im-
pacts is equally complex. But no serious attempt to address these matters could be
solely qualitative. Quantitative accounts are essential in order to appreciate not
only the magnitude and the limits of human achievements but also their conse-
quences. Naturally, their comprehension requires knowledge of basic concepts
and measures.
The key idea is simple: constancy in the midst of change.
-R. Bruce lindsay, Energy (1975)
A number of first principles underlies all energy conversions. Every form of en-
ergy can be turned into heat, or thermal energy. No energy is ever lost in any of
these conversions. The conservation of energy is one of the most fundamental
universal realities. But as the conversion chain progresses, the potential for useful
work steadily diminishes (see A1.2). Physicists call the measure associated with
this loss of useful energy entropy. Although the energy content of the universe is
constant, conversions can only increase the entropy of a closed system, that is, de-
crease its utility. There is nothing we can do about this inexorable reality. A bas-
ketful of grain or a barrelful of crude oil are low-entropy stores of energy; they are
capable of much useful work once metabolized or burned. The random motion of
slightly heated air molecules is an irreversible high-entropy state representing an
irretrievable loss of utility.
This unidirectional entropic dissipation leads to a loss of complexity and to
greater disorder and homogeneity in any closed system. But living organisms-
from the smallest bacteria to the largest civilizations-temporarily defy this trend
by importing and metabolizing energy. This means that every living organism is
an open system maintaining continuous inflow and outflow of energy and matter.
As long as organisms are alive, they can never be in a state of chemical and ther-
modynamic equilibrium (von Bertalanffy 1968). Their growth and evolution re-
sult in greater heterogeneity and in increasing structural and systemic complexity.
Scientists did not fully understand these realities until the nineteenth century.
Before 1850, those immersed in the rapidly evolving disciplines of physics, chem-
istry, and biology found a common concern in studying transformations of en-

Page 24
6
Energy and Society
FIGURE 1.2 Two eighteenth-century horses turning a capstan geared to pumping well
water used for dying carpets in a French manufacture. Typical horses of this period could
not sustain a steady work rate of 1 horsepower. James Watt used an exaggerated rating
in order to assure customers' satisfaction with his horsepower-denominated steam
engines. Source: Reproduced from Diderot and D'Aiembert (1769-1772).
ergy (Cardwell1971; Lindsay 1975). These fundamental interests required a codifi-
cation of standard measurements. The two options that became common for
measuring energy were the calorie, a metric unit, and the British thermal unit
(see A1.3). Today's basic international unit of energy is the joule, named after an
English physicist, James Prescott Joule (1818-1889), who published the first accu-
rate calculation of the equivalence of work and heat.
Power simply denotes the rate of energy flow. Its first standard unit, the horse-
power, was set by James Watt. He wanted to charge for his steam engines on a
readily understandable basis, and so he chose to compare them with the prime
mover they were designed to replace-a harnessed workhorse powering a mill or
a pump. But it appears that he did so in a somewhat devious manner (see A1.3
and Figure 1.2). Today's basic scientific unit of power is, appropriately, 1 watt (1
joule/second).
Another important rate is energy density, the amount of energy per unit mass
of a resource. This value is of critical importance for foodstuffs as well as for fuels.
Even where abundant, foods that have a low energy density could never become

Page 25
Energy and Society
7
staples. Pre-Hispanic inhabitants of the Basin of Mexico, for example, always ate
plenty of prickly pears, the fruit of the Opuntia cactus, which were easy to gather
from wild plants (Sanders et al. 1979). But in order for even a small woman to sat-
isfy most of her food energy needs on such a diet, she would have to eat nearly 5
kilograms of the fruit every day. She could get the same amount of energy from
just about half a kilogram of tortillas. Conversely, charcoal's high energy den-
sity-about twice that of air-dried wood-made it the best fuel for cooking and
metallurgy in traditional societies (see A1.4).
Power density, the rate at which energies are produced or consumed per unit
of area, constitutes a critical structural determinant of energy systems. For exam-
ple, in all traditional societies dependent on fuelwood and charcoal, city size was
clearly limited by the inherently low power density of biomass production (see
A1.5). The power density of sustainable annual tree growth in temperate climates
is at best equal to just 1 or 2 percent of the power density of energy consumption
required for traditional urban heating, cooking, and manufactures. Conse-
quently, cities had to draw on large areas of the surrounding land-at least fifty to
more than one hundred times their size-in order to obtain an adequate fuel sup-
ply. This need for fuel restricted their growth even where other resources, like
food and water, were abundant.
Yet another rate, one that has assumed much importance with advancing
industrialization, is the efficiency of energy conversions. This ratio of output to
input is used most commonly when describing the performance of energy con-
verters, be they stoves, engines, or lights. Although people cannot do anything
about the entropic dissipation of the energy they use, they can try to improve the
efficiency of conversions by lowering the amount of energy required to perform
specific tasks (see A1.6). Obviously, there are physical limits to these improve-
ments, but in most instances there is still much room for improvement.
When efficiencies are calculated for production of foodstuffs, fuels, or electric-
ity, they are usually called energy ratios. Obviously, energy ratios in every pros-
perous traditional agricultural system had to be greater than one. Edible harvests
had to contain more energy than the amount that humans and animals con-
sumed in producing those crops. However, there was no simple relationship be-
tween food energy ratios and the social complexity of old high cultures. In con-
trast, industrial societies prefer to develop the fossil fuel resources with the
highest net energy ratios. This is why they favor crude oil in general, and the rich
Middle Eastern fields in particular (see Aq).
Finally, energy intensity measures the cost of products or services in standard
energy units. Among the commonly used materials, aluminum and silicon are
highly energy-intensive, whereas glass and paper are fairly cheap (see A1.8). The
technical advances of the past two centuries have brought many substantial de-
clines in energy intensities. One notable example is the coke-fueled smelting of
pig iron in large blast furnaces, which needs less than one-tenth the energy per
unit mass of finished product that charcoal-based production requires.

Page 26
8
Energy and Society
C~~~~~plaxitias and Canals
Discoursive thinking always represents only one aspect of ultimate reality. ... It
can never exhaust its infinite manifoldness.
-Ludwig von Bertalanffy, General System Theory (1968)
Using standard units to measure energy storages and flows is physically straight-
forward and scientifically impeccable-yet these reductions to a common de-
nominator mislead in several important ways. They cannot capture critical quali-
tative differences among various energy sources. Two kinds of coal may have
identical energy densities, but one may burn very cleanly and the other may
smoke heavily and emit a great deal of sulfur dioxide. The abundance of high-en-
ergy-density smokeless coal, the ideal fuel for steam engines, clearly helps to ex-
plain why Britain dominated nineteenth-century maritime transport. Neither
France nor Germany had comparably good coal resources.
Abstract units obviously cannot differentiate between edible and inedible bio-
mass. Identical masses of wheat and dry wheat straw contain virtually the same
amount of heat energy-but the straw cannot be digested by people, whereas
wheat is an excellent source of basic nutrients. Neither can the units of measure-
ment reveal the specific characteristics of the food energy, a matter of great im-
portance for proper nutrition. Many high-energy foods contain little or no pro-
tein and fat, two nutrients required for normal body growth and maintenance.
There are other important qualities hidden by abstract measures. Access to en-
ergy stores is obviously a critical matter. Stemwood and branchwood have the
same energy densities, but without good saws, many preindustrial societies could
only gather the latter. Conversion efficiency can be decisive in choosing �a fuel.
Natural gas and fuel oil have similar energy densities, but the best gas furnaces are
much more efficient. Ease of use is no less important. Straw burning requires fre-
quent stoking, whereas large wot>d pieces can burn unattended for hours. Pollu-
tion potential makes an enormous difference for both indoor and outdoor air
quality. Unvented indoor cooking with dry dung produces much more smoke
than the burning of seasoned wood.
Nor does the common denominator of basic measurement differentiate be-
tween renewable and fossil energies-yet this distinction is fundamental to a
proper understanding ofthe nature and durability of a given energy system. A
perfect illustration of these problems is an often used but basically misleading
comparison between the energy ratios of food production in traditional and
modern agricultures (see A1.9).
Similar difficulties complicate the use of various rate measures. How powerful
and efficient are people as prime movers? The first part of this question was an-
swered quite accurately long before systematic energy studies began in the nine-
teenth century. The early estimates equated the labor of one horse with the exer-

Page 27
Energy and Society
9
FIGURE 1.3 Glass polishers working in a French factory. Guillaume Amontons's accurate
estimate of sustainable labor was based on the work of glass polishers. They moved,
back-and-forth, a pad pressed against the glass by a wooden bow, exerting a horizontal
force of just over 10 kilograms at the speed of just under 1 meter per second. In modern
units this work rate would be equal to about 90 watts. The polishers had to sustain this
rate for 10 hours a day. Source: Reproduced from Diderot and D'Aiembert (1769-1772).
tion of anywhere from two to fourteen men. By 1699, Guillaume Amontons had
made a very good assessment based on the typical effort of glass polishers (Fergu-
son 1971; see Figure 1.3). Before 1800 a number of values converged on the correct
range of from fewer than 70 to slightly more than 100 watts for most steadily
working adults. When working steadily at a rate of 75 watts, ten men would be
needed to equal the power of one standard horse.
Advances in biochemistry in the late nineteenth century made it possible to de-
termine the highest efficiency of human muscles. During peak aerobic perfor-
mance, over 20 percent of ingested food energy is actually converted to kinetic en-
ergy. But it is still quite difficult to say just how efficient people are as prime
movers. Certainly the total daily food intake should not be counted as an energy
input of labor: Basal metabolism operates regardless of whether people are work-
ing or at rest.
Perhaps a calculation of the net energy cost of human activity provides the
most satisfactory solution to this problem (see Auo). But even in much simpler
societies than ours a great deal oflabor was mental rather than physical-and the
metabolic cost of thinking (even very hard) is small. And yet the development of

Page 28
10
Energy and Society
mental faculties requires years oflanguage acquisition, schooling, experience, and
socialization.
A real understanding of energy's role in history requires both quantitative and
qualitative evaluations. I have emphasized the need for quantitative appraisals,
but one must not reduce everything to numerical accounts and treat them as all-
encompassing explanations. Consequently, I will approach the challenge in both
ways. I will note energy and power requirements and densities, calculate energy
returns as accurately as data permit, and point out improving efficiencies. But I
will not forget nonenergetic necessities, motivations, changes, and advances.
Without their presence and effects the history of human energy use would nave
been profoundly different. Energetic imperatives have left a powerful imprint on
history. But many details, sequences, and consequences of these fundamental de-
terminants can be explained only by referring to human motivations, longings,
and passions, random events, and the sometimes surprising and often inexplica-
ble events of history.
APPENDIXES
AI. I Gravitation and the Habitability of the Earth
The extreme tolerances of carbon-based life are determined by the freezing point of the
liquids required for the formation and movement of organic molecules, on the one hand,
and by the high temperatures and pressures that destabilize amino acids and break down
proteins, on the other. The continuously habitable zone-the range of orbital radius assur-
ing optimal conditions for a life-supporting planet-is very narrow (Smoluchowski 1983).
If, when the solar system formed, the Earth had settled into an orbit just 5 percent closer
to the sun, it is unlikely that life would have evolved on the planet; a strong greenhouse ef-
fect would have caused intolerably high temperatures. In contrast, if the planet had taken
up a position a mere 1 percent further from the sun, all of its water would have been locked
in glaciers. Without the Earth's gravity the planet's unique atmosphere--dominated by ni-
trogen, enriched by oxygen from photosynthesis, and containing a number of important
trace gases regulating surface temperature-could not have supported highly diversified
life.
A1.2 Diminishing Utility of Energy
Any energy conversion illustrates the principle of diminishing utility. If an incandescent
bulb is now illuminating this page, for example, the electromagnetic energy of the light is
equivalent to only a small part of the chemical energy contained in the lump of coal used to
generate that light. The bulk of the coal's energy has escaped as heat through a plant chim-
ney, into the cooling water condensing the hot steam, through the wiring during transfor-
mation and transmission of the electric current, or through the bulb's coiled filament. And

Page 29
Energy and Society
11
the light reaching the page is either absorbed by it, reflected and absorbed by its surround-
ings, or reradiated as heat.
What can we do with this diffused heat that warmed the air above the station, along the
wires, around the light bulb, above your page? No energy has been lost, but the initially
highly useful form was degraded to the point where it has no practical use.
Al.3 Measuring Energy and Power
A joule measures the work accomplished when a force of 1 newton acts over a distance of 1
meter. A less abstract approach is to define the basic energy unit through heat require-
ments. One calorie is the amount of heat energy needed to increase the temperature of 1
cubic centimeter of water by 1 degree Celsius. This is a tiny amount of energy: Doing the
same for 1 kilogram of water calls, naturally, for one thousand times more energy, or 1 kilo-
calorie (kcal; for the complete list of multiplier prefixes see .Basic Measures).
Given the equivalence of heat and work, converting calories to joules is easy: One calorie
equals roughly 4.2 joules. For first approximations, simply multiply by four. The conver-
sion is equally simple for the nonmetric English measure of energy, the British thermal
unit. One BTU contains roughly 1000 joules (1055 to be exact). A good anchor for energy
comparisons is the average daily food consumption. For most people it falls between 2000
and 2700 kcal (2-2.7 megacalories, or Meal), or about 8-n megajoules, or MJ.
The first power unit has an interesting history. In 1782 James Watt calculated in his Blot-
ting and Calculation Book that a mill horse works at a rate of 32,400 foot-pounds a min-
ute--and the next year he rounded this up to 33,000 foot-pounds (Dickinson 1967). He as-
sumed an average walking speed of about 3 feet per second, cl~arly a typical performance.
But we do not know where he got his figure for an average pull of about 180 pounds. Many
large animals working at that time in England were that powerful-but most horses in
eighteenth- and even nineteenth-century Europe could not sustain rates of 1 horsepower.
Did Watt deliberately overestimate the average power of horses in order not to disappoint
buyersofhis steam engines?
Today's standard unit of power, 1 watt (W), is equal to the flow of 1 joule per second.
One horsepower is equal to about 750 watts. To return to the example of daily food con-
sumption, 8 MJ of food per day corresponds to a power rate of about 90 W (8 MJ divided
by the product of 24 hours times 3600 seconds), less than the rating of a standard light bulb
(100 W). A double toaster uses electricity at a rate of 1000 W, or 1 kW; small cars consume
gasoline at a rate of around 50 kW; and a large coal-fired power plant produces electricity
at a rate of 2 gigawatts (GW).

Page 30
12
Energy and Society
A1.4 Energy Densities of Foodstuffs and Fuels
Foodstuffs and Fuels
Foodstuffs
Very low
Low
Medium
High
Very high
Fuels
Vegetables, fruits
Tubers, milk
Meats
Cereal and legume grains
Oils, animal fats
Very low
Peats, green wood, grasses
Low
Crop residues, air-dried wood
Medium
Bituminous coals
High
Charcoal, anthracites
Very high
Crude oils
Source: Derived from Smil (1991).
Energy Densities
(MJ/kg)
0.8-2.5
2.5-5.0
5.0-12.0
12.0-15.0
25.0-35.0
5.0-10.0
12.0-15.0
18.0-25.0
28.0-32.0
40.0-44.0
Al.S Power Densities of Biomass Fuels
Photosynthesis converts on the average less than 1 percent of incoming solar radiation into
new biomass. In warm and rainy climates the best sustainable annual fuelwood pro-
ductivities for fast-growing species are usually no more than 15 tonnes per hectare (t/ha);
in drier regions with slower-growing trees, this figure is between 5 and 10 t/ha. With dry
wood averaging 18 MJ per kilogram (kg), these rates translate into power densities of O.J-
0.9 W per square meter (m2). Converting much of this wood into charcoal would have eas-
ily halved these power densities.
In the built-up areas of a large preindustrial city in a cold climate, heating, cooking, and
producing various manufactures would have required at least 2o-30 W per square meter.
Consequently, the city would need a nearby area of up to 100 times its size to secure a sus-
tainable supply of fuel.
A1.6 Efficiency Improvements
The cumulative effect of technical innovation and advances in management have often
been translated into impressive long-term gains. During the late 188os, for example,
Thomas Edison's first electricity-generating plants converted less than 10 percent of the
coal they used to electricity; his first light bulbs turned less than 1 percent of the electricity
they used into light. As a result, less than 0.1 percent of the chemical energy in coal ended
up as light on a page. Today's best plants are about 40 percent efficient and the best lights
about .20 percent efficient: This means that about 8 percent of coal ends up as light, an
eighty-fold efficiency gain in a century! Such gains not only save capital and operation
costs. More fundamentally, they lower the inevitable environmental impacts: There is less
land destroyed by mining, less warm water dumped into streams, and less air pollution.
A1.7 Energy Cost of Energy
Available calculations show the energy cost of U.S. and British coal to be anywhere from
100 kJ!kg to 4 MJ/kg (Boustead and Hancock 1979 ). The first value implies an efficiency of

Page 31
Energy and Society
13
99.75 percent, the second one of just over So percent. For the richest Middle Eastern
oilfields, the energy invested in exploration (less than 1 kJ/kg) and production ( 0.5-5 kJ/kg)
adds up to as little as 0.005 percent of the energy contained in a kilogram of crude oil! This
is a negligible total compared to the amount of energy needed for shipping (1-3.5 MJ/kg,
including the construction of tankers and oil terminals) and refining (anywhere from 4 to
10 percent of crude oil input). In general, the energy investments needed to produce the
fossil fuels that sustain modern civilization produce very large energy returns.
Al.8 Energy Intensities of Common Materials
Energy Cost
Material
(M]!kg)
Aluminum
227-342
Bricks
2-5
Cement
5-9
Copper
60-125
Explosives
10-70
Glass
18-35
Gravel
0.08--0.1
Iron
20-25
Lead
30-50
Limestone
O.D7--0.1
Paper
25-50
Plastics
60-120
Sand
0.08-0.1
Silicon
230-235
Steel
20-50
Water
0.001--0.01
Wood
3-7
Source: Compiled from Smil (1991).
Remarks
Metal from bauxite
Baked from clay
From raw materials
Metal from ore
From raw materials
From sand and other materials
From quarries, rivers
From iron ore
From ore
From rock
From standing timber
From crude oil
Excavated
From silica
Finished from ore
From streams, reservoirs
From standing timber
Al.9 Comparison of Energy Ratios in Food Production
Since the early 1970s energy ratios have often been used to illustrate the superiority of tra-
ditional farming and the low energy returns of modern agriculture. Such comparisons are
misleading owing to a fundamental difference between the two ratios. The figures cited for
traditional farming are internally consistent: They are simply quotients of the food energy
in crops and the food energy (labor) needed to produce those harvests. In contrast, in
modern farming the denominators are composed overwhelmingly of the nonrenewable
fossil fuel inputs needed to power field machinery and make the equipment and farm
chemicals-and labor inputs are negligible.
If the ratio was calculated merely as a quotient of edible energy output to labor input,
then modern systems, with their minuscule amount of human effort and no draft animals,
would look superior to any traditional practice. If the cost of producing a modern crop in-
cludes all fossil fuels and electricity converted to a common denominator, then the energy
returns in modern agriculture fall substantially below traditional returns. Such a calcula-
tion is possible because of the physical equivalence of energies: Both food and fuels can be
expressed in identical units. But an obvious "apples and oranges" problem remains.

Page 32
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Energy and Society
Clearly, there is no satisfactory way to compare-simply and directly-the energy returns
of the two fundamentally different farming systems.
Al.IO Calculations of Net Energy Cost of Human Labor
The energy cost of human labor can be expressed in a number of ways, none of them quite
satisfactory (Fluck 1992b ). I believe that the net energy cost is the most satisfactory choice:
This measure quantifies a person's energy consumption above the basic existential need
that would have to be satisfied even if the person did no work. This approach debits human
labor, with its actual incremental energy cost, rather than exaggerating its value by charg-
ing it with the total daily food consumption.
Most of the total food intake is usually claimed by the basal metabolic rate, which covers
the maintenance of vital biochemical functions and a steady body temperature. The meta-
bolic rate varies with sex and age and displays considerable individual departures from
large-scale group means. To this must be added mark-ups to allow for the energy costs of
sitting, standing, and moving in order to eat and carry out basic personal hygiene. Food
consumption in excess of these requirements is a rational measure of the energy cost of
both labor and leisure activities.

Page 33
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