work_4xitmxafyfcbpkrrqobwpn7vma	----	Association News Organization Officers Publications Meetings AMERICAN SOCIO- LOGICAL ASSOCIA- TION, 1722 N Street, N.W., Washington, D.C. 20036 Executive Secretary: Hans Mauksch COMMITTEE ON HEALTH POLITICS One Washington Square Village, #10L, New York, New York 10012 CONFERENCE FOR THE STUDY OF POLITICAL THOUGHT Department of Political Science, CUNY Graduate Center, 33 West 42nd Street, New York, New York 10036 INTERNATIONAL STUDIES ASSOCIATION University Center for International Studies, University of Pittsburgh, Pittsburgh, Pennsylvania 15260 Chairman: Melvin Richter, CUNY Graduate Center Secretary: David Spitz, CUNY Graduate Center Executive Director: Carl Beck Associate Director: Karen Eide Rawling THE LAW AND SOCI- ETY ASSOCIATION University of Denver, College of Law, 200 West 14 Avenue, Denver, Colo- rado 80204 NATIONAL ASSOCIA- TION OF SCHOOLS OF PUBLIC AFFAIRS AND ADMINISTRATION 1225 Connecticut Avenue, N.W., Suite 300, Washing- ton, D.C.20036 POLICY STUDIES ORGANIZATION, 361 Lincoln Hall, University of Illinois, Urbana, Illinois 61801 AMERICAN SOCIOLOGI- CAL REVIEW, Morris Zeldritch, Editor AMERICAN SOCIOLO- GIST CONTEMPORARY SOCIOLOGIST JOURNAL OF HEALTH POLITICS, POLICY AND LAW, Ralph Straatz, Editor President: Samuel Krislov, University of Minnesota President-Elect: Charles D. Kelso, Indianapolis Law Secretary: June L. Tapp, University of Minnesota Executive Secretary: James E. Wallace, University of Denver President: Alan K. Campbell, Syracuse University Vice President: Charles F. Bonser, Indiana University Staff Director: Don M. Blandin President: Duncan MacRae, University of North Caro- lina, Chapel Hill President-Elect: Thomas Dye, Florida State University THE PUBLIC CHOICE SOCIETY, Center for the Study of Public Choice, Virginia Polytechnic In- stitute and State Univer- sity, Blacksburg, Virginia 24061 THE SOCIETY FOR THE President: Albert Pepitone, August 30-September 2, 1976 New York Hilton New York, New York International Confer- ence each spring INTERNATIONAL STU- DIES QUARTERLY INTERNATIONAL STU- DIES NOTES INTERNATIONAL STU- DIES NEWSLETTER Occasional Papers in Inter- national Studies LAW AND SOCIETY RE- VIEW, Mark Galanter, SUNY, Buffalo, Editor February 25-29, 1976 Royal York Hotel Toronto, Canada 1 POLICY STUDIES JOUR- NAL, Stuart Nagel, Univer- sity of Illinois, Urbana, Coordinator President: James Coleman, University of Chicago Secretary: Gordon Tullock, Virginia Polytechnic Institute and State University PUBLIC CHOICE, Gordon Tullock, VPI & SU, Editor April 22-25, 1976 Washington, D.C. April 30, 1976 Pick-Congress Hotel Chicago, Illinois September 3-4,1976 Palmer House Hotel Chicago, Illinois April 15-17, 1976 Hotel Roanoke Roanoke, Virginia PSYCHOLOGICAL STUDY OF SOCIAL IS- SUES, c/o Professor Al- bert Pepitone, University of Pennsylvania, Phila- delphia, Pennsylvania 19104 THE SOCIETY FOR THE STUDY OF SOCIAL PROBLEMS, 1316 Mishawaka Avenue, South Bend, Indiana 46600 University of Pennsylvania Special Conferences and Educational Programs Information Sought The Association is interested in securing infor- mation on special conferences and educational programs for undergraduates in political science such as the Model United Nations Program. Information should be sent to Dr. Sheilah Koeppen, Director, APSA Division of Educa- tional Affairs. t 412 PS Fall 1975 
work_2ei4rapcb5cvvhjyysihtnazt4	----	ROP volume 34 issue 2 Cover and Front matter THE REVIEW OF POLITICS Vol. 34 April, 1972 No. 2 J. Bowyer Bell: The Chroniclers of Violence in Northern Ireland: The First Wave Interpreted James Hitchcock: Fathers and Sons: The Politics of Youth Kenneth W . Thompson: The Green Revolution: Leadership and Partnership in Agriculture R. Judson Mitchell: The Brezhnev Doctrine and Communist Ideology Donald Atwell Zoll: Naturalism and Political Philosophy Alan R. Havig: Restive Haven for Progressives: Both Parties THE UNIVERSITY OF NOTRE DAME NOTRE DAME, INDIANA h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 02 09 94 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500020994 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS M. A. FITZSDMONS Editor FRANK O'MALLEY Associate Editor JOSEPH DUFFY. JOHN S. DUNNE, STEPHEN KERTESZ. ROBERT E. BURNS Advisory Editors GEORGE TALBOT -Editorial Fellow Copyright, 1972, by the University of Notre Dame. Published quarterly at the University of Notre Dame. Issued each January, April, July and October. Entered as second-class matter, April 1 , 1939, at the post office at Notre Dame, Indiana, under Act of March 2nd, 1679. Subscriptions: $5.00 the year in the United States and Canada; foreign $5.40; single copy, $1.50. RECENTLY PUBLISHED . . . FORCES OF CHANGE IN THE MIDDLE EAST . . . This book presents not only the current unrest being faced by the Middle East, but also the problems of change taking place within Israel and the Arab States today. With valuable contributions from Professors of Political Science and Middle Eastern Studies, this volume has delved into concepts such as political modernization, economic development and social change. The difficulty of change in these states has been analyzed in this book and presented to you by competent and extremely knowledgeable scholars in this field. Available from: Director of Administrative Services Worcester State College 486 Chandler Street Worcester, Massachusetts 01602 111 pages $5.00 Check or money order payable to the Worcester State College Publications Trust. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 02 09 94 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500020994 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS Published Quarterly by the University of Notre Dame, Indiana Vol. 34 APRIL, 1972 No. 2 J. Bowyer Bell: The Chroniclers of Violence in Northern Ireland: The First Wave Interpreted 147 James Hitchcock: Fathers and Sons: The Politics of Youth 158 Kenneth W. Thompson: The Green Revolution: Leadership and Partnership in Agriculture 174 R. Judson Mitchell: The Brezhnev Doctrine and Communist Ideology 190 Donald Atwell Zoll: Naturalism and Political Philosophy 210 Alan R. Havig: Restive Haven for Progressives: Both Parties 223 Reviews: Mary Jo Weaver: The Christian Tradition 235 Willis D. Nutting: Work and Culture 237 Leo R. Ward: In the Middle of Situations 239 Thomas Stritch: Art and Journalism 240 James B. Holderman: Tasks and Directions for Universities 242 Joseph J. O'Malley: Marxism: Early and Late 244 Arthur F. McGovern: A Fundamental Marxist Text 249 Gerhart Niemeyer: Socialism: Tradition or Aberration? 251 Cyriac K. Pullapilly: Meeting of the Twain: Eighteenth Century 255 Fauzi M. Najjar: Islam, Equality and Revolution 257 James J. Sheehan: Reparations and Weimar 260 John S. Wozniak: Nazi Germany's Early Foreign and Youth Policies 261 Charles J. Tull: Roosevelt as a War Leader: Two Cheers 264 Frank Annunziata: The United States and China 266 Roger Hamburg: Assumptions in Soviet-American Relations 269 Thomas P. Murphy: The Moon and the Garbage of New York „ 271 Joan Huber: Social Studies of American Industrialism 273 Clarence G. Contee: Black Power: A History 275 Donald L. W. Howie: Racial Politics and the Illusion of New Settings , 277 Robert Sullivan: Violence in God's Country 279 Vincent A. Lapomarda, S.J.: Prominent New England Democrats ..._ _... 284 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 02 09 94 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500020994 https://www.cambridge.org/core https://www.cambridge.org/core/terms CONTRIBUTORS TO THIS ISSUE J. BOWYER BELL is a member of the Center for International Research, Harvard University. JAMES HITCHCOCK is Associate Professor of History in the University of St. Louis. KENNETH W. THOMPSON, a Vice-President of the Rockefeller Foundation, will soon publish Foreign Aid: A View from the Pri- vate Sector (Notre Dame) of which his article is a part. R. JUDSON MITCHELL is Assistant Professor of Government in Louisiana State University in New Or- leans. DONALD ATWELL ZOLL is Professor of Political Science in Arizona State University. ALAN R. HAVIG is a member of the History Department of Stephens College. MARY JO WEAVER is a graduate student of theology in the University of Notre Dame. WILLIS D. NUTTING is Professor Emeritus (General Program) of the University of Notre Dame. LEO R. WARD, C.S.C., is Professor of Phi- losophy in the University of Notre Dame. THOMAS STRITCH is Professor of Communication Arts in the University of Notre Dame. JAMES HOLDERMAN is Executive Director of the State of Illinois Board of Higher Education. JOSEPH J. O'MALLEY is a member of Marquette's Philosophy Department. ARTHUR F. MCGOVERN, S.J., is a member of the University of Detroit's Philosophy De- partment. GERHART NIEMEYER, Professor of Government (Notre Dame), is author of Between Nothingness and Paradise. CYRIAC K. PULLAPILLY is Associ- ate Professor of History in St. Mary's College, Notre Dame, Ind. FAUZI M. NAJJAR is Professor in the Department of Social Science, Michigan State Uni- versity. JAMES J. SHEEHAN is a member of Northwestern University's His- tory Department. J O H N S. WOZNIAK is Assistant Professor of History in State University College, Fredonia, New York. CHARLES J. TULL is Professor of History in Indiana University (South Bend). FRANK ANNUNZIATA is Associ- ate Professor of History in Eisenhower College. ROGER HAMBURG is a mem- ber of the Political Science faculty of Indiana University (South Bend). THOMAS P. MURPHY, Professor of Government in the University of Maryland, recently published Metropolis and the Urban County. JOAN HUBER is a mem- ber of the Sociology Department in the University of Illinois. CLARENCE G. CONTEE is Associate Professor of History in Howard University. DONALD L. W. HOWIE is Director of the Black Studies Program in the State University of New York at Stony Brook. ROBERT SULLIVAN is a member of the faculty of John Jay College of Criminal Justice. VINCENT A. LAPOMARDA, S.J., is a member of Holy Cross College's History Department. T H E REVIEW OF POLITICS, without neglecting the analysis of institutions and techniques, is primarily interested in the philosophical and historical approach to political realities. All manuscripts, books for review, exchanges, inquiries, and subscriptions, should be addressed to the Editors, T H E REVIEW OF POLITICS, Notre Dame, Indiana 46556. Opinions expressed in the articles printed in T H E REVIEW OF POLITICS are those of the authors alone and not necessarily opinions held by the Editors. The contents of this publication cannot be reissued or republished in any form without special permission from the Editors. The articles in T H E REVIEW OF POLITICS are indexed in the International Index to Periodicals and the Index of Catholic Periodicals and abstracted in the International Political Science Abstracts. They are abstracted and indexed in ABC POL. SCI. and HISTORICAL ABSTRACTS. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 02 09 94 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500020994 https://www.cambridge.org/core https://www.cambridge.org/core/terms 
work_2yklt27dhnh75bufe4cvotkyo4	----	Microsoft Word - IMC_3_2010_Online.doc “Homework assignments and use of technology comparison of F301 and F260 classes at Indiana University South Bend” AUTHORS Raj K. Kohli ARTICLE INFO Raj K. Kohli (2010). Homework assignments and use of technology comparison of F301 and F260 classes at Indiana University South Bend. Insurance Markets and Companies, 1(3) RELEASED ON Wednesday, 29 December 2010 JOURNAL "Insurance Markets and Companies" FOUNDER LLC “Consulting Publishing Company “Business Perspectives” NUMBER OF REFERENCES 0 NUMBER OF FIGURES 0 NUMBER OF TABLES 0 © The author(s) 2019. This publication is an open access article. businessperspectives.org Insurance Markets and Companies: Analyses and Actuarial Computations, Volume 1, Issue 3, 2010 79 Raj K. Kohli (USA) Homework assignments and use of technology comparison of F301 and F260 classes at Indiana University South Bend Abstract This paper compares the use of technology and the importance of homework assignments among students from personal finance and financial management courses at Indiana University South Bend in USA. In this research, 112 students from Spring 2006 through the Fall 2008 semesters were surveyed about the use of technology both outside and inside the class- rooms. The results of this study indicate no statistical difference among male or female students in those classes. How- ever, it is apparent from this analysis that students with higher GPAs use more technology than students with lower GPAs. Keywords: finance students, homework assignments, use of technology and classroom. Introduction The importance of problem solving, communication skills and use of technology plays an important role in students’ development. At many universities, Personal Finance course is taught at the freshman level, where the students come just after completing their High school education. Also, business finance or financial management course is the only finance course that students majoring in finance take during their under- graduate academic career. This paper compares the use of technology and importance of homework assign- ments among students, taking personal finance and financial management courses. Homework assignments may compensate for low ability of some students and, hence, increase their academic capability. Assuming that students in cur- rently high technological environments are well famil- iar with computers and have excellent motor skills (due to playing video games), using computers in their homework assignments and in the classroom may also become an entertaining experience for the students. In this scenario, they can be more involved in the studies as it also engages them in using their motor skills. Many empirical studies indicate that the time spent on studies and completing assignments by secon- dary school or college students is a good predictor of their academic achievement. It is known that hard working students may compensate for low academic skills to some extent and enhance their grade point average (GPA), morale and confidence. Alavi (1994) reports that collaborative learning leads to higher level of perceived skill development and self enhanced learning among MBA students. Kel- ley (1972) reports that student achievement was positively and significantly related to number of assignments completed (Upperclassman or Sopho- more) at University of Wisconsin-Madison survey in principal of economics course. According to King and Jennings (2004), traditional education, used with technology and experimental exercise, signifi- cantly increases business student learning and satis- Raj K. Kohli, 2010. faction at the undergraduate level. Kohli (2007) shows no difference among male or female students about the use of technology and GPA level in per- sonal finance class. However, the students with higher GPAs use more technology than students with lower GPAs. Use of technology for academic activities plays an important role both outside and inside the classroom today. For example, Cudd, Tanner, and Lipscomb (2004) reported that about forty percent of finance faculty use intranet-based software or blackboard to augment classroom instruction and that sixty-seven percent of finance faculty use the Internet for educa- tion. Peng (2006) reported that students react posi- tively to Internet-based resources because it enhances their learning experience. Burrus, Dumas and Gra- ham (2001) have reported, prior GPA, hours spent studying for the class, and the perceived usefulness of the homework for exam preparation are positively and significantly related to the final homework grade. They further stated that the perception that homework assignments help students prepare for exams moti- vates student to high quality homework performance among macroeconomics students. The objective of this study is to compare the student’s response in personal finance and financial manage- ment Course at Indiana University South Bend. 1. Data and methodology The data, used in this study, is student’s response to a survey 1 from Personal Finance Course at Indiana University South Bend in the Fall semester 2006 and Spring semester 2007. The data also includes survey of students from financial management classes in Fall 2007 and Spring 2008. Four sections of personal finance courses and five sections of financial man- agement courses at Indiana University South Bend were surveyed for this study. Altogether, one hundred and twelve students volunteered to complete the sur- vey. A correlation analysis and descriptive statistics are used in this analysis. 1 Questionnaire is attached in the Appendix B. Insurance Markets and Companies: Analyses and Actuarial Computations, Volume 1, Issue 3, 2010 80 2. Results The results of the descriptive statistics are reported in Table 1, Table 2 and Table 3 (see Appendix A). Re- sults in Table 1 indicate that thirty three of the one hundred twelve respondents (30 percent) 1 were part time students, and eighty eight from one hundred twelve (77.6 percent) students were expecting final grade of either A or B. While sixty two percent of male students were studying full-time, eighty two percent of the female students were full-time students. There is no difference between male and female stu- dents in the expected grades from F301 and F260 classes. These results indicate that majority of students are full-time students and are expecting academically good achievements. Further analysis of descriptive statistics in Table 3 (see Appendix A) shows that twenty percent of male stu- dents and ten percent of female students never use spreadsheet or word processor, while Completing their homework assignments. Thirteen of sixty-six male students (20 percent) and ten of forty-six female stu- dents (21 percent) never used the Internet, while work- ing on the assignments. Therefore, the results of this study show that female and male students use com- puters (spreadsheet or Internet) equally in doing the homework assignments. Pearson correlation coefficient (PCC) results between selected variables for both classes F301 and F260 are shown in Tables 5. And, Table 6 shows the coeffi- cients for F260 and F301 separately. For purpose of simplicity, only statistically significant coefficients are reported in these Tables. Table 5 (see Appendix A) shows PCC between homework helps to understand materials discussed in class and understanding materials clearly is 0.499 (sig- nificant at 1 percent level). Similarly PCCs between homework helps to understand material discussed in the class and preparing for the class, in thinking or problem solving, working alone, not submitting homework are 0.211 (5% significant), 0.261 (5% sig- nificant), 0.166 (10% significant), and 0.289 (1% sig- nificant), respectively. PCCs between materials not discussed in the class and clear understanding, prepar- ing for the class, use of Internet, and using technology by instructor in class are 0.244 (1% significant), 0.411(1% significant), -0.279 (1% significant), and 0.173 (10% significant), respectively. PCCs between understanding materials clearly and class preparation, entertaining class, problem solving, not submitting homework, use of technology by in- structor outside class are 0.447 (1% significant), 0.239 (5% significant), 0.297 (1% significant), 0.174 (10% significant), -0.305 (1% significant), and -0.266 (1% 1 In order to manage the size of Tables, the percentages for all variables are not shown in the descriptive statistics but can be provided at request. significant), respectively. A further look at Table 5 indicates that PCCs are statistically significant between instructor requiring students to use technology and preparing for the class and problem solving. Thus, the PCC, reported in Table 5 for both classes F301 and F260, are significant. A careful look at PCCs in Table 5, it is seen that use of technology for doing homework assignments helps students for class prepa- ration, problem solving and understanding the materi- als clearly are positively correlated. The results in Table 5 also show that PCCs are statistically negative between instructor’s posting the class related materials on Internet means that students are not satisfied with the instructor’s timeliness in helping students. Table 6 and Table 7 PCC among selected technology questionnaires for F260 and F301 classes, respectively. For purpose of simplicity, only statistically significant coefficients are reported in these Tables. Table 6 shows PCC between homework helps to understand materials discussed in class, and under- standing materials clearly is 0.252 (significant at 5 percent level), and preparing for class is 0.318 (5% significant). Similarly PCCs between homework helps to understand material clearly and preparing for the class are 0.425 (1% significant), enjoyable ex- perience 0.263 (5% significant), instructor requiring use of technology -0.294 (5% significant), instructor using technology in class -0.26 (5% significant), in- structor using technology outside class -0.213 (1% significant), and instructor posting class related mate- rials on Internet 0-0.290 (5% significant), respec- tively. Interestingly enough, the results in Table 6 also show that PCCs are statistically negative be- tween instructor’s posting the class related materials on Internet means that students are not satisfied with the instructor’s timeliness in helping students. Table 7 shows PCC between homework helps to understand materials discussed in class and problem solving are 0.441 (significant at 1 percent level) and doing homework alone 0.255 (10% significant), respectively. Similarly PCCs between homework helps to understand material clearly and preparing for the class are 0.458 (1% significant) and instruc- tor using technology outside class -0.401 (1% sig- nificant), respectively. Respondents PCC for prob- lem solving and instructor’s forcing students to use technology is 0.278 (10% significant). The results in Table 7 also show that PCCs are statistically nega- tive between instructor’s posting the class related materials on Internet means that students are not satisfied with the instructor’s timeliness in helping students. The results of one-way ANOVA between F301 (financial management) and F260 (personal fi- nance) students are reported in Table 8 (see Ap- pendix A). The results, reported in this Table, indi- Insurance Markets and Companies: Analyses and Actuarial Computations, Volume 1, Issue 3, 2010 81 cate statistically significant difference (10%) be- tween these two classes when it comes to com- pleting homework and understanding materials discussed in the class. As expected, all students in both classes are familiar with computers as per the results shown in Table 8. Students’ responses, reported in Table 8, also show that F260 and F301 students have a statistically different (1%) view on instructor’s requirement for use of spreadsheet/word processor in the class. Similarly the students in these two classes indicate significantly different (1%) opinion on instructor’s posting of class related in- formation on the website. Summary and conclusion By looking at all results, one can conclude that there is no difference among male or female students about the use of technology and current GPA. However, it is apparent that students with high GPA use more tech- nology than students with a lower value of GPA. When comparing F301 and F260 classes, the results of this analysis show no significant difference among students using technology in the two classes. Except for a few questions (7 out of 26), students’ responses from F301 and F260 classes do not seem to indicate any significant difference. Similarly, there is no dif- ference of opinion in use of technology for home- work assignments between male and female student. An interesting conclusion of this analysis shows negative correlation between instructors’s posting the class related materials on Internet means that students are not satisfied with the instructor’s time- liness in helping students. References 1. Burrus Robert T., Christopher F., Dumas and J. Edward Graham (2001). Determinant of principles of microeco- nomics homework performance, The Journal of Economics and Economics Education Research. 2. Cudd, Mike, John Tanner and Tom Lipscomb. An empirical analysis of a cumulative/rework testing strategy: its effect on student performance in the principles of finance, Journal of Financial Education, 30, Winter, pp. 16-31. 3. Kelley C. Allen (1972). TIPS and technical change in classroom instruction (in economic education), The Ameri- can Economic Review, Vol. 62, No. ½, pp. 422-428. 4. King, David R., and William W. Jennings (2004). The impact of augmented traditional instruction with technol- ogy-based experimental exercise, Journal of Financial Education, 30 (2), pp. 9-25. 5. Kohli Raj K. Student evaluations of homework and use of technology in the personal finance course, Journal of the Academy of Finance, Fall 2007, pp. 212-223. 6. Krueger, Thomas and Robert Carney, Online behavior of the graduate finance student, Journal of the Academy of Finance, Vol. 3, Issue 1, Summer 2005, pp. 147-157. 7. Maryam Alavi (1994). Computer-mediated collaborative learning: an empirical evaluation, MIS Quarterly, Vol. 18, No. 2, June, pp. 159-174. 8. Mehdizadeh, Mostafaf (1987-88). Student evaluations of homework assignments in the principal of economics, The Kentucky Journal of Economics and Business, Vol. 8, pp. 139-153. 9. Peng, Zhuoming (2006). Applying Internet based technologies to teaching corporate finance and investments, The Journal of Educator Online. 10. Smorila, Joseph C. Student perceptions of online homework in introductory finance courses, Journal of Education for Business, Vol. 84, Nov-Dec 2008. Appendix A Table 1. Full time students and expected grade by male versus female students Full-time student Mean N Std. deviation Yes 2.98 41 1.037 No 3.08 25 1.115 Male Total 3.02 66 1.060 Yes 3.68 38 1.093 No 3.25 8 1.165 Female Total 3.61 46 1.105 Yes 3.32 79 1.116 No 3.12 33 1.111 Total Total 3.26 112 1.113 Table 2. Expected grade by male versus female students Expected grade Mean N Std. deviation A 1.29 17 .470 B 1.43 35 .502 C 1.54 13 .519 D 2.00 1 . Male Total 1.42 66 .498 Insurance Markets and Companies: Analyses and Actuarial Computations, Volume 1, Issue 3, 2010 82 Table 2 (cont.). Expected grade by male versus female students Expected grade Mean N Std. deviation A 1.27 22 .456 B 1.62 13 .506 C 1.64 11 .505 Female Total 1.46 46 .504 A 1.28 39 .456 B 1.48 48 .505 C 1.58 24 .504 D 2.00 1 . Total Total 1.44 112 .498 Table 3. Do you use spreadsheet and/or word processor in completing homework? Mean N Std. deviation Never 1.54 13 .519 Sometimes 1.41 37 .498 Always 1.38 16 .500 Male Total 1.42 66 .498 Never 1.60 5 .548 Sometimes 1.42 24 .504 Always 1.47 17 .514 Female Total 1.46 46 .504 Never 1.56 18 .511 Sometimes 1.41 61 .496 Always 1.42 33 .502 Total Total 1.44 112 .498 Table 4. Do you use Internet in completing homework? Mean N Std. Deviation Never 1.54 13 .519 Sometimes 1.40 48 .494 Always 1.40 5 .548 Male Total 1.42 66 .498 Never 1.60 10 .516 Sometimes 1.38 32 .492 Always 1.75 4 .500 Female Total 1.46 46 .504 Never 1.57 23 .507 Sometimes 1.39 80 .490 Always 1.56 9 .527 Total Total 1.44 112 .498 Table 5. Pearson correlation coefficients between selected variables combined for F260 and F301 classes, N = 112 D o e s h o m e w o rk h e lp t o u n d e rs ta n d t h e t e xt m a te ri a l n o t d is cu ss e d in t h e c la ss ? u n d e rs ta n d t h e m a te ri a l cl e a rl y? p re p a re f o r th e n e xt c la ss ? le a rn in g e xp e ri e n ce e n jo ya b le ? th in ki n g o r p ro b le m s o lv in g ? W o rk a lo n e o r in a g ro u p D id n o t h a n d in y o u r h o m e w o rk ? U se o f In te rn e t in so re a d sh e e t a n d /o r w o rd p ro ce ss o r re q u ir e d U se o f In te rn e t in s o re a d - sh e e t a n d /o r w o rd p ro ce ss o r re q u ir e d R e q u ir e y o u t o u se I n te rn e t fo r th is c o u rs e ? In st ru ct o r u se s te ch n o lo g y T e ch n o lo g y o u ts id e t h e c la ss fo r th is R e g u la rl y p o st c la ss r e la te d in fo rm a tio n ( lik e b u t n o t lim ite d Understand the text material discussed in the class 0.207** 0.499*** 0.211** 0.261** 0.166* 0.289*** -0.165* Understand the text material not discussed in the class 0.244*** 0.411*** -0.279*** 0.173* Help to understand the material clearly 0.447*** 0.239** 0.297*** 0.174* -0.305*** -0.266*** Help you to prepare for the next class 0.238* -0.200** 0.158* -0.245*** -0.210** Insurance Markets and Companies: Analyses and Actuarial Computations, Volume 1, Issue 3, 2010 83 Table 5 (cont.). Pearson correlation coefficients between selected variables combined for F260 and F301 classes, N = 112 D o e s h o m e w o rk h e lp t o u n d e rs ta n d t h e t e xt m a te ri a l n o t d is cu ss e d in t h e c la ss ? u n d e rs ta n d t h e m a te ri a l cl e a rl y? p re p a re f o r th e n e xt c la ss ? le a rn in g e xp e ri e n ce e n jo ya b le ? th in ki n g o r p ro b le m s o lv in g ? W o rk a lo n e o r in a g ro u p D id n o t h a n d in y o u r h o m e w o rk ? U se o f In te rn e t in so re a d sh e e t a n d /o r w o rd p ro ce ss o r re q u ir e d U se o f In te rn e t in s o re a d - sh e e t a n d /o r w o rd p ro ce ss o r re q u ir e d R e q u ir e y o u t o u se I n te rn e t fo r th is c o u rs e ? In st ru ct o r u se s te ch n o lo g y T e ch n o lo g y o u ts id e t h e c la ss fo r th is R e g u la rl y p o st c la ss r e la te d in fo rm a tio n ( lik e b u t n o t lim ite d Help you in thinking or problem solving 0.207** 0.499*** 0.211** 0.261** 0.164* 0.266*** 0.345*** 0.244*** -0.242* Work alone or in a group 0.244*** 0.411*** -0.279*** -0.186** Use of spreadsheet and/or word processor 0.447*** 0.239** 0.297*** -0.183* Use Internet in completing homework 0.238* -0.200** -0.212** Require use spreadsheet and/or word processor 0.372*** Require you to use Internet -0.170* Instructor uses technology during the class 0.446*** Instructor uses technology outside the class for this 0.345*** Notes: *** Coefficient is significant 1 percent level, ** Coefficient is significant 5 percent level. Table 6. Pearson correlation coefficients between selected variables for F260 class N = 63 U n d e rs ta n d t h e t e xt m a te ri a l n o t d is cu ss e d in t h e c la ss U n d e rs ta n d t h e m a te ri a l cl e a rl y P re p a re f o r th e n e xt c la ss L e a rn in g e xp e ri e n ce e n jo ya b le T h in ki n g o r p ro b le m s o lv in g U se s p re a d sh e e t a n d /o r w o rd p ro ce ss o r R e q u ir e y o u t o u se s p re a d - sh e e t a n d /o r w o rd p ro ce ss o r fo r th is R e q u ir e y o u t o u se I n te rn e t fo r th is c o u rs e In st ru ct o r u se s te ch n o lo g y d u ri n g t h e c la ss In st ru ct o r u se s te ch n o lo g y o u ts id e t h e c la ss f o r th is R e g u la rl y p o st c la ss r e la te d in fo rm a tio n Understand the text material discussed in the class 0.375*** 0.252** 0.318** Help to understand the material clearly 0.425*** 0.263** -0.294** -0.26** -0.213* -0.290** Help you to prepare for the next class 0.336*** Help you in thinking or problem solving 0.452*** 0.214* Work alone or in a group -0.221* -0.249** -0.370*** Did not hand in your home work 0.235* 0.244* Use of Internet -0.372*** Instructor uses technology during the class 0.6357*** 0.439*** Instructor uses technology outside the class for this 0.303** Notes: *** Coefficient is significant 1 percent level, ** Coefficient is significant 5 percent level. Table 7. Pearson correlation coefficients between selected variables for F301 class, N = 49 U n d e rs ta n d t h e m a te ri a l cl e a rl y H e lp y o u t o p re p a re f o r th e n e xt c la ss H e lp y o u in t h in ki n g o r p ro b le m s o lv in g W o rk a lo n e o r in a g ro u p D id n o t h a n d in y o u r h o m e w o rk U se I n te rn e t in c o m p le tin g h o m e w o rk R e q u ir e y o u t o u se I n te rn e t In st ru ct o r u se o f te ch n o lo g y d u ri n g t h e c la ss In st ru ct o r u se s te ch n o lo g y o u ts id e t h e c la ss R e g u la rl y p o st c la ss r e la te d in fo rm a tio n Understand the text material discussed in the class 0.641*** 0.441*** 0.255* 0.312** Understand the text material not discussed in the class 0.360** 0.618*** -0.552*** 0.278* -0.304** Help to understand the material clearly 0.458*** 0.438*** 0.273* -0.401*** -0.247* Help you to prepare for the next class 0.240* -0.344** -0.445*** -0.256* Insurance Markets and Companies: Analyses and Actuarial Computations, Volume 1, Issue 3, 2010 84 Table 7 (cont.). Pearson correlation coefficients between selected variables for F301 class, N = 49 U n d e rs ta n d t h e m a te ri a l cl e a rl y H e lp y o u t o p re p a re f o r th e n e xt c la ss H e lp y o u in t h in ki n g o r p ro b le m s o lv in g W o rk a lo n e o r in a g ro u p D id n o t h a n d in y o u r h o m e w o rk U se I n te rn e t in c o m p le tin g h o m e w o rk R e q u ir e y o u t o u se I n te rn e t In st ru ct o r u se o f te ch n o lo g y d u ri n g t h e c la ss In st ru ct o r u se s te ch n o lo g y o u ts id e t h e c la ss R e g u la rl y p o st c la ss r e la te d in fo rm a tio n Does homework make your learning experience enjoyable -0.298** Help you in thinking or problem solving 0.356** 0.469*** 0.278* -0.349** Instructor require you to use spreadsheet and/or word processor for this 0.558*** Instructor uses technology during the class 0.283** Instructor uses technology outside the class 0.393*** Table 8. Analysis of variance between F260 and F301 classes Sum of squares df Mean square F Sig. Between groups .014 1 .014 .015 .902 Within groups 103.093 110 .937 If a choice is given, how often would you prefer the homework assignments? Total 103.107 111 Between groups .545 1 .545 3.041 .084 Within groups 19.705 110 .179 Does homework help to understand the text material discussed in the class? Total 20.250 111 Between groups .007 1 .007 .018 .895 Within groups 43.270 110 .393 Does homework help to understand the text material not discussed in the class? Total 43.277 111 Between groups .274 1 .274 .499 .481 Within groups 60.440 110 .549 Does homework help to understand the material clearly? Total 60.714 111 Between groups 1.024 1 1.024 2.566 .112 Within groups 43.896 110 .399 Does homework help you to prepare for the next class? Total 44.920 111 Between groups .009 1 .009 .020 .887 Within groups 49.420 110 .449 Does homework make your learning experience enjoyable? Total 49.429 111 Between groups .007 1 .007 .040 .841 Within groups 18.984 110 .173 Does homework help you in thinking or problem solving? Total 18.991 111 Between groups .300 1 .300 1.330 .251 Within groups 24.807 110 .226 Do you do your homework yourself (alone or in a group)? Total 25.107 111 Between groups 1.940 1 1.940 1.781 .185 Within groups 119.837 110 1.089 How many times you did not hand in your home work? Total 121.777 111 Between groups .000 1 .000 . . Within groups .000 110 .000 Are you familiar with use of computers? Total .000 111 Between groups .238 1 .238 .538 .465 Within groups 48.753 110 .443 Do you use spreadsheet and/or word processor in completing homework? Total 48.991 111 Between groups .128 1 .128 .466 .496 Within groups 30.122 110 .274 Do you use Internet in completing homework? Total 30.250 111 Between groups 2.395 1 2.395 7.590 .007 Within groups 34.712 110 .316 Does your instructor require you to use spreadsheet and/or word processor for this? Total 37.107 111 Insurance Markets and Companies: Analyses and Actuarial Computations, Volume 1, Issue 3, 2010 85 Table 8 (cont.). Analysis of variance between F260 and F301 classes Sum of squares df Mean square F Sig. Between groups .009 1 .009 .028 .868 Within groups 35.705 110 .325 Does your instructor require you to use Internet for this course? Total 35.714 111 Between groups 6.014 1 6.014 9.158 .003 Within groups 72.236 110 .657 Does your instructor himself/herself use technology during the class? Total 78.250 111 Between groups .862 1 .862 .946 .333 Within groups 100.245 110 .911 Does your instructor himself/herself use technology outside the class for this? Total 101.107 111 Between groups 23.017 1 23.017 30.860 .000 Within groups 82.045 110 .746 Does your instructor regularly post class related information (like but not limited)? Total 105.063 111 Notes: *** Coefficient is significant 1 percent level, ** Coefficient is significant 5 percent level. Appendix B Proposed instrument is for the survey of the importance of homework assignments and use of technology by the per- sonal finance students. Please do not write your name on it. Questions 1 through 9 relate to student’s information (Please check only one answer) 1. Have you received your high school diploma? a. Yes b. No 2. If answer to question 1 is yes, how many years back did you receive the diploma? a. Less than 1 b. 1 to 2 c. 2 to 3 d. 3 to 4 e. More than 4 3. What is your gender? a. Male b. Female 4. What grade are you expecting in this class? a. A b. B c. C d. D e. F 5. Are you working towards your Associate/Bachelor degree? a. Yes b. No If answer to question 5 is no then go to question 10, otherwise answer questions 6 through 9 6. What is your current GPA? a. Less than 2.0 b. 2.0 to 2.49 c. 2.5 to 2.99 d. 3.0 to 3.49 e. 3.5 to 4.0 7. Are you a full time student, meaning you are enrolled in at least 12 credit hours? a. Yes b. No 8. What is your major? a. Business b. Non-Business 9. What is your student status? a. Freshman b. Sophomore c. Junior d. Senior Questions 10 through 18 relate to homework assignments (Please check only one answer) 10. If a choice is given, how often would you prefer the homework assignments outside the class room? a. Never b. Once every scheduled class c. Once every two scheduled classes d. Once every three scheduled classes e. Other 11. Does homework help to understand the text material discussed in the class? a. Yes b. No c. Other 12. Does homework help to understand the text material not discussed in the class? a. Yes b. No c. Other Insurance Markets and Companies: Analyses and Actuarial Computations, Volume 1, Issue 3, 2010 86 13. Does homework help to understand the material clearly? a. Yes b. No c. Other 14. Does homework help you to prepare for the next class? a. Yes b. No c. Other 15. Does homework make your learning experience enjoyable? a. Yes b. No c. Other 16. Does homework help you in thinking or problem solving? a. Yes b. No c. Other 17. Do you do your homework yourself (alone or in a group)? a. Yes b. No c. Other 18. How many times you did not hand in your home work? a. 0 b. 1 c. 2 d. 3 e. 4 f. Other Questions 19 through 26 relate to technology use to assist you in this course (Please check only one answer). Use of technology may imply (but is not restricted to) using spreadsheet, word processor, power point and Internet. 19. Are you familiar with use of computers? a. Yes b. No c. Other 20. Do you use spreadsheet and/or word processor in completing homework? a. Never b. Sometimes c. Always 21. Do you use Internet in completing homework? a. Never b. Sometimes c. Always 22. Does your instructor require you to use spreadsheet and/or word processor for this course? a. Yes b. No c. Other 23. Does your instructor require you to use Internet for this course? a. Yes b. No c. Other 24. Does your instructor himself/herself use technology during the class? a. Never b. Sometimes c. Very Often d. Always 25. Does your instructor himself/herself use technology outside the class for this course? a. Never b. Sometimes c. Very Often d. Always 26. Does your instructor regularly post class related information (like but not limited to) class notes, announcements, assignments and grades on Internet or on Oncourse? a. Never b. Sometimes c. Very Often d. Always 27. Approximately how many minutes did you take to complete this questionnaire? a. 1-5 b. 5-10 c. 10-15 d. More than 15 Thank you for completing this questionnaire! “Homework assignments and use of technology comparison of F301 and F260 classes at Indiana University South Bend” 
work_3m2japc5qrc5zaaleurb5hjjea	----	4467 Insects that overwinter in regions where they are exposed to subzero temperatures must adapt by either becoming freeze tolerant (able to survive freezing of their body fluids) or freeze avoiding (Zachariassen, 1985; Bale, 1987; Storey and Storey, 1988; Block, 1990; Danks, 1991; Duman et al., 1991; Lee and Denlinger, 1991). Suites of adaptations involving high concentrations of polyols (such as glycerol) functioning as antifreezes or cryoprotectants, antifreeze proteins (AFPs; Duman, 2001), ice nucleators (Duman, 2001) and/or dehydration (Rickards et al., 1987; Lundheim and Zachariassen, 1993; Worland, 1996; Holmstrup and Sömme, 1998; Worland et al., 1998; Danks, 2000; Block, 2003; Worland and Block, 2003) can be important contributors to surviving subzero environments. These adaptations might be expected to be exaggerated in insects from arctic and subarctic regions, where temperatures can reach –60°C or lower (Danks, 1981; Miller, 1982; Ring, 1982; Sömme and Block, 1991; Barnes et al., 1996). The beetle Cucujus clavipes (Cucujidae) has a broad latitudinal range, from North Carolina (~35°N) to northern interior Alaska above the Arctic circle (~67°30� N). Consequently, this species presents the opportunity to study overwintering physiology over a large latitudinal expanse, including one of the coldest environments in North America. Previous studies of overwintering adaptations of an Indiana population of C. clavipes demonstrated the activity of AFPs The Journal of Experimental Biology 208, 4467-4477 Published by The Company of Biologists 2005 doi:10.1242/jeb.01892 The beetle Cucujus clavipes is found in North America over a broad latitudinal range from North Carolina (latitude ~35°N) to near tree line in the Brooks Range in Alaska (latitude, ~67°30�� N). The cold adaptations of populations from northern Indiana (~41°45�� N) and Alaska were compared and, as expected, the supercooling points (the temperatures at which they froze) of these freeze-avoiding insects were significantly lower in Alaska insects. Both populations produce glycerol, but the concentrations in Alaska larvae were much higher than in Indiana insects (~2.2 and 0.5·mol·l–1, respectively). In addition, both populations produce antifreeze proteins. Interestingly, in the autumn both populations have the same approximate level of hemolymph thermal hysteresis, indicative of antifreeze protein activity, suggesting that they synthesize similar amounts of antifreeze protein. A major difference is that the Alaska larvae undergo extreme dehydration in winter wherein water content decreases from 63–65% body water (1.70–1.85·g·H2O·g –1 dry mass) in summer to 28–40% body water (0.40–0.68·g·H2O·g –1 dry mass) in winter. These 2.5–4.6- fold reductions in body water greatly increase the concentrations of antifreeze in the Alaska insects. Glycerol concentrations would increase to 7–10·mol·l–1 while thermal hysteresis increased to nearly 13°C (the highest ever measured in any organism) in concentrated hemolymph. By contrast, Indiana larvae do not desiccate in winter. The Alaska population also undergoes a diapause while insects from Indiana do not. The result of these, and likely additional, adaptations is that while the mean winter supercooling points of Indiana larvae were approximately –23°C, those of Alaska larvae were –35 to –42°C, and at certain times Alaska C. clavipes did not freeze when cooled to –80°C. Key words: beetle, insect, cold tolerance, antifreeze protein, subzero adaptation, vitrification, Cucujus clavipes. Summary Introduction Comparative overwintering physiology of Alaska and Indiana populations of the beetle Cucujus clavipes (Fabricius): roles of antifreeze proteins, polyols, dehydration and diapause Valerie A. Bennett1,*, Todd Sformo2, Kent Walters1, Oivind Toien2, Kennan Jeannet2, Ronald Hochstrasser1,3, Qingfeng Pan4, Anthony S. Serianni4, Brian M. Barnes2 and John G. Duman1,† 1Department of Biological Sciences, University of Notre Dame, Notre Dame, IN 46556, USA, 2Institute of Arctic Biology, University of Alaska, Fairbanks, AK 49775, USA, 3Sycamore Community High School, 7400 Cornell Road, Cincinnati, OH 45242, USA and 4Department of Chemistry and Biochemistry, University of Notre Dame, Notre Dame, IN, 46556, USA *Present address: Department of Biology, Clarion University, Clarion, PA 16214, USA †Author for correspondence (e-mail: duman.1@nd.edu) Accepted 20 September 2005 THE JOURNAL OF EXPERIMENTAL BIOLOGY 4468 and mean lower lethal temperatures in winter ranging from –18 to –25°C (Duman, 1979, 1984). Interestingly, C. clavipes were freeze tolerant during the winter of 1979, but by 1983 they had altered their overwintering mechanism to freeze avoidance (Duman, 1984). In contrast to the Indiana population, Miller (1982) reported lower lethal temperatures of C. clavipes from interior Alaska of –55°C or colder. The supercooling points of the Alaskan insects were not reported, and whether they were freeze tolerant or freeze avoiding was not known. Miller did not screen the Alaskan insects for the presence of AFPs. The goal of our present study was to compare the overwintering adaptations of populations of C. clavipes from the northern limit of their range in arctic and subarctic Alaska with those near the southern end of their range in northern Indiana. Special attention was given to the role of antifreeze proteins because AFPs had not previously been studied in Alaskan insects, even though they are now known to be common in Alaskan terrestrial arthropods (Duman et al., 2004). Materials and methods Study sites Three primary collecting sites in the USA were used in these studies: near (1) South Bend, Indiana (northern Indiana and southwestern Michigan), (2) Fairbanks, Alaska and (3) Wiseman, Alaska. C. clavipes larvae collected from each site are referred to as ‘Indiana’, ‘Fairbanks’ and ‘Wiseman’, respectively. Minimum winter temperatures in the South Bend area (~41°45� N; 86°15� W) are typically –20 to –30°C, although recent winters have been relatively mild. Since Fairbanks (~64°72� N; 147°47� W) is located in the interior of Alaska and has a continental climate, it provides a site with very low temperatures. Minimum winter temperatures often reach –50°C. Wiseman, Alaska (67°30� N, 150°11� W) is approximately 100·km north of the Arctic circle. Latitudinal tree line is approximately 50·km north of Wiseman, so this provides a site near the northern limit of C. clavipes. (In fact, despite considerable collecting time, we have not found C. clavipes beyond ~5·km north of Wiseman.) Altitudinal tree line is only ~150·m on the ridges around Wiseman. The climate here is slightly more extreme than Fairbanks. Both Alaska sites are in boreal forest while the Indiana site is in eastern deciduous forest. Cucujus clavipes (Coleoptera: Cucujidae) larvae were collected from each of these populations at various times in the year between 2001 and 2004 and studied for seasonal changes in supercooling point (SCP), hemolymph thermal hysteresis activity (THA), polyols, water content and respiration rate. Air and microhabitat temperatures were monitored using Hobo Pro Series data loggers along with BoxCar Par 4 software (Onset Computer Corporation, Bourne, MA, USA). Outdoor enclosures and indoor acclimations Although field collections of larvae were made during all seasons, to ensure sufficient material for mid-winter experiments, Cucujus larvae were collected around Fairbanks in September and placed in plastic food storage containers (20�15�10·cm; N=20–50 per box) with moist bark from their native trees. To simulate field conditions, some boxes were placed in an outside enclosure in a wooded area on the University of Alaska, Fairbanks (UAF) campus either on small logs at ground level or ~0.5·m above ground to reduce the insulating effect of snow cover and expose them to colder winter air temperatures. Larvae collected in September from Fairbanks were also placed in box enclosures outdoor in Indiana, and September-collected Indiana larvae were placed outdoors in box enclosures in South Bend and Fairbanks. Larvae collected near Wiseman were also placed into containers in the field. Temperature data loggers (see below) were used to monitor enclosures and air temperatures at these sites. Boxes were retrieved in either mid-winter (January) or late winter/spring (March or April). Cucujus survival, SCPs, thermal hysteresis activity, water content and respiration rates were determined as described below. Additional boxes of insects collected in September were cold-acclimated in a Tenney Series 942 environmental chamber at the University of Notre Dame according to the following protocol. On days 1–3 the insects were held at 0°C, days 4–6 at –1°C, days 7–9 at –2°C, days 10–14 at –3°C, days 15–21 at –4°C and days 22–30 at –4.5°C. Supercooling points To determine SCPs, thermocouples were fixed to the dorsal surface of individual larvae using a small amount of beeswax, and larvae were suspended in 1.5·ml plastic tubes that were placed inside a larger glass container that was submerged in a cooling bath. Once equilibrated to 0°C, the container temperature was reduced at a rate of 0.2·deg.·min–1. The lowest larval temperature recorded before the release of the latent heat of fusion of body water, as evidenced by an exotherm, was recorded as the SCP (Lee and Denlinger, 1991). To determine their susceptibility to inoculative freezing during different seasons, SCPs were also determined on larvae in contact with ice. In these cases, larvae were equilibrated at –2 to –5°C to ensure that surrounding water was frozen before further cooling. Thermal hysteresis activity THA is an indication of the presence and activity of antifreeze proteins (AFPs) and was determined according to the method of DeVries (1986). Hemolymph samples (~2–6·�l) were drawn from punctured individual larvae when possible or pooled from larvae as necessary and sealed in glass capillary tubes. The sample was partially frozen by freezing the outside of the capillary tube with a spray freeze (Fisher Brand Super Friendly Spray Freeze; Fisher Scientific, Pittsburgh, PA, USA) and the temperature slowly raised to melt the ice until the ice crystal was just visible or disappeared under the microscope (= melting point). Beginning again with a seed crystal ~0.25·mm in diameter, the temperature was lowered very slowly until it was observed to grow (= freezing point). In the absence of AFPs, if the temperature is lowered 0.01–0.02°C below the V. A. Bennett and others THE JOURNAL OF EXPERIMENTAL BIOLOGY 4469Overwintering physiology of C. clavipes melting point the crystal will immediately grow (i.e. melting point = freezing point). However, if AFPs are present, the crystal will not grow until the temperature has been lowered to the hysteretic freezing point, whereupon the crystal grows rapidly (i.e. melting point and freezing point are not equal). The difference between melting point and freezing point is taken as the THA. Water content Total body water content was determined according to Rojas et al. (1986). Individual larval fresh mass was determined to the nearest 0.1·mg. Larvae were then dried at 60°C to constant dry mass (~48·h). Body water content was calculated as the percentage of initial fresh mass lost during drying. The absolute body water content of larvae was also calculated (g·water·g–1·dry mass; Hadley, 1994). Polyol determinations 13C NMR was used to determine the presence of polyols and other potentially important solutes in the hemolymph of cold acclimated C. clavipes larvae. The 13C{1H} NMR spectrum was obtained on a Varian Unity Plus 600-MHz NMR spectrometer equipped with dual 1H/13C 3-mm microprobes (Nalorac, Martinez, CA, USA), operating at 150.86·MHz for 13C. The hemolymph sample (250·�l) was diluted with 30·�l of 2H2O and transferred to the NMR tube prior to data collection. Data acquisition conditions were as follows: 31·000 transients; 2.5·s recycle time; 303·K; 1-230·p.p.m. spectral window. The resulting free induction decay (FID) was zero- filled (yielding a final digital resolution of 0.14·Hz·per point), and a 1-Hz line-broadening function was applied prior to Fourier transformation. Chemical shifts were referenced to the most intense C1/C3 signal of glycerol (64.2·p.p.m.) observed in the spectrum (Kukal et al., 1988). Glycerol concentrations in the hemolymph were determined using a colorimetric assay (Boehringer Mannheim/R- Biopharm, Marshall, MI, USA) (Kreutz, 1962). Respirometry Insect resting rates of CO2 production were measured using a flow-through respirometry system (Sable Systems International, Las Vegas, NV, USA) with a LiCor model LI- 6252 CO2 analyzer (Lincoln, NB, USA). The incoming air stream (baseline) was scrubbed of water vapor and CO2 using Molecular SieveTM and AscariteTM and magnesium perchlorate, respectively. Air flow rate was 25·ml·min–1. Carbon dioxide production by individual larvae was recorded for 20·min with 10·min of baseline recording between larvae. Summer larvae were removed from food for 24·h before recordings to clear the digestive tract. This was not necessary for winter larvae since they had ceased feeding. Each larva was recorded at ambient temperatures of 0, 10 and 20°C and allowed to equilibrate in each condition for one hour before recording. To prevent desiccation between recordings, insects were flushed with air humidified to 83% relative humidity by bubbling the air through a 20% KOH solution at a rate of 25·ml·min–1 (Solomon, 1951). Insects were weighed to the nearest 0.1·mg both before and after respirometry and typically showed less than 10% change in fresh mass. Those that lost more than 10% mass or that defecated while in recording chambers were excluded from analysis. Recordings were analyzed using DataCan (Sable Systems International) or LabGraph (developed by Oivind Toien, University of Alaska, Fairbanks). For each larva, mean CO2 production (�l·h –1·g–1 dry mass), corrected for standard temperature and pressure, assuming a respiratory quotient of 0.85, was calculated from the most stable 2–5·min of the 20·min recording to exclude fluctuations due to animal movement. (Note that even the use of respiratory quotient values very different from 0.85 would not affect the results of this study.) Results Microhabitat characteristics In winter, as well as summer, C. clavipes larvae inhabit the layer under slightly loose bark of recently dead trees, both standing and fallen. In Alaska they are found almost exclusively in poplar (Populus spp). In northern Indiana and southern Michigan, where poplar is less abundant, C. clavipes are also present in other species (ash, maple and oak). While larvae may be dispersed through a large part of the tree in summer, in standing trees in winter in Alaska they tend to move to within ~30·cm of the base of the tree, perhaps because here they are generally insulated by snow for most of the winter. This is not the case for larvae in Indiana and Michigan, where winter larvae are commonly found above 30·cm from the base of standing dead trees. Larvae in fallen logs do not move away from exposed portions of the log to better insulated regions closer to the ground. As a consequence, temperatures experienced by C. clavipes in any given area can vary considerably over the course of a winter, depending on their microhabitat. Air and microhabitat temperatures were monitored over the course of three years in the three primary collecting sites: near South Bend (Indiana) and Fairbanks and Wiseman (Alaska). Fig.·1 illustrates the diversity of temperatures among these climates and permits the physiological adaptations to be placed into context. Fig.·1A demonstrates that larvae in a fallen log (near Fairbanks) that was suspended off the ground, and therefore had little insulation, experienced low temperatures similar to air, a minimum of –37°C during winter 2001–2002. Fig.·1B shows winter air and microhabitat temperatures at Wiseman, Alaska, near the northern limit of the range of C. clavipes. Air temperatures here are somewhat lower than at Fairbanks, and the winter is longer. However, snow depths are generally greater and in these circumstances provide additional, prolonged insulation for those larvae under the snow. Consequently, larvae in this well-insulated site experienced a minimum temperature of only –13°C in October prior to heavy snow cover. Microhabitat temperatures in other sites varied according to the amount of insulation provided by snow (data not shown). Fig.·1C illustrates the shorter and less THE JOURNAL OF EXPERIMENTAL BIOLOGY 4470 severe winters experienced by C. clavipes near South Bend, Indiana. During the winter of 2002–2003, the minimum temperature experienced by larvae in this ‘above ground’ log was –13°C, the same minimum temperature in the insulated site at Wiseman (Fig.·1B). (It should be mentioned that recent winters at all three sites were warmer than average.) These three examples illustrate the variation in microhabitat temperatures at the collecting sites. Although air temperatures are lower in Alaska, the temperatures experienced by C. clavipes depend on their microhabitat temperatures, and these can vary drastically within a given region. Obviously, the duration of the winter is much longer in Alaska. Populations of C. clavipes must be adapted to survive a range of minimum temperatures, depending on the air temperatures occurring during a given winter and the extent of insulation provided by a given microhabitat. This ability is illustrated by an experiment where larvae collected from habitats near Fairbanks in October 2002 were placed into two enclosures, one placed at ground level and the other above the eventual snowline. Temperatures experienced by the two groups are shown in Fig.·2. In early January, larvae in the ground level box insulated by snow experienced a minimum temperature of –15°C while the group above the snow had a minimum temperature of –35°C. In spite of these large differences, both groups had >90% survivorship when the boxes were retrieved in mid-January (95.7% in the ground box and 93.4% in the high, uninsulated box). Supercooling points and mortality Winter C. clavipes larvae from all sites died when frozen, even for a brief period, at their supercooling points. In contrast, larvae cooled and held at just above the SCP exhibited no mortality. Consequently, the SCP appears to be the lower lethal temperature for the larvae in winter. Representative SCPs of field-collected Alaska larvae during various seasons are shown in Fig.·3. Summer larvae, such as those collected near Fairbanks on 17 August 2002, had high SCPs (mean, –7.2°C); however, by early October the mean SCP had decreased to –25.3°C. SCP values continued to decrease through the autumn. Note especially the detailed data from autumn 2003. By early January 2003, the mean SCP in these larvae reached –42.2°C, with individual SCPs as low as –58°C. SCPs of larvae collected from either well or poorly insulated positions were similar, as illustrated by values from the two groups held in enclosures (mean, –34.9°C in the ground box and –36.9°C in the high box). In mid-March 2003, SCPs in Fairbanks larvae from the field were still quite low (mean, –35.1°C), and larvae from the ground and the uninsulated high box enclosures still V. A. Bennett and others Fig.·1. Representative microhabitat (red) and air (black) temperatures experienced by C. clavipes in Alaska and Indiana over the three years of the study. Examples were chosen to illustrate the extremes of insulated and uninsulated microhabitats. Note how microhabitat temperatures in poorly insulated sites (in logs above snow levels) closely track air temperatures, while those in well-insulated sites (in logs below snow level) generally remain warmer than air temperatures after snow arrives in winter. (A) Temperatures in a poorly insulated log (off the ground) near Fairbanks, Alaska. (B) Temperatures at a well-insulated site near Wiseman, Alaska. (C) Temperatures in a poorly insulated log near South Bend, Indiana. 1 Nov 02 1 Jan 03 1 Mar 03 1 May 03 1 July 03 –20 –10 0 10 20 30 40 50 T em pe ra tu re ( °C ) Date C Nov 03 Jan 04 Mar 04 May 04 July 04 Sept 04Sept 03 –20 –10 0 10 20 30 –40 –50 –30 B 1 Nov 01 1 Jan 02 1 Mar 02 1 May 021 Sept 01 –20 –10 0 10 20 30 –40 –30 A Fig.·2. Temperatures experienced by C. clavipes larvae in two box enclosures near Fairbanks, one near the ground and therefore well insulated by snow (red line) and the other above snow level (black line). 1 Nov 02 1 Jan 031 Oct 02 1 Dec 02 T em pe ra tu re ( °C ) Date –20 –10 0 10 20 30 –40 –30 THE JOURNAL OF EXPERIMENTAL BIOLOGY 4471Overwintering physiology of C. clavipes did not differ from one another (means, –31.2°C and –34.8°C, respectively). Of a group of March 2003 larvae collected from Wiseman and placed there in a box enclosure the previous September, only 1 of 16 showed an exotherm indicative of an SCP (at –48.9°C), while the other 15 failed to freeze when cooled to –64°C (the lowest temperature our equipment at that time was capable of reaching; Fig.·3). These larvae were then held at –64°C for ~10·h. After then being held at 4°C for several days, seven of 15 were alive, indicating that these had SCPs below –64°C. In early January 2004, none of the 32 Wiseman larvae tested exhibited exotherms when cooled to –80°C, the lowest temperature our equipment at that time was capable of recording (Fig.·3). By contrast, Fairbanks larvae in early January had a mean SCP of –26.5°C, considerably higher than in January of the previous year or in the Wiseman larvae of January 2004. However, by 25 January 2004, the Fairbanks larvae did not freeze when cooled to –60°C (32 of 32). Fairbanks larvae collected on 10 March 2004 had a mean SCP of –37.2°C, not including five individuals (of 16) that did not exhibit exotherms down to –80°C. The absence of freezing at such a low temperature as –80°C hints that the water in these larvae may have been vitrified rather than liquid. Some individual larvae on most of the winter dates in Fig.·3 have SCPs that are suspiciously higher than might be expected (i.e. 9 January 2004), sometimes even higher than the ambient temperatures experienced by the larvae. At least some of these SCPs are probably real and therefore illustrate considerable variation in the population. However, they may also represent an artifact resulting from the difficulty encountered in the process of removing larvae from under the bark for collection. Considerable amounts of ice are present in this habitat, especially in the sites at the base of standing trees, and it is common for larvae to be partially, or completely, encased by ice. Consequently, the cuticle may be damaged when the larvae are collected, thereby affecting the SCP. Larvae with missing legs or antennae were not used, but more subtle damage, such as broken bristles or abrasions to the cuticle, may have been overlooked. As a consequence, the mean winter SCPs may well be lower than shown. SCPs presented in Fig.·3 were gathered using ‘dry’ larvae, i.e. those not in contact with ice. However, condensation can occur as air in the container holding the insects is cooled during the SCP measurement. This water can freeze on the surface of the insects. To more closely approximate microhabitat conditions in which larvae are often in contact with ice, SCPs were recorded with Alaskan larvae (Fairbanks and Wiseman) 1 O ct 17 A ug 5 Ja n 15 J an 18 J an 19 M ar 20 M ar 24 M ar 25 M ar * 28 J un e 9 O ct 30 O ct 6 N ov 10 N ov 17 N ov 25 N ov 8 D ec 11 D ec 7 Ja n* 9 Ja n 25 J an 10 M ar 20 M ar S C P ( °C ) 2003 2004 –85 –75 –65 –55 –45 –35 –25 –15 –5 2002 15 16 16 2 5 Fig.·3. Supercooling points (SCPs) of Alaska C. clavipes larvae from summer 2002 to spring 2004. Most are from the vicinity of Fairbanks, except those collection times identified by an asterisk, which are from near Wiseman. Black diamonds represent individual SCPs; however, there are numerous overlapping values. Green squares identify mean SCPs for a given date. Red squares identify larvae that were cooled to –60°C or –80°C without expression of a freezing exotherm. Numbers below the red squares indicate the number of individuals that did not freeze in that particular run. The red circles show the mean SCP when those individuals that did not freeze at –80°C were included in the mean calculation, using –80°C as the SCP of these individuals (9 January and 10 March 2004). Fig.·4. Comparisons of supercooling points (SCPs) of Alaska C. clavipes larvae cooled in contact with ice (red) with those of larvae not in contact with ice (black). Green squares indicate means. Red or black squares indicate larvae that did not freeze at –80°C or –60°C. Green circles indicate means calculated with the inclusion of individuals that did not freeze at –80°C (using –80°C as their SCP). 1 O ct 5 Ja n 10 M ar 7 Ja n* 9 Ja n 25 J an 9 M ar 20 M ar 2003 2004 –85 –75 –65 –55 –45 –35 –25 –15 –5 2002 16 16 16 16 2 4 2 35 S C P ( °C ) THE JOURNAL OF EXPERIMENTAL BIOLOGY 4472 both in contact with ice and dry (Fig.·4). SCPs of the two groups were not significantly different. Larvae either in contact with ice or dry were included among those cooled to –60 or –80°C without showing exotherms. SCPs of C. clavipes larvae from Indiana measured in winter were much higher than those of Alaska larvae (Fig.·5). A few individual Indiana larvae had SCPs in February as low as –32°C, but mean values were considerably higher. SCPs of larvae in contact with ice did not differ from those of dry larvae (data not shown). In September of both 2002 and 2003, larvae collected in Indiana were taken to Fairbanks and placed in outdoor box enclosures on the ground, and Fairbanks larvae were placed in enclosures in Indiana. The following spring, mortality of Indiana larvae in Alaska was 100% in both years, while mortality of Fairbanks larvae in Indiana was under 10% in both years. Indiana larvae in box enclosures in Indiana had mortalities of <10%, while mortality of Fairbanks larvae in box enclosures in Fairbanks was 14.3% in 2003. In February 2003, SCPs (mean, –24.0°C) of C. clavipes larvae collected near Fairbanks in September 2002 and placed in box enclosures in Indiana were comparable to those of Indiana larvae placed in enclosures in Indiana but were significantly higher than those of Alaska larvae from January 2003 (compare with Fig.·3). Water content and dehydration When winter C. clavipes were first collected in Alaska (in January 2002), most of the larvae appeared dead, perhaps resulting from the near absence of insulating snow and a period of temperatures near –40°C in the previous month. The larvae were so desiccated that hemolymph samples could not be obtained. When warmed on moist paper towels to 4°C, or higher, most did not become mobile, even after several days. However, in March, mortality of larvae in the field was just 17.4%. Obviously, most of the larvae were not dead in January. Two factors may be responsible for the immobility of the larvae in midwinter. These are metabolic diapause (see below) and dehydration. Mean water content of Alaskan C. clavipes larvae in summer was 64.5%, or 1.84·g water g–1 dry mass on 28 June 2003 (Fig.·6). However, in January 2004, the mean water content decreased to 27.6–40.3% (0.40–0.68·g·water·g–1 dry mass). By contrast, Indiana larvae during winter in Indiana maintained the same approximate water content as in summer. Also, Alaska larvae held in a box enclosure in Indiana had mean water contents of 61.6 and 64.6% (1.72 and 1.87·g·water·g–1 dry mass) in February 2003 and January 2004, respectively. The severe dehydration in Alaskan larvae in winter might contribute to the low midwinter SCPs by concentrating solutes (especially glycerol and antifreeze proteins) and by making V. A. Bennett and others 1 F eb 6 F eb 28 M ar 3 Ju ne 20 J un e 19 O ct 10 D ec 8 N ov 10 F eb 26 M ar 1 Ju ly S C P ( °C ) 2002 20042003 –35 –30 –25 –20 –15 –10 –5 0 2001 Fig.·5. Representative supercooling points (SCPs) of C. clavipes larvae from the vicinity of South Bend, Indiana collected between Autumn 2001 and Summer 2004. Black diamonds indicate individual SCPs; however, there are numerous overlapping values. Green squares identify mean SCPs for a given date. 0 10 20 30 40 50 60 70 29 S ep t 02 30 S ep t 02 04 O ct 0 2 04 J an 0 3 05 J an 0 3 06 J an 0 3 07 J an 0 3 08 J an 0 3 12 J an 0 3 19 M ar 0 3 20 M ar 0 3 21 M ar 0 3 28 J un e 03 09 O ct 0 3 22 O ct 0 3 30 O ct 0 3 06 N ov 0 3 10 N ov 0 3 17 N ov 0 3 25 N ov 0 3 01 D ec 0 3 08 D ec 0 3 11 D ec 0 3 15 D ec 0 3 25 J an 0 4 09 M ar 0 4 0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2 P er ce nt ag e bo dy w at er A bs ol ut e bo dy w at er (m g w at er m g– 1 dr y m as s) Fig.·6. Water content of C. clavipes larvae collected near Fairbanks between 29 September 2002 and 9 March 2004. Horizontal axis identifies collection dates. Vertical axes show percent body water (blue line) and absolute body water (red line). THE JOURNAL OF EXPERIMENTAL BIOLOGY 4473Overwintering physiology of C. clavipes less water available for freezing. To determine whether a relationship exists between absolute body water content and supercooling point, SCPs and absolute body water contents of several hundred individuals were measured between September 2002 and November 2004. Fig.·7 presents the results of the Spearman Rank Correlation between absolute body water and SCP of larvae over this period. Absolute body water and SCP were not normally distributed. There was a moderate, but highly significant, association between absolute body water and SCP (r=0.6079, P<0.001, N=384). Absolute body water explains approximately 37% of the variation in SCP. Note that winter larvae for which an exotherm could not be measured when cooled to –60 or –80°C were not included in these calculations. Antifreezes: glycerol and antifreeze proteins Antifreezes are expected to be major factors in achieving the very low SCPs seen in winter C. clavipes larvae, especially in Alaska. In fact, the larvae produce both polyols and AFPs. Glycerol is the primary colligative antifreeze in both Alaska and Indiana larvae. A typical winter hemolymph glycerol concentration of Indiana larvae is ~0.5·mol·l–1, while that of Alaska larvae is considerably greater. Fairbanks larvae collected in late September and cold acclimated for 1·month to a final temperature of –4.5°C had a hemolymph glycerol concentration of 2.2·mol·l–1. However, the water content of these acclimated larvae was 63.1% (1.701·g·H2O·g –1 dry mass), similar to that of summer larvae. Recall that we were unable to collect hemolymph from Alaska larvae in January because they were highly desiccated. The water content of Fairbanks larvae in January 2003 was 35.2% (0.532·g·H2O·g –1 dry mass), a ~3.2-fold reduction in water content relative to summer. If the hemolymph of the cold-acclimated larvae with normal summer body water content and hemolymph glycerol concentrations of 2.2·mol·l–1 was concentrated 3.2-fold, the glycerol concentration would be 7.0·mol·l–1. This value probably closely represents the true hemolymph glycerol concentration of midwinter Alaska larvae following dehydration. 13C NMR of hemolymph from cold-acclimated Fairbanks larvae (Fig.·8) demonstrated that glycerol is the only solute present in unusually high concentrations, and consequently glycerol is the only polyol antifreeze produced by C. clavipes larvae. Trehalose is the next most abundant substrate. Proline is also present. As illustrated in Table·1, the level of thermal hysteresis indicative of antifreeze protein activity in winter is generally 3–4°C in both Alaska larvae prior to dehydration and in Indiana larvae. However, Alaska larvae produce antifreeze 0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 –50 –40 –30 –20 –10 0 Supercooling points (°C) A bs ol ut e bo dy w at er (g H 2O g –1 d ry m as s) Fig.·7. Correlation between supercooling points and absolute body water of C. clavipes larvae. There was a moderate, but highly significant, association between absolute body water and SCP (r=0.6079, P<0.001, N=384), based on the Spearman rank correlation. 90 80 70 60 50 40 30 p.p.m. 183 180 177 174 p.p.m. 132 130 128 p.p.m. A a B C a a,b a d a c a d x c c c x c x x b Fig.·8. The 13C{1H} NMR spectrum (150·MHz) of cold-acclimated C. clavipes hemolymph. (A) Expansion of the 22–98·p.p.m. region of the spectrum. Assignments of the major signals are as follows: a, �,�-trehalose; b, glycerol; c, proline; d, betaine. The signal at ~55.5·p.p.m. is a triplet and that at ~68·p.p.m. is a complex multiplet; assignment of these signals to betaine is tentative [other species bearing a –N(CH3)3 + group may be responsible for these signals]. The signal marked with ‘x’ was unassigned. (B) Expanded carboxyl region of the spectrum showing assignment c of the carboxyl carbon of proline; x was unassigned. (C) Expanded aromatic region of the spectrum, showing two broad multiplets due to presently unknown species. Signals in B and C were very weak compared with those observed in A (note the reduced S/N in B and C relative to A). THE JOURNAL OF EXPERIMENTAL BIOLOGY 4474 proteins much earlier in the autumn and lose them much later in the spring than do Indiana larvae. Alaska larvae collected in early September already had THA nearly equal to that of mid- winter Indiana larvae, while Indiana larvae do not begin increasing THA until late September or October. THA in Alaska insects collected in winter cannot be directly assessed since hemolymph samples cannot be obtained from dehydrated midwinter larvae. Using the hemolymph of the cold acclimated (but not dehydrated) larvae mentioned above in relation to glycerol, we determined a reasonable thermal hysteresis activity of January larvae in the field. THA in a hemolymph pool from the cold-acclimated larvae was 3.28°C. After this hemolymph was concentrated 3.2-fold to reflect the dehydration of the January larvae in the field, the measured THA was 12.85°C (Table·1). This value is by far the highest THA ever measured in any organism. It is interesting that this concentrated THA value is more than 3.2-fold greater than the THA prior to concentration. The high AFP activity in combination with the high concentrations of glycerol and other solutes results in a freezing point depression of the concentrated hemolymph of approximately –24°C. Respirometry Based on CO2 production rates (Fig.·9), it appears that Alaska, but not Indiana, Cucujus enter a winter diapause indicated by seasonal depression of metabolic rates. In an analysis of variance using a general linear, full-factorial model, significant between-subjects effects were detected for both population (F1,45=4.86, P<0.05) and season (F3,45=34.01, P<0.0001), indicating that both location and time of year when insects were collected influenced CO2 production rates. There was also a significant interaction between population and season (F2,45=23.23, P<0.0001), indicating that the seasonal effects differ between the Indiana and Alaska populations. Within subjects, a univariate repeated measures ANOVA (Greenhouse-Geisser corrected P-values) showed that temperature had a significant effect on CO2 production rate as expected (F1.3,58.0=208.87, P<0.0001). Significant interaction terms were detected between temperature and season (F3.9,58.0=16.23, P<0.0001) and for the three-way interaction between temperature, season and population (F2.6,58.0=22.71, P<0.0001), indicating that season altered the effect of temperature on CO2 production rate and that this alteration also varied between populations. However, the temperature–population interaction was not significant (F1.3,58.0=1.62, P=0.211), suggesting that temperature had a similar effect on CO2 production rates in both Indiana and Alaska populations of Cucujus. Due to the significance of these interactions, each population was further analyzed separately using univariate repeated measures ANOVA and Tukey post-hoc tests to determine where these differences lie. For the Indiana population of V. A. Bennett and others Table 1. Melting points, freezing points and thermal hysteresis activity (melting point – freezing point) of hemolymph from C. clavipes larvae collected periodically from Alaska and Indiana Melting point Freezing point Thermal hysteresis Date Sample N (°C) (°C) (°C) 3 Sept 2001 Wiseman 6 –0.85±0.11 –3.98±0.83 3.13±0.86 7 Sept 2001 Fairbanks 8 –0.64±0.29 –3.36±0.25 2.72±0.24 Autumn 2001 Fairbanks cold accl. 8 –3.43±1.14 –6.68±1.22 3.25±0.49 30 Apr 2002 Fairbanks 10 –0.66±0.23 –3.92±0.50 3.26±0.54 21 Aug 2002 Fairbanks 10 –0.69±0.19 –0.97±0.25 0.28±0.12 30 Sept 2002 Fairbanks 6 –0.71±0.19 –4.65±0.91 3.95±0.74 Autumn 2002 Fairbanks cold accl. 9 –2.89±0.44 –6.74±0.55 3.85±0.79 Autumn 2002 Fairbanks cold accl. Pool –3.42 –6.70 3.28 Autumn 2002 Above, concentrated 3.2� Pool –10.83 –23.68 12.85 30 June 2002 Fairbanks 6 –0.55±0.06 –0.82±0.10 0.27±0.27 14 Feb 2003 Fairbanks, in Indiana 5 –2.84±0.73 –7.17±0.54 4.32±1.24 24 Oct 2001 Indiana 10 –1.03±0.37 –2.19±0.59 1.16±0.60 Autumn 2001 Indiana cold accl. 12 –1.57±0.57 –4.52±1.26 2.94±1.18 8 Feb 2002 Indiana 15 –2.12±0.08 –5.31±0.29 3.18±0.22 29 Mar 2002 Indiana 10 –0.60±0.10 –3.32±0.49 2.72±0.48 20 June 2002 Indiana 8 –0.54±0.10 –0.71±0.17 0.18±0.16 26 Sept 2002 Indiana 7 –0.60±0.15 –0.76±0.16 0.15±0.04 19 Feb 2003 Indiana 3 –2.18±0.25 –6.16±0.29 3.98±0.21 8 Oct 2003 Indiana 6 –0.57±0.11 –1.17±0.30 0.60±0.21 10 Dec 2003 Indiana 8 –0.90±0.16 –4.76±0.55 3.86±0.54 10 Feb 2004 Indiana 9 –2.80±0.50 –6.40±0.50 3.60±0.65 12 Aug 2004 Indiana 7 –0.51±0.14 –0.67±0.11 0.17±0.09 3 Nov 2004 Indiana 8 –0.73±0.17 –2.69±0.90 2.80±0.79 Values are means ± S.D. THE JOURNAL OF EXPERIMENTAL BIOLOGY 4475Overwintering physiology of C. clavipes Cucujus, temperature significantly affected CO2 production rate within subjects (F1.4,23.0=161.68, P<0.0001), and this effect varied with season when insects were collected (temperature � season interaction; F2.7,23.0=7.34, P<0.01). In between-subjects comparisons, there was no observed seasonal metabolic depression for Indiana Cucujus; i.e. autumn, winter and summer CO2 production rates did not differ significantly from each other (F2,17=0.30, P=0.75). However, for the Alaska population, both temperature and season significantly affected CO2 production rate (temperature, F1.3,35.3=115.62, P<0.0001; season, F3,28=40.88, P<0.0001), and this variation differed with season when insects were collected (temperature � season interaction; F3.8,35.3=26.81, P<0.0001). Summer CO2 production rates were highest, winter rates were lowest, and autumn rates were intermediate, and all significantly differed from each other according to Tukey post-hoc test (P<0.001). CO2 production rates of January- and March-collected Alaska Cucujus did not significantly differ from each other (P=0.89), suggesting that Cucujus were still in a late-winter diapausing state in March. Discussion Larval SCPs seem to reflect the lower lethal temperatures of winter (i.e. September to mid-May) C. clavipes, at least in the short term. One caveat is that the difficulty in reviving field-collected mid-winter Alaska larvae, apparently due to diapause and/or extensive dehydration, makes it difficult, at best, to assess mortality at this time. As expected, the SCPs of Alaska larvae were much lower than those of Indiana larvae. However, it is interesting that the temperatures experienced by Indiana larvae in more exposed sites (i.e., fallen logs above the snow) may not be much different from those of Alaska larvae overwintering in more insulated microhabitats. Of course, Alaska larvae must survive periodic extremely cold temperatures (–50°C or less) that may well coincide with a period of little or no snow that occurs early or late in the winter season. The lowest air temperature ever officially recorded in Alaska was –62°C in 1971 at Prospect Creek Camp, ~45·km south of the Wiseman collecting site. In spite of this, Fairbanks larvae placed in box enclosures in Indiana showed mid-winter SCPs similar to those of Indiana larvae. In contrast, Indiana larvae in box enclosures in Fairbanks failed to survive two separate winters, suggesting that these larvae cannot adapt to the harsher Alaska temperatures. However, since Alaska larvae produce AFPs much earlier than do Indiana larvae, an inability to adjust the timing of the onset of overwintering adaptations to the Alaska environment, rather than the actual extremes of the minimum winter temperature, could be at least part of the problem. Therefore, early autumn freezes might have been the actual cause of mortality of the Indiana larvae in Fairbanks. The low SCPs of Alaska C. clavipes are noteworthy. The mean SCP in January 2003 was –42°C, with individual SCPs reaching as low as –58°C. However, even more interesting is the lack of freezing exotherms in Wiseman larvae cooled to –64°C in late March 2003 and the subsequent survival of half of these larvae. Likewise, 32 Wiseman larvae in early January 2004 and 32 Fairbanks larvae collected in late January 2004 failed to exhibit freezing exotherms when cooled to –80 and –60°C, respectively, even with half of the individuals in contact with ice. It is interesting that during the entire three years of the study no exotherms were recorded below –58°C. A possible explanation is that these larvae were vitrified, although there is no experimental evidence to prove this. Miller (1982) reported that two adult C. clavipes survived temperatures of –55°C. He speculated that they were freeze tolerant, although SCPs were not measured. Other insects with extremely low SCPs have been identified. Larvae of the beetle Pytho deplanatus from high altitude in the Canadian Rocky Mountains had a mean SCP of –54°C, yet the larvae survived freezing (Ring, 1982). Populations of three species of willow gall insects from interior Alaska exhibited mean SCPs of –56 to –58°C (Miller, 1982). These were two species of Diptera (Cecidomyiidae: Rhabdophaga strobiloides and Mayetiola rigidae) and a hymenopteran (Euura sp.). These freeze-avoiding, gall-forming (and therefore uninsulated) species require extremely low SCPs as they are found primarily in low-lying areas where cold dense air pools in winter, and they are therefore exposed to very cold air temperatures. 0 200 400 600 800 1000 C O 2 pr od uc ti on (µ l h– 1 g– 1 dr y m as s) IN A ut um n 20 02 IN F eb ru ar y 20 03 IN Ju ne 2 00 3 A K A ut um n 20 02 A K Ja nu ar y 20 03 A K M ar ch 2 00 3 A K Ju ne 2 00 3 0 10 20 30 40 50 60 70 B od y w at er c on te nt ( % ) 0°C 10°C 20°C H2O Fig.·9. Seasonal changes in metabolic rate (CO2 production in �l·h–1·g–1 dry mass) of C. clavipes larvae (N=6–11) from near South Bend, Indiana and Fairbanks, Alaska. Indiana larvae (IN) were collected on 8 November 2002 (autumn), 1 February 2003 and 3 June 2003. Alaska (AK) larvae were collected between 20 September and 3 October 2002 and either cold acclimated to –4.5°C for one month (AK autumn 2002; see text for details) or held in a box enclosure at ground level under Fairbanks field conditions until 16 January 2003 (AK January 2003 ground box). Alaska larvae were also collected on 19–22 March 2003 and 28–30 June 2003 and run immediately. Metabolic rates were determined at 20, 10 and 0°C. Body water content (% body water) is also shown for these larvae. Values are means ± S.E.M. See text for statements on statistical significance. THE JOURNAL OF EXPERIMENTAL BIOLOGY 4476 However, failure to exhibit freezing exotherms was not reported in these species. A number of studies of insects and other invertebrates have demonstrated a correlation between dehydration and ability to prevent freezing (Zachariassen, 1985; Lundheim and Zachariassen, 1993; Gehrken, 1989; Rickards et al., 1987; Worland, 1996; Block, 2003; Worland and Block, 2003; Danks, 2000; Holmstroup, 1995; Worland et al., 1998). Over the winter, it is not uncommon for dormant insects to experience water stress, since they typically do not eat or drink. This is especially true of freeze-avoiding species since at low temperatures in the presence of ice in the hibernaculum the partial pressure of water in the air is lower than that of the insect hemolymph. Thus, the insect loses water by evaporation (Lundheim and Zachariassen, 1993). This may be especially problematic for Alaska Cucujus because of the length and severity of the winters; in fact, Alaska C. clavipes exhibit severe dehydration in winter. Larvae desiccate from mean values of ~63–65% body water (1.70–1.85·g H2O·g –1 dry mass) in summer to 28–40% body water (0.40–0.68·g H2O·g –1 dry mass) in mid-winter. Although this several-fold reduction in water volume may cause water stress in the larvae, it should also promote supercooling by concentrating antifreezes and reducing the volume of freezable water. The hemolymph glycerol concentration in cold-acclimated autumn Fairbanks larvae was 2.2·mol·l–1 in these non-dehydrated animals. Following a 3.2-fold reduction in water volume, the glycerol concentration would be at least 7·mol·l–1, if there were no downward adjustments in glycerol concentration during the desiccation process. (Actually, mean fold reductions as large as 4.7 were measured. This would result in a glycerol concentration of ~10·mol·l–1.) Likewise, the 3.2-fold dehydration of the cold-acclimated larval hemolymph produced THAs of nearly 13°C, much higher than has ever been reported. Therefore, although C. clavipes larvae appear to complete AFP synthesis during a short period in late summer, desiccation later in the season effectively concentrates the AFPs several fold. Consequently, Alaska C. clavipes may not need to synthesize more AFP than do Indiana larvae. Both cold-acclimated and field-collected Alaskan larvae in late autumn prior to desiccation have approximately the same levels of hemolymph thermal hysteresis as do Indiana larvae in mid-winter. We were unable to extract hemolymph samples from Alaska larvae after desiccation in mid-winter, but presumably the antifreeze concentrations reflect the 3–4- fold increases consistent with the levels of dehydration. To achieve the extreme levels of supercooling characteristic of Alaska C. clavipes larvae requires (1) the inhibition of inoculative freezing initiated by external ice across the cuticle and (2) the removal and/or inactivation of potential ice nucleators. AFPs are known to assist supercooling by both of these mechanisms in larvae of the beetle Dendroides canadensis (Olsen et al., 1998; Olsen and Duman 1997a,b; Duman, 2002). It is important to note that the level of protection afforded to the insect by AFPs greatly exceeds the magnitude of thermal hysteresis activity measured in the insect hemolymph, both with respect to inhibition of inoculative freezing and masking of ice nucleators. The absence of freezing in some Alaska C. clavipes suggests that their AFPs are able to inhibit ice nucleators to very low temperatures and that they may even inhibit homogeneous nucleation, thereby promoting vitrification. The absence of endotherms between –58°C (the lowest SCP measured) and –80°C (and perhaps lower) indicates that there may be a threshold effect operating such that, beyond a certain level of dehydration (which concentrates the AFPs, glycerol and perhaps other factors leading to high viscosity), vitrification, rather than freezing, may occur. Another overwintering adaptation present in Alaska, but not Indiana, larvae is diapause. While Indiana larvae may continue to feed well into November and resume feeding in March, the winter season is much more extended in Alaska. This may necessitate the reduced metabolic state in the Alaska larvae. In addition, the downregulated metabolism characteristic of larval diapause can also contribute directly to supercooling capacity. For example, the stag beetle Ceruchus piceus (Lucanidae) removes hemolymph lipoproteins with ice nucleating activity in winter, permitting them to supercool significantly without the production of antifreezes (Neven et al., 1986). It is unlikely that the normal lipid shuttle function of the hemolymph lipoproteins could be spared in winter without a concomitant reduction in metabolic rate in diapausing larvae. In keeping with the more extreme temperatures experienced by Alaska populations of C. clavipes, Alaska larvae exhibited a considerably greater capacity to supercool than did Indiana larvae. As noted earlier, at certain times Alaska larvae failed to freeze even when cooled to –80°C, perhaps suggesting the involvement of vitrification. This level of supercooling may appear to be greater than necessary based on ambient temperatures measured at the Alaska collecting sites over the past three years, when minimum winter air temperatures did not exceed –42°C. However, these winters were abnormally mild. Air temperatures in the interior of Alaska commonly reach –50°C, sometimes for extended periods. In addition, such temperatures can occur at times (i.e. spring) when insulating snow cover is minimal. It appears that the combination of AFPs, glycerol, dehydration and diapause combine to produce extreme levels of supercooling, and perhaps vitrification, in Alaska C. clavipes. Special thanks to Jack Reakoff of Wiseman, Alaska for his assistance in collecting C. clavipes. This study was supported by National Science Foundation grants OPP-0004446 and OPP-0352851. References Bale, J. S. (1987). Insect cold hardiness: freezing and supercooling – an ecological perspective. J. Insect. Physiol. 33, 899-908. Barnes, B. M., Barger, J. L., Seares, J., Tacquard, P. C. and Zuercher, G. L. (1996). Overwintering in yellowjacket queens (Vespula vulgaris) and green stinkbugs (Elasmostethus interstinctus) in subarctic Alaska. Physiol. Zool. 69, 1469-1480. V. A. Bennett and others THE JOURNAL OF EXPERIMENTAL BIOLOGY 4477Overwintering physiology of C. clavipes Block, W. (1990). Cold tolerance of insects and other arthropods. Phil. Trans. R. Soc. Lond. B 326, 613-633. Block, W. (2003). Water or ice? – the challenge for invertebrate cold survival. Sci. Prog. 86, 77-101. Danks, H. V. (1981). Arctic Arthropods, pp. 32-42. Ottowa: Entomological Society of Canada. Danks, H. V. (1991). Winter habits and ecological adaptations for winter survival. In Insects at Low Temperature (ed. R. E. Lee and D. L. Denlinger), pp. 318-359. New York, London: Chapman and Hall. Danks, H. V. (2000). Dehydration in dormant insects. J. Insect Physiol. 46, 837-852. DeVries, A. L. (1986). Antifreeze glycopeptides and peptides: Interactions with ice and water. Methods Enzymol. 127, 293-303. Duman, J. G. (1979). Thermal hysteresis factors in overwintering insects. J. Insect Physiol. 25, 805-810. Duman, J. G. (1984). Change in overwintering mechanism in the Cucujid beetle, Cucujus clavipes. J. Insect Physiol. 30, 235-239. Duman, J. G. (2001). Antifreeze and ice nucleator proteins in terrestrial arthropods. Annu. Rev. Physiol. 63, 327-357. Duman, J. G. (2002). The inhibition of ice nucleators by insect antifreeze proteins is enhanced by glycerol and citrate. J. Comp. Physiol. B 172, 163- 168. Duman, J. G., Wu, D. W., Xu, L., Tursman, D. and Olsen, T. M. (1991). Adaptations of insects to subzero temperatures. Quart. Rev. Biol. 66, 387- 410. Duman, J. G., Bennett, V., Sformo, T., Hochstrasser, R. and Barnes, B. M. (2004). Antifreeze proteins in Alaskan insects and spiders. J. Insect Physiol. 50, 259-266. Gehrken, U. (1989). Diapause termination of eggs of the stonefly, Arcynopteryx compacta in relation to dehydration and cold hardiness. J. Insect Physiol. 35, 373-385. Hadley, N. F. (1994). Water Relations of Terrestrial Arthropods. New York: Academic Press. Holmstroup, M. and Westh, P. (1995). Effects of dehydration on water relations and survival of lumbricid earthworm capsules. J. Comp. Physiol. B 165, 377-383. Holmstrup, M. and Sömme, L. (1998). Dehydration and cold hardiness in the Arctic collembolan Onychiurus arcticus. J. Comp. Physiol. B 168, 197- 203. Kreutz, F. H. (1962). Enzymatische Glycerinbestimmung. Klin. Wochenschrift 40, 362-363. Kukal, O., Serianni, A. S. and Duman, J. G. (1988). Glycerol production in a freeze tolerant arctic insect, Gynaephora groenlandica: An in vivo 13C NMR study. J. Comp. Physiol 158, 175-183. Lee, R. E. and Denlinger, D. L. (1991). Insects at Low Temperature. New York, London: Chapman and Hall. Lundheim, R. and Zachariassen, K. E. (1993). Water balance of overwintering beetles in relation to strategies for cold tolerance. J. Comp. Physiol B 163, 1-4. Miller, L. K. (1982). Cold hardiness strategies of some adult and immature insects overwintering in interior Alaska. Comp. Biochem. Physiol. 73A, 595-604. Neven, L. G., Duman, J. G., Beals, J. M. and Castellino, F. J. (1986). Overwintering adaptations of the stag beetle, Ceruchus piceus: Removal of ice nucleators in winter to promote supercooling. J. Comp. Physiol. 156, 707-716. Olsen, T. M. and Duman, J. G. (1997a). Maintenance of the supercooled state in overwintering Pyrochroid beetle larvae Dendroides canadensis: role of hemolymph ice nucleators and antifreeze proteins. J. Comp. Physiol. B 167, 105-113. Olsen, T. M. and Duman, J. G. (1997b). Maintenance of the supercooled state in the gut of overwintering Pyrochroid beetle larvae, Dendroides canadensis: role of gut ice nucleators and antifreeze proteins. J. Comp. Physiol. B 167, 114-122. Olsen, T. M., Sass, S. J., Li, N. and Duman, J. G. (1998). Factors contributing to seasonal increases in inoculative freezing resistance in overwintering fire-colored beetle larvae Dendroides canadensis (Pyrochroidae). J. Exp. Biol. 201, 1585-1594. Rickards, J., Kelleher, M. J. and Storey, K. B. (1987). Strategies of freeze avoidance in larvae of the goldenrod gall moth, Epiblema scudderians: winter profiles of a natural population. J. Insect Physiol. 33, 443-450. Ring, J. A. (1982). Freezing tolerant insects with low supercooling points. Comp. Biochem. Physiol. 73A, 605-612. Rojas, R. R., Lee, R. E. and Baust, J. G. (1986). Relationship of environmental water content to glycerol accumulation in the freezing tolerant larvae of Eurosta solidaginis (Fitch). Cryo-Lett. 7, 234-245. Solomon, M. E. (1951). The control of humidity with KOH, H2SO4, and other solutions. Bull. Ent. Res. 42, 543-559. Sömme, L. and Block, W. (1991). Adaptation to alpine and polar environments in insects and other terrestrial arthropods. In Insects at Low Temperature (ed. R. E. Lee and D. L. Denlinger), pp. 318-359. New York: Chapman and Hall. Storey, K. B. and Storey, J. M. (1988). Freeze tolerance in animals. Physiol. Rev. 68, 27-84. Worland, M. R. (1996). The relationship between water content and cold tolerance in the arctic collembolan Onychiurus arcticus. Eur. J. Entomol. 93, 341-348. Worland, M. R. and Block, W. (2003). Desiccation stress at subzero temperatures in polar terrestrial arthropods. J. Insect. Physiol. 49, 193-203. Worland, M. R., Grubor-Lajsic, G. and Montrel, P. O. (1998). Partial desiccation induced by subzero temperatures as a component of the survival strategy of the Arctic collembolan Onychiurus arcticus. J. Insect Physiol. 44, 211-219. Zachariassen, K. E. (1985). Physiology of cold tolerance in insects. Physiol. Rev. 65, 799-832. THE JOURNAL OF EXPERIMENTAL BIOLOGY 
work_4lbnqv53rvcwlakvxihycwf6ce	----	Developing Our Community Gary Kern Founding Co-Editor, JoSoTL School of Business and Economics Indiana University South Bend South Bend, Indiana 46634-7111 gkern@iusb.edu mailto:gkern@iusb.edu?subject=essay In recent years, interest in the Scholarship of Teaching and Learning has grown significantly. We at JoSoTL are proud that we have been able to help further the sense of scholarly community provided by journals in this field. Journals offer a means to “make public” the activities of our colleagues as we pursue our common topic. Articles published in JoSoTL provide points of discussion, and “progress reports,” as we work to understand the art and science of teaching and learning. As a web-based journal, JoSoTL also enhances aspects of the scholarly community. We can provide our publication without charging subscriptions (thanks to the kind support of Indiana University South Bend, and the University Center for Excellence in Teaching – UCET). We receive submissions and comments from authors and readers located around the world. Monetary barriers caused by subscription rates (and submission fees at some journals) can affect the reach of publications adversely, and we are thankful that we have been able to avoid these barriers to developing our community. Regardless of the advancements in electronic communication, there remain occasions where meeting “face-to-face” is advantageous. One field that I study is the use of technology in business decision- making – Management Information Systems. Researchers in that field acknowledge that there are times when decision-makers still prefer to be in the same room, physically together, to discuss factors in specific decision situations. Educators also recognize the value of convening for teaching and learning. For instance, many schools of business offer certain degree programs through “distance education” systems. There are a number of schools offering graduate degree programs using these technologies. However, in almost every case, students are still required to travel to the home campus for at least one week of “face-to-face” work with their colleagues and instructors. There is an implicit understanding that it remains important for us to “get to know” each other in this familiar format before we attempt to collaborate using other communications platforms. So too, I believe, we as scholars need to come together to advance our work. That is why we attend professional meetings. Here at IUSB, UCET annually sponsors the Midwest Conference on the Scholarship of Teaching and Learning. The fourth annual conference is scheduled for April 11, 2003, and Barbara Cambridge of AAHE will be the keynote speaker (for more information, see http://www.iusb.edu/~ucet, and click the “Scholarship of Teaching” link). We at JoSoTL recognize the synergies we can develop through better partnership with the SoTL Conference here on our own campus. Many of the people involved in JoSoTL are also active in Gary Kern Developing Our Community Page Journal of Scholarship of Teaching and Learning (JoSoTL), Volume 3, Number 1 (2002), pp. 1-3 © 2002 Board of Trustees of Indiana University 2 http://www.iusb.edu/~ucet Gary Kern Developing Our Community Page Journal of Scholarship of Teaching and Learning (JoSoTL), Volume 3, Number 1 (2002), pp. 1-3 © 2002 Board of Trustees of Indiana University 3 the SoTL Conference. Both of these projects have reached a certain level of maturity, and it is time to explore ways to advance our common cause: supporting our shared community of scholars. In future issues of JoSoTL, you will see more information about the conference. We will consider how we might help make public work presented at the conference. And we will encourage you, our readers, to become involved in the conference. How to most effectively bring these two modes of community support (web-based journal and professional conference) is certainly open to interpretation. Web technology is still a very young medium, and no one has perfected a sound means for its optimal application. Here at JoSoTL, we strive to improve all aspects of our journal: both the editorial process and the delivery of the journal through our web site. Please offer your suggestions for improvement via email to gkern@iusb.edu, or josotl@iusb.edu. We welcome and appreciate all of your comments. Together, we can help to form a stimulating, vibrant community of scholars as we pursue our common interests in the Scholarship of Teaching and Learning. mailto:gkern@iusb.edu mailto:josotl@iusb.edu Developing Our Community Gary Kern 
work_4ncc75ijpnflvf7xsil7kyggcm	----	On the Rainfall Intensity–Duration–Frequency Curves, Partial-Area Effect and the Rational Method: Theory and the Engineering Practice water Article On the Rainfall Intensity–Duration–Frequency Curves, Partial-Area Effect and the Rational Method: Theory and the Engineering Practice José Nilson B. Campos , Ticiana Marinho de Carvalho Studart * , Francisco de Assis de Souza Filho and Victor Costa Porto Hydraulic and Environmental Engineering Department (DEHA), Federal University of Ceará, 60020-181 Fortaleza-CE, Brazil; jnbcampos@gmail.com (J.N.B.C.); assis@ufc.br (F.d.A.d.S.F.); victorcporto@gmail.com (V.C.P.) * Correspondence: ticiana@ufc.br Received: 11 September 2020; Accepted: 25 September 2020; Published: 30 September 2020 ����������������� Abstract: This research evaluates the partial-area effect and its relationship with the rainfall intensity–duration–frequency (IDF) equations. In the Rational Method, if the critical rainfall duration is shorter than the time of concentration, the partial-area effect occurs. We proved that the partial area could exist for the general ID equation i = a/(b + td) c, only when c > 1. For these equations, in the application of the Rational Method, the maximum discharge at basin outlet occurs for rainfall duration (td) equal to b/(c−1). Nevertheless, for that case, the Depth Duration Frequency (DDF) has a maximum at that rainfall duration. These situations are present in engineering practice and will be discussed in this paper. Research was done to look for IDF equations with c > 1 in hydrologic engineering practice. It found 640 inconsistent IDF equations (c > 1) in four countries (Brazil, Mexico, India, and USA), which means that a fundamental principle for building consistent IDF equations (i.e., c > 1), published in the scientific literature since 1998, did not reach the hydrologic engineering practice fully. We provided some analysis regarding this gap between theory and engineering practice. Keywords: critical rainfall duration; rainfall intensity; partial-area effect; flood design 1. Introduction In order to design hydraulic structures, it is necessary to know both peak discharge (Qp) and Design Hydrograph (DH). The Rational Method plays an important role in the DH estimation and, due to its simplicity, has been extensively applied in engineering practice since the mid-19th century, when it was first introduced and proposed. Nevertheless, researches have recently been questioning basic assumptions of the hydrological theory, including the use of the Rational Method in the existing theoretical framework [1] and the concept of the time of concentration [2], which is the basis for estimating rainfall duration (td) in the Rational Method. This paper deals with the Rational Method’s assumptions in the context of the partial-area effect, critical rainfall duration, and the relationships of rainfall intensity, duration, and frequency. Usually, the Rational Method is applied for a critical rainfall duration (td) equal to the time of concentration (tc) [3–10]. This practice is grounded on the assumption that the partial-area effect does not exist. The most comprehensive paper published recently that deals with the partial-area effect and critical rainfall duration in the Rational Method framework is due to Wong [11]. He analyzed the equation intensity-duration (ID), i = a/(td + b), where i is rainfall intensity, td denotes the rainfall duration, and a and b are equation´s parameters. Wong proved that, for that type of ID equation, there is no partial-area effect, and design discharge is governed by the full-area contribution. In other Water 2020, 12, 2730; doi:10.3390/w12102730 www.mdpi.com/journal/water http://www.mdpi.com/journal/water http://www.mdpi.com https://orcid.org/0000-0001-6321-1284 https://orcid.org/0000-0001-9317-3645 https://orcid.org/0000-0002-6724-9033 http://www.mdpi.com/2073-4441/12/10/2730?type=check_update&version=1 http://dx.doi.org/10.3390/w12102730 http://www.mdpi.com/journal/water Water 2020, 12, 2730 2 of 11 words, his results are consistent with Rational Method’s engineering practice, where the critical rainfall duration is equal to the time of concentration. Wong’s conclusions, however, are based on the ID equation of the type i = a/(td + b) and, therefore, can only be valid for that type of ID equation. To the best of our knowledge, no article since 2005 has expanded or limited Wong´s conclusions. The present paper evaluates the partial-area effect for the ID equation i = a/(td + b) c. Koutsoyiannis et al. [12] considered that c ≤ 1 under the constraint that the DD (depth duration rainfall) must be an increasing function over time. A special analysis is dedicated to that case. Research has been done to look for ID equations with c > 1, since there are numerous c > 1 ID equations in hydrologic engineering practice the world over. However, this suggests that despite the recommendation for building DD consistent equations (c ≤ 1), published in the scientific literature since 1998, has not fully become an integral part of hydrologic engineering practice. We provide some analysis to explain why the gap between theory and practice persists. 2. Methods 2.1. The Rational Method Many authors [13–16] credit the Rational Method to the work of Mulvany [17], which is regarded as the first rainfall-runoff model. In his paper, Koutsoyiannis et al. [12] explains how to estimate the peak discharge (Qp), at the outlet of a basin, from observed rainfall intensity (i), given a catchment basin area (Ab), and given an empirical factor (C) that depends on basin soil. In fact, in his paper, Mulvany did not, explicitly, write the equation, but his words can be translated in Equation (1). Qp = C × i × A (1) where Qp is the maximum discharge at basin outlet, i is the rainfall intensity, and A is the basin area. Mulvany [17] understood that it was necessary to put limits on the application of the method and stated that this result, although arrived at in an empirical manner, is found to be tolerably near the truth in the catchment of an average character, neither mountainy nor very flat, and within certain limits as to the extent. Many other researchers throughout the years have also devoted efforts to building a conceptual framework that establishes the boundaries of applying the Rational Method to diverse situations. Ponce [4], for example, suggests that the Rational Method is based on the principle of concentration and diffusion. In the case of concentration without diffusion, uniform precipitation over the basin with duration equal to the time of concentration (tc) (design storm) will make the design hydrograph have an isosceles triangle or trapezius shape, depending on the rainfall duration. It must be observed that Ponce’s conceptualization of a hydrograph comes from an overland rectangular plane, and the discharge flows to the outlet at a given constant velocity. These two examples highlight the importance of understanding the type of ID equation used for cases where the partial-area effect is dominant. The following sections of this paper will be devoted to this task. 2.2. Rainfall Intensity–Duration–Frequency Relationship The type of Intensity Duration Frequency (IDF) equation is a key point in estimating the DH for an urban drainage structure in small basins, given the limits of applicability of Rational Method. There are many types of IDF equations. A common characteristic of all IDF equations is that the rainfall intensity varies inversely with the rainfall duration. The most general equations found in the literature is synthesized in the form of Equation (2) [7,18]: i = K × (Tr) n (td + b) c (2) Water 2020, 12, 2730 3 of 11 where K, b, c, and n are equation parameters, Tr is the rainfall return period, td is the rainfall duration. For a given return period, assuming a = K(Tr) n, we have the ID equation for that Tr (Equation (3)): i = a (td + b) c (3) 2.3. The Partial-Area Effect A watershed is governed either by a full-area contribution or by a partial-area contribution. A partial-area contribution [19] is an effect that emerges when the maximum discharge at the basin outlet occurs before the whole watershed is contributing to the discharge outlet. Otherwise, the basin is governed by the full area contribution. The analysis of the partial-area effect and critical rainfall duration is studied based on two parameters: (1) an assumption that basin is either homogeneous or heterogeneous; and (2) an assumption that losses are either constant or proportional to the precipitation. For heterogeneous basins, the scientific literature [20–23] unambiguously demonstrates that the critical rainfall duration (td) can and often is different from the time of concentration (tc). Thus, for heterogeneous basins, we can be confident in claiming that critical rainfall duration is different from the time of concentration. In this paper, we discuss the partial-area effect for a plane under the theoretical framework of the Rational Method. The rainfall has duration td and is under an ID Equation (3). The rectangular plane has area Ab and time of concentration tc. Two cases are discussed: (1) td < tc and (2) td = tc. In case 1, td < tc, the area of contribution at time t (Ac(t)) and peak discharge (Qp(t)) increase up to the end of rainfall (t = td < tc). At this instant, Ac(t) is a fraction of the basin area (Ac(td) < Ab) and the discharge at outlet reaches its maximum Qp(1). From t = td up to t = tc, the values of Ac(t) and Qp(1) remains constant. From t = tc to t = tc + td, Ac(t) and Qp(1) decreases up to zero. In case 2, td = tc, Ac(t) and Qp(t) increase up to Ab and Qp(2). At the time t = tc = td (end of rainfall), all the basin is contributing for the discharge at the outlet. From this time up to t = 2tc, the discharge decreases to zero. The key point is to verify if the maximum discharge at the outlet in case 1 is greater than in case 2, for that basin and ID Equation. If Qp(1) > Qp(2), we say that the partial-area effect exists; otherwise, it does not. Examples with real data are presented to illustrate the case. To show an example of a partial-area effect in the application of the Rational Method, let us consider the application of the South Bend (South Bend, IN, USA) ID equation, that is valid for td < 1 h [24] or an urban basin with area Ab = 1 km 2, tc = 1 h and Tr = 10 years. i = 1.7204 (10)0.1753 (td + 0.485) 1.6806 (4) where i is in inches/h and td in hours. Let us now compute Qp at basin outlet for rainfall durations td = 0.71 h and td = 1 h. For td = 0.71 h, the rainfall intensity is 1.91 inches/h, that is equivalent to 0.01348 mm/s. At this time, Ac is (0.71/1) × Ab (equal to 0.71 km 2). Applying the Rational Method, with C = 0.8 we have Qp(0.71) = 0.8 × 0.01348 × 0.71 × (106/103) = 7.65 m3/s. For td = 1 h, the rainfall intensity is 1.32 inches/h, that is equivalent to 0.00935 mm/s. At this time, Ac is the basin area (1.0 km2). Applying the Rational Method, with C = 0.8 we have Qp(1) = 0.8 × 0.00935 × 1.0 × (106/103) = 7.48 m3/s. The hydrographs used in this example are shown in Figure 1A. It should be noted that the maximum discharge at the outlet occurs with the rainfall duration which the contribution area (Ac) is 71% of the basin area, and the partial-area effect exists for this ID equation. In Figure 1B, the Depth Duration (DD) graph resulting from the integration of the South Bend ID equation is illustrated, and the DD curve exhibits a maximum at time td = 0.71 h. Thus, this equation is not consistent for td > 0.71 h and it is not valid in the interval 0.71 h–1.0 h as it was supposed to be. Water 2020, 12, 2730 4 of 11 Water 2020, 12, x FOR PEER REVIEW 4 of 11 the DD curve exhibits a maximum at time 𝑡 = 0.71 h. Thus, this equation is not consistent for 𝑡 >0.71 h and it is not valid in the interval 0.71 h–1.0 h as it was supposed to be. Figure 1. (A) Hydrographs resulting from the application of the South Bend ID with the Rational Method for rainfall durations 𝑡 = 0.71 h and 𝑡 = 1 h and 𝑡 = 1 h. (B) Depth Duration (DD) graph of the South Bend ID equation. In both graphs, the ID equation is for 𝑇 = 10 years. 2.4. Critical Rainfall Duration for a Given ID Equation in Rational Method Conceptual Framework The idea is to find, for a given ID equation, if the time 𝑡 in which the discharge at outlet reaches the maximum value (𝑄 (𝑡)) is a finite value. The time for this maximum will be denoted by 𝑡∗ . If 𝑡∗ exists, then for that equation, the partial-area effect will be present for any area with 𝑡 < 𝑡 ∗ . Then, we are looking for the maximum of the function 𝑄 (𝑡) = 𝐶(𝑎/(𝑡 + 𝑏) ) 𝐴 (𝑡), if it exists. This function can be conceptualized at the outlet of a rectangular sufficiently long overland plane (Figure 2). In that plane, the 𝐴 (𝑡) increases linearly along the time 𝑡 . The rectangular plane used has length 𝐿, width 𝑊, and area 𝐴 . During the duration 𝑡 , the rainfall over the basin has a constant intensity 𝑖 and is obtained from the ID equation. Let 𝐿𝑐(𝑡) denote the length of the contributing area at time 𝑡. The flow velocity in the outlet direction, which is represented by 𝑣, is assumed to be constant and equal to 𝐿/𝑡 , so, in Equation (5) 𝐿𝑐(𝑡) = 𝑣 × 𝑡 = × 𝑡. Figure 2. Conceptual overland homogeneous plane used for the conceptual formulation of the Rational Method. Figure 1. (A) Hydrographs resulting from the application of the South Bend ID with the Rational Method for rainfall durations td = 0.71 h and td = 1 h and tc = 1 h. (B) Depth Duration (DD) graph of the South Bend ID equation. In both graphs, the ID equation is for Tr = 10 years. 2.4. Critical Rainfall Duration for a Given ID Equation in Rational Method Conceptual Framework The idea is to find, for a given ID equation, if the time t in which the discharge at outlet reaches the maximum value (Qp(t)) is a finite value. The time for this maximum will be denoted by t∗. If t∗ exists, then for that equation, the partial-area effect will be present for any area with tc < t∗. Then, we are looking for the maximum of the function Qp(t) = C(a/(td + b) c) Ac(t), if it exists. This function can be conceptualized at the outlet of a rectangular sufficiently long overland plane (Figure 2). In that plane, the Ac(t) increases linearly along the time t. The rectangular plane used has length L, width W, and area Ab. During the duration td, the rainfall over the basin has a constant intensity i and is obtained from the ID equation. Let Lc(t) denote the length of the contributing area at time t. The flow velocity in the outlet direction, which is represented by v, is assumed to be constant and equal to L/tc, so, in Equation (5) Lc(t) = v × t = ( L tc ) × t. Water 2020, 12, x FOR PEER REVIEW 4 of 11 the DD curve exhibits a maximum at time 𝑡 = 0.71 h. Thus, this equation is not consistent for 𝑡 >0.71 h and it is not valid in the interval 0.71 h–1.0 h as it was supposed to be. Figure 1. (A) Hydrographs resulting from the application of the South Bend ID with the Rational Method for rainfall durations 𝑡 = 0.71 h and 𝑡 = 1 h and 𝑡 = 1 h. (B) Depth Duration (DD) graph of the South Bend ID equation. In both graphs, the ID equation is for 𝑇 = 10 years. 2.4. Critical Rainfall Duration for a Given ID Equation in Rational Method Conceptual Framework The idea is to find, for a given ID equation, if the time 𝑡 in which the discharge at outlet reaches the maximum value (𝑄 (𝑡)) is a finite value. The time for this maximum will be denoted by 𝑡∗ . If 𝑡∗ exists, then for that equation, the partial-area effect will be present for any area with 𝑡 < 𝑡 ∗ . Then, we are looking for the maximum of the function 𝑄 (𝑡) = 𝐶(𝑎/(𝑡 + 𝑏) ) 𝐴 (𝑡), if it exists. This function can be conceptualized at the outlet of a rectangular sufficiently long overland plane (Figure 2). In that plane, the 𝐴 (𝑡) increases linearly along the time 𝑡 . The rectangular plane used has length 𝐿, width 𝑊, and area 𝐴 . During the duration 𝑡 , the rainfall over the basin has a constant intensity 𝑖 and is obtained from the ID equation. Let 𝐿𝑐(𝑡) denote the length of the contributing area at time 𝑡. The flow velocity in the outlet direction, which is represented by 𝑣, is assumed to be constant and equal to 𝐿/𝑡 , so, in Equation (5) 𝐿𝑐(𝑡) = 𝑣 × 𝑡 = × 𝑡. Figure 2. Conceptual overland homogeneous plane used for the conceptual formulation of the Rational Method. Figure 2. Conceptual overland homogeneous plane used for the conceptual formulation of the Rational Method. Water 2020, 12, 2730 5 of 11 The contributing area to the discharge at the outlet at time t is given as Equations (5) and (6). Ac(t) = Lc(t) × W = L × t tc × W = Ab × t tc , f or t < tc (5) where Ac(t) is the contribution area at time t, Lc(t) is the length of Ac(t), W is the plane wide, and L is the length of the plane. When the rainfall duration td > tc, all the basin is contributing to the discharge outlet (Equation (6)): Ac(t) = Ab, f or t ≥ tc (6) Equation (7) estimates the discharge at time t at the basin outlet, Qp(t) = C × i × Ac(t) (7) where Qp(t) is the discharge at the mouth of the basin at time t, i is the mean rainfall intensity during the rainfall duration, which was calculated from the ID equation, and Ac(t) is the contributing area at time t. We developed an analytical equation for estimating the time t∗. If t∗ is less than tc, then the partial-area effect exists. To calculate t∗, the derivative dQ(t)/dt is set to zero, and this equation is solved for t. Substituting the data of Equation (4) into Equation (7) results in Equation (8): Q(t) = C × a (t + b)c v × t × W (8) where symbols were as previously defined. Equation (8) can be rewritten in the form of Equation (9): Q(t) = J × t (t + b)c (9) where J = C × a × v × W. Taking the derivative of Q(t) with respect to t and making it equal to zero to find a maximum, we have dQ(t) dt = J (t + b)c − J × t × c (t + b)c(t + b) = 0 (10) solving Equation (10) for t, and denoting the time for the maximum by t∗: t∗ = b (c − 1) (11) It is clear, from this equation, that the critical time (t∗) only occurs, in the positive real domain, if c > 1. For c ≤ 1 there is no maximum in the positive domain and Equation (11) shows that the time of maximum discharge is infinite (t∗ = ∞). The conclusion is that for the type of ID equation analyzed, the partial-area effect exists only if c > 1. On the other hand, the existence of a partial-area effect when c > 1 has the property that the DDF is inconsistent. Two situations emerge: (1) t∗ is inside the field of the validity of the ID equation, as shown in Figure 1; and (2) the t∗ is beyond the limit of validity of the ID equation. The second situation is shown in the example below for the Fort Wayne (Fort Wayne, IN, USA) ID equation, which is also valid for td < 1 h [24] under the same basin conditions as the previous example (Ab = 1 km 2, tc = 1 h and Tr = 10 years): i = 2.003 (10)0.1655 (td + 0.516) 1.4643 (12) Water 2020, 12, 2730 6 of 11 The hydrographs of the Rational Method applied to three different durations (0.5, 0.7, and 1 h) are illustrated in Figure 3A. Although c > 1, as the decreasing and inconsistent part of the DD curve (td > t ∗ = 1.1 h) occurs after the duration limit of the ID equation (Figure 3B), no partial-area effect occurs in the hydrographs independent of which td and tc are chosen.Water 2020, 12, x FOR PEER REVIEW 6 of 11 Figure 3. (A) Hydrographs resulting from the application of the Fort Wayne ID with the Rational Method for rainfall durations 𝑡 equal to and 0.5, 0.7 and 1 h and 𝑡 = 1 h. (B) Depth Duration (DD) graph of the Fort Wayne ID equation. In both graphs, the ID equation is for 𝑇 = 10 years. 3. Results and Discussions 3.1. On the Consistency of IDF Equation and the Partial-Area Effect For the general IDF equation be consistent, the depth–duration–frequency DDF must be an increasing function, as represented by Equation (13): 𝐷𝐷𝐹( 𝑡 ) = 𝐼𝐷𝐹( 𝑡 ) × 𝑡 < 𝐼𝐷𝐹(𝑡 ) × 𝑡 = 𝐷𝐷𝐹(𝑡 ) (13) for any 𝑡 < 𝑡 in the field of the validity of the IDF equation. For a rainfall with duration td the DDF function is given by Equation (14): 𝐷𝐷𝐹(𝑡) = 𝐼𝐷𝐹(𝑡) × 𝑡 = 𝑎(𝑡 + 𝑏) 𝑡 (14) Making the 𝐷𝐷𝐹(𝑡) derivative equal to zero, to find if it has a maximum, we found: 𝑡 = 𝑏(𝑐 − 1) (15) where 𝑡 is the time where the DDF has a maximum, and 𝑏 and 𝑐 are parameters of the IDF equation. From Equation (15), we conclude that if 𝑐 > 1, the DDF function has a maximum in the positive side of the 𝑡 axis. This is incompatible with the requirement that the DDF should be crescent in the positive t axis. So, for 𝑐 > 1, the IDF is not valid for 𝑡 × 𝑏/(𝑐 − 1). With this result in place, we can now ask: are these conceptual limitations inserted in hydrologic engineering practice? Furthermore, if not, how are engineering results impacted? In the next sections, we will answer these questions to show that the partial-area effect can be present in engineering practice, but only for DDF inconsistent relationship. 3.2. The Inexistence of Partial-Area Effect for Any IDF Relationship To answer the first question proposed in the previous section, we conducted research in an extensive IDF Brazilian database, along with bibliographical research in other countries of the world. The conceptualization of the partial-area effect for any type of IDF, considering the Rational Method, can be represented by the Equation (16): Figure 3. (A) Hydrographs resulting from the application of the Fort Wayne ID with the Rational Method for rainfall durations td equal to and 0.5, 0.7 and 1 h and tc = 1 h. (B) Depth Duration (DD) graph of the Fort Wayne ID equation. In both graphs, the ID equation is for Tr = 10 years. 3. Results and Discussions 3.1. On the Consistency of IDF Equation and the Partial-Area Effect For the general IDF equation be consistent, the depth–duration–frequency DDF must be an increasing function, as represented by Equation (13): DDF(t1) = IDF(t1)× t1 < IDF(t2)× t2 = DDF(t2) (13) for any t1 < t2 in the field of the validity of the IDF equation. For a rainfall with duration td the DDF function is given by Equation (14): DDF(t) = IDF(t)× t = a (t + b)c t (14) Making the DDF(t) derivative equal to zero, to find if it has a maximum, we found: tm = b (c − 1) (15) where tm is the time where the DDF has a maximum, and b and c are parameters of the IDF equation. From Equation (15), we conclude that if c > 1, the DDF function has a maximum in the positive side of the t axis. This is incompatible with the requirement that the DDF should be crescent in the positive t axis. So, for c > 1, the IDF is not valid for t × b/(c − 1). With this result in place, we can now ask: are these conceptual limitations inserted in hydrologic engineering practice? Furthermore, if not, how are engineering results impacted? In the next sections, we will answer these questions to show that the partial-area effect can be present in engineering practice, but only for DDF inconsistent relationship. Water 2020, 12, 2730 7 of 11 3.2. The Inexistence of Partial-Area Effect for Any IDF Relationship To answer the first question proposed in the previous section, we conducted research in an extensive IDF Brazilian database, along with bibliographical research in other countries of the world. The conceptualization of the partial-area effect for any type of IDF, considering the Rational Method, can be represented by the Equation (16): C × IDF(t1) × Ac(t1) > C × IDF(t2) × Ac(t2) (16) where IDF(t1) and IDF(t2) are the rainfall intensity at the time t1 and t2, respectively, with t1 < t2, and A(t1) and A(t2) are the areas contributing to the outlet at the time t1 and t2, respectively. In the Rational Method conceptual framework the water velocity over the plane is constant (let us assume that it is equal to vp) and the contribution area at time t is Ac(t) = vpt. So, Equation (16) can be rewritten as Equation (17). C × IDF(t1) × vp × t1 > C × IDF(t2)× vp × t2 (17) Simplifying, IDF(t1)× t1 = DDF(t1) > IDF(t2)× t2 = DDF(t2) (18) As t1 < t2, Equation (18) means that the existence of partial effect in any representation of IDF relationship implies in a DDF(t) is decreasing, which is impossible. The conclusion is that in any mathematical representation of IDF, equations or curves, the partial-area effect does not exist. 3.3. IDF Equations with c > 1 in Different Regions of the World The general IDF equations with c > 1 are not necessarily inconsistent. As empirical equations, they should have a limit of validity. For t < t∗ the DDF is monotone crescent, and, within that reach, the IDF equations are valid for c > 1. To evaluate the use of c > 1 in engineering practice, we gathered several IDF equations from the literature. We collected the following data: 544 equations from Brazil, 63 equations from Mexico, 19 stations from India, and 4 peculiar equations from Indiana (USA). To evaluate the impact of these equations in engineering practice, t∗ was computed and grouped in four classes: 0–2 h; 2–5 h; 5–24 h, and greater than 24 h. The first two classes are related to errors in Rational Method application; the third class is related to inconsistencies in applications of alternating block hydrograph; the fourth class, besides being inconsistent in DDF, has little application in engineering practice. 3.3.1. The IDF Equations with c > 1 in Brazil In Brazil, the research covers 544 IDF equations available in the hydrologic software PLUVIO 2.1 database [25]. Seventy-eight of these equations have a c value greater than one. The value of t∗ was estimated for 80 equations (Table 1 and Table S1). The minimum t∗ in Brazil is 2.6 h (in the station Conceição da Mata de Dentro in Minas Gerais). Table 1. Frequency distribution of Brazil´s intensity–duration–frequency (IDF) equations with c > 1. Class Frequency Cumulative Frequency t* < 2 h 0 0 2 h < t* < 5 h 10/544 10/544 5 h < t* < 24 h 51/544 61/544 t* > 24 h 19/544 80/544 Water 2020, 12, 2730 8 of 11 3.3.2. IDF Equations in Mexico Manzano-Agugliaro et al. (Table S2) [26] assess four methods of obtaining IDF equations for the Mexican case [27–29]. In that paper, the Cheng-lung Chen Equation [27] has the same configuration of the general IDF. The problem of limits of consistency (c > 1) is not referred to in that paper. Twenty-seven of the 63 equations present c > 1 and 27 of those are consistent only for t < t∗. The authors concluded that Cheng-lung Chen Equation [27] gives good results for rainfall durations between 2 h and 24 h; however, a great number of the equations presented are not valid for that interval as shown in Table 2. Eight of them are not valid if t < 2 h, while 19 resulted in t∗ < 5 h. Table 2. Frequency distribution of Mexico´s IDF equations with c > 1. Class Frequency Cumulative Frequency t* < 2 h 8/63 8/63 2 h < t* < 5 h 11/63 19/63 5 h < t* < 24 h 7/63 26/63 t* > 24 h 1/63 27/63 3.3.3. IDF Equations in India In India, the research covered 19 equations obtained from an Engineering textbook. From these equations, seven (36.6%) have c > 1. The minimum t∗ is 3.9 h (Table 3 and Table S3) [30]. Table 3. Frequency distribution of India´s IDF equations with c > 1. Class Frequency Cumulative Frequency t* < 2 h 0/19 0/19 2 h < t* < 5 h 3/19 3/19 5 h < t* < 24 h 3/19 6/19 t* > 24 h 1/19 7/19 3.3.4. IDF Equations in Indiana (USA) In Indiana, the research covers four regional IDF equations. These equations present a different formulation from all equations previously analyzed. The IDF has two parts: the first is valid for rainfall duration of less than one hour; the second, for rainfall duration greater than one hour and less than 36 h [24]. For the rainfall duration of less than one hour, all equations have c > 1 (Table 4), and c < 1 for td > 1 h. Two of these equations have t ∗ greater than one hour, and two have t∗ less than one hour. In other words, the equations for South Bend and Evansville are not valid in the interval 0–1 h, as they are supposed to be. Table 4. IDF equations in Indiana (for td < 1 h). Station K n b c t* (h) Indianapolis 2.1048 0.1733 0.47 1.1289 3.65 South Bend 1.7204 0.1753 0.485 1.6806 0.71 Evansville 1.9533 0.1743 0.522 1.6408 0.81 Fort Wayne 2.003 0.1655 0.516 1.4643 1.11 3.4. The IDF and DDF Curves One conclusion from the prior analysis is that the classical method of developing IDF equations, with the empirical fitting of rainfall duration and intensity, can yield an IDF equation that is DDF inconsistent. Another conclusion is that, just looking to the IDF curves (monotone, decreasing, asymptotic to zero), it is not possible to identify if the DDF is consistent (monotone increasing). Water 2020, 12, 2730 9 of 11 There is a common practice in engineering where the IDF curves of drainage projects are built without the respective IDF equations [31] but built by graphic adjustment alone. The problem with this method, as demonstrated in the previous section, is that an IDF equation may appear consistent even when the DDF equation is inconsistent. It is, therefore, reasonable to be skeptical about the consistency of IDF curves, since they may well contain inconsistent DDFs. As there is no equation nor c parameter provided, the only way to know if the resulting DDF is consistent is by the graphical integration of the IDF curve, which is not a typical engineering practice. For the places that present the intense rainfall relationship by DDF curves, there is no problem. The inconsistency, if exists, will be detected at first look, and then corrected. 4. Conclusions The proof for the inexistence of a partial-area effect in an overland plane with an application of the Rational Method was restricted to a case of the IDF equation [32]. This paper expands that result to show that, for any representation of IDF equations, or even for curves without equations, the partial-area effect only exists for cases with a decreasing reach of the DD function. Nevertheless, conceptually, the DD function should be increasing over the time. In ID equations with c > 1, the DD has a maximum at td = t ∗ = b(c − 1), so they do not attend the restriction of increasing DD. In that case, the ID equation is only valid for td < t ∗. Research on 640 IDF equations was done for four countries: Brazil (554 equations), Mexico (63 equations), India (19 equations), and USA (Indiana, 4 equations). For Brazil, from 554 equations, 80 have c > 1, ten of them are valid only for rainfall duration less than five hours; 61 have validity less than 24 h. For Mexico, from 63 IDF equations, 27 have c > 1. Eight of them have t∗ less than two hours, and 26 have t∗ less than 24 h. For India, from 19 equations, three have t∗ less than five hours, and six have t∗ less than 24 h. For Indiana USA, the IDF equations have two ranges for the application. The first range was designed for rainfall durations of less than one hour. In the first range, td less than one hour. All the equations have c > 1. Two of them have t∗ > 1 h, so they are correct; two have t∗ < 1 h, so they are not valid in the range proposed in the publication. The inconsistency on the IDF equation with c > 1 has been established in scientific literature since 1998 [12]. Nevertheless, a significant number of IDF equations with c > 1 are available for engineering applications, without comments on their limits of validity. Why this gap between theory and practice? The main bridge between theory and practice is engineering textbooks. We researched several classical hydrological textbooks in the English and Portuguese language (without citation here), and none of them emphasize the limits of validity of the general IDF equation. The classical method for building IDF equations is still in practice, which builds DDF-inconsistent equations. There is a final point concerning IDF curves. If the empirical fitting of observed rainfall intensities and durations yields equations that look good but are DDF-inconsistent, then it plausible to assume the same occurs in empirical IDF curves. Only by the integration of IDF curves will guarantee that these curves are DDF-consistent. This question remains to be answered in future studies. Supplementary Materials: The following are available online at http://www.mdpi.com/2073-4441/12/10/2730/s1, Table S1: Rainfall intensity-duration-frequency (IDF) Brasil with c > 1; Table S2: Rainfall intensity-duration- frequency (IDF) Mexico with c > 1, and Table S3: Rainfall intensity-duration-frequency (IDF) India with c > 1. Author Contributions: Conceptualization, methodology, formal analysis, and writing—original draft preparation, J.N.B.C., T.M.d.C.S., and F.d.A.d.S.F.; investigation, J.N.B.C, T.M.d.C.S., F.d.A.d.S.F., and V.C.P.; writing—review and editing, supervision: J.N.B.C., T.M.d.C.S., and F.d.A.d.S.F. All authors have read and agreed to the published version of the manuscript. Funding: The work of the first author was supported by grant from the Conselho Nacional de Desenvolvimento Científico e Tecnológico—Brasil (CNPq) (n. 303658/2013-4). For the second and third authors it was funded by Conselho Nacional de Desenvolvimento Científico e Tecnológico—Brasil (CNPq)—Research Project SHAE-SF (NEXUS): Segurança Hídrica, Alimentar e Energética na Bacia Estendida do Rio São Francisco (n. 441457/2017-7), by Coordenação de Aperfeiçoamento de Pessoal de Nível Superior—Brasil (CAPES)—Research Project: Impactos das Mudanças Climáticas em Extremos Hidrológicos (Secas e Cheias) (n. 23038.003964/2016-53) and by grants http://www.mdpi.com/2073-4441/12/10/2730/s1 Water 2020, 12, 2730 10 of 11 from the Conselho Nacional de Desenvolvimento Científico e Tecnológico—Brasil (CNPq) and Fundação Cearense de Apoio ao Desenvolvimento Científico e Tecnológico (FUNCAP). Conflicts of Interest: The authors declare no conflict of interest. References 1. Grimaldi, S.; Petroselli, A. Avons-nous encore besoin de la formule rationnelle? 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Introduction Methods The Rational Method Rainfall Intensity–Duration–Frequency Relationship The Partial-Area Effect Critical Rainfall Duration for a Given ID Equation in Rational Method Conceptual Framework Results and Discussions On the Consistency of IDF Equation and the Partial-Area Effect The Inexistence of Partial-Area Effect for Any IDF Relationship IDF Equations with c > 1 in Different Regions of the World The IDF Equations with c > 1 in Brazil IDF Equations in Mexico IDF Equations in India IDF Equations in Indiana (USA) The IDF and DDF Curves Conclusions References 
work_4qlipghcujfjnoycs4f6siid74	----	ROP volume 65 issue 4 Cover and Front matter THE REVIEW OF POLITICS Bin Laden as a Civilizational Revolutionary Robert S. Snyder Vietnam: Johnson's of Eisenhower's War? Edward Cuddy The Intention of Cicero's De Officiis Douglas Kries Marsiglio on Civil Life and Private Advantage Cary f. Nederman Review Essays: Coming to Terms with Slavery with David Brion Davis Jean Bethke Elshtain Disagreement Among Constitutional Theorists Kenneth D. Ward Book reviewers include— Russell Hittinger on Hadley Arkes Shaun Young on George Klosko Keir Lieber on Maja Zehfuss J. Budziszewski on Peter Lawler Fall, 2003 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 90 48 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500039048 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS Editor WALTER NICGORSKI Managing Editor DENNIS WM MORAN Book Review Editor PETER R. MOODY, JR. Assistant Book Review Editor James Paul Old Editorial Intern: Tim Dale Associate Editors Fred R. Dallmayr E. A. Goerner Thomas Werge Philip Gleason Alasdair Maclntyre Catherine Zuckert Former Editors Waldemar Gurian M. A. Fitzsimons Frederick J. Crosson Thomas Stritch Donald P. Kommers Editorial Advisory Board Henry J. Abraham Mary Nichols University of Virginia Fordham University Charles W. Anderson Doris Marie Provine University of Wisconsin-Madison Arizona State University Shlomo Avineri Bruce M. Russett Hebrew University of Jerusalem Yale University Jean Bethke Elshtain Arlene Saxonhouse University of Chicago University of Michigan James T. Kloppenberg Steven B. Smith Harvard University Yale University Arend Lijphart Kenneth W. Thompson University of University of Virginia California-San Diego Glenn Tinder Harvey C. Mansfield University of Massachusetts- Harvard University Boston Wilson Carey Me Williams Jean M. Yarbrough Rutgers University Bowdoin College Administrative Assistant: Nancy Benjamin Production Managers: Andrea Laffey, Jonathan T. Morgan THE REVIEW OF POLITICS, without neglecting the analysis of institutions and techniques, is primarily interested in the philosophical and historical approach to politics. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 90 48 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500039048 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS Published Quarterly by the University of Notre Dame, Indiana Vol. 65 Fall 2003 No. 4 Robert S. Snyder Hating America: Bin Laden as a Civilizational Revolutionary 325 Edward Cuddy Vietnam: Mr. Johnson's War —Or Mr. Eisenhower's? 351 Douglas Kries On the Intention of Cicero's De Offwiis 375 Cary J. Nederman Community and Self-interest: Marsiglio of Padua on Civil Life and Private Advantage 395 Review Essays Jean Bethke Elshtain Coming to Terms with Slavery: David Brion Davis Sums Up 417 Kenneth D. Ward: The Politics of Disagreement: Recent Work in Constitutional Theory 425 Reviews: Russell Hittinger: NOT LEAVING WELL ENOUGH ALONE Review of Hadley Arkes's Natural Rights and the Right to Choose 441 Kevin R. den Dulk: DAMNED IF YOU DO, DAMNED IF YOU DON'T Review of Stephen P. Brown's Trumping Religion: The New Christian Right, the Free Speech Clause, and the Courts 443 Alain Epp Weaver: CONVERGENCE AND TENSION Review of William Werpehowski's American Protestant Ethics and the Legacy of H. Richard Niebuhr 445 Randall C. Zachman: FAITH AND SCIENCE Review of Daniel J. Price's Karl Barth 's Anthropology in Light of Modern Thought 447 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 90 48 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500039048 https://www.cambridge.org/core https://www.cambridge.org/core/terms Steven G. Affeldt: THE POLITICAL EMERSON Review of Peter S. Field's Ralph Waldo Emerson: The Making of a Democratic Intellectual 450 Geoffrey C. Bowden: SAME BED, DIFFERENT DREAMS? Review of Nathan W. Schlueter's One Dream or Two?: Justice in America and in the Thought of Martin Luther King Jr. 452 Paul V. Murphy: PERFORMATIVE NATIONALISM Review of Amy Bass's Not the Triumph but the Struggle: The 1968 Olympics and the Making of the Black Athlete 455 Shaun P. Young: HOW TO GET THERE Review of George Klosko's Jacobins and Utopians: The Political Theory of Fundamental Moral Reform 457 Christopher Colmo: EXILE OR TRANSCENDENCE? Review of Ramona A. Naddaff's Exiling the Poets: The Production of Censorship in Plato's Republic 460 Ian S. Spears: THERE WERE NO ANGELS Review of Mahmood Mamdani's When Victims Become Killers: Colonialism, Nativism, and the Genocide in Rwanda . . . 462 Kimberly Katz: WHY DO THEY HATE US? Review of Douglas Little's American Orientalism: The United States and the Middle East Since 1945 463 Keir A. Lieber: INSUFFICIENTLY UNREALISTIC Review of Maja Zehfuss's Constructivism in International Relations: The Politics of Reality 466 John Kenneth White: TOO MUCH OF A DEAD END Review of David R. Mayhew's Electoral Realignments: A Critique of an American Genre 469 J. Budziszewski: STRANGER THAN EVER Review of Peter Augustine Lawler's Aliens in America: The Strange Truth About Our Souls 471 Kevin Smant: PALEOCONSERVATIVES Review of Joseph Scotchie's Revolt From the Heartland: The Struggle for an Authentic Conservatism 473 J. Jackson Barlow: THE MAN BEHIND THE CURTAIN Review of Ranjit Dighe's The Historian's Wizard of Oz: Reading L. Frank Baum s Classic as a Political and Monetary Allegory and Katharine M. Rogers's L. Frank Baum: Creator of Oz 475 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 90 48 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500039048 https://www.cambridge.org/core https://www.cambridge.org/core/terms Contributors To This Issue ROBERT S. SNYDER is Associate Professor of Political Science in Southwestern University. EDWARD CUDDY is Professor of History in Daemen College (formerly Rosary College). DOUGLAS KRIES is Associate Professor of Philosophy and Director of Catholic Studies in Gonzaga University. CARY J. NEDERMAN is Professor and Director of Graduate Studies of Political Science in Texas A&M University, College Station. KENNETH D. WARD is Assistant Professor of Political Science in Southwest Texas State University. JEAN BETHKE ELSHTAIN is Laura Spellman Rockefeller Professor of Social and Political Ethics in the University of Chicago Divinity School. RUSSELL HITTINGER is the William K. Warren Pro- fessor of Catholic Studies in the University of Tulsa. KEVIN R. DEN DULK is a member of the political science department in Grand Valley State University. ALAIN EPP WEAVER is Country Representative for the Mennonite Central Committee in the occupied Palestinian territories. RANDALL C. ZACHMAN is Associate Professor of Reformation Studies in the Department of Theology in the University of Notre Dame. STEVEN G. AFFELDT is Assistant Professor in Notre Dame's Program of Liberal Studies. GEOFFREY C. BOWDEN is Adjunct Assistant Professor of Political Science at Notre Dame. PAUL V. MURPHY is Assistant Professor of History in Grand Valley State University. SHAUN P. YOUNG is author of Be- yond Rawls (2002) and Senior Policy Adviser for the City of Toronto. CHRISTOPHER COLMO teaches political science in Dominican University. IAN S. SPEARS is Assistant Profes- sor of Political Science in the University of Guelph. KIM- BERLY KATZ is Assistant Professor of History in Towson University. KEIR A. LIEBER is Assistant Professor of Politi- cal Science in the University of Notre Dame. JOHN KENNETH WHITE is Professor of Politics in The Catholic University of h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 90 48 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500039048 https://www.cambridge.org/core https://www.cambridge.org/core/terms America. J. BUDZISZEWSKI is Professor of Government and Philosophy in the University of Texas at Austin. KEVIN SMANT is a member of the history department in Indiana Uni- versity South Bend. J. JACKSON BARLOW is Professor and Chair of the Department of Politics in Juniata College. Correction: CATHERINE CONNORS is a doctoral student of political science in the University of Toronto; she was wrongly identified in the Sum- mer issue. We apologize for our mistake. 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Abstracts, subscription, advertising and submission information can also be found on our World Wide Web Homepage at http://www.nd.edu/~rop. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 90 48 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500039048 https://www.cambridge.org/core https://www.cambridge.org/core/terms 
work_5thkvyanibhkpnbrfio7e5h5y4	----	1259 I N T E R S T A T E C0IA3RCF COtfl'lSSirK R E P O R T OF THE D I R E C T O R CF THE B U R E A U OF SAFETY I IT RE I N V E S T I G A T I O N OF AE" A C C I D E N T 7HICH OCOUFFED ON THE CHICAGO, SOUTH SFORE AND SOTjTH E E F D P A I L R O A D N E A R G A R Y , I N D . , ON A P R I L 10, 1926. May 12, 1926. To the Corinission: On April 10, 1926, triers was a head-end collicion between two passenger trains on the Cmcago, South Snore and South Bend Railroad near Gary, Ind., which resulted m t_ie death of 1 passenger, and tne injury of 11 passengers and 4 employees. Location and method of operation This railroad is an electric line extending between Kensington, 111., and South Bend, Ind., a distance of 75.6 riles. The Western Division, on iihich tnis accident oc­ curred, covers that portion of the ror.d between Kensington and Gary, Ind., ?nd *s a double-track line over wnicii trains are operated by tiire-table â id tram oraers. At one point where the accident occurred, about 4 > lies west of Gary, there is a bridge over the ^^acks of the Elgin, Joliet and Eastern Rnilroad, there being a gauntlet trrck across this bridge and also on zhe approaches leading to the bridge, the length of this gauntlet track is 1,474 feet. Thip section of gauntlet track is protected by automatic signals oi the color-light type wnich display either red or green indications for stop or proceed, respectively. The bridge is 110 feet m length. Approaching from the east there is a signal governing westbound movements located G70 feet fron the beginning cf the gauntlet trade, followed by 642 feet of gauntlet track extending to the eastern end of the bridge. Approaching from the west there is a signcl 688 feet fron the beginning of the gauntlet track, followed by 732 feex of gauntlet track ex­ tending to the western end of the bridge. The control circait of the westbound signal begins at a point 1,316 feet west of the eastbound signal, co that when the track between tnis point and tho westbound signal is occupied the westbound Fignal displays a stop indication. The control of the eastbound signal beginc at the insulated joints located at the westbound signal, and a train occupying -2- thc track "between these sign-Is crueec both signrls to cfis- plcy stop indications In otner v^rls, tiere is s trrck circuit extending v'2AT cf the eastboand si ;ual wnieh arfectf only the lndicr-nion of the icstbotiid ^igna^1 , umls T_t~rc is another trrck circuit betv>ef;n tne two B I ^ T . ^ I T \ uicli is common to botn of the signals. Tne signpl involved in the accident \,as TI.e one governing enc T I O V E N C N ; of westeour.d tic 1 M ove-" the gauntlet track, end the point of accident wr? on the ersteri p-opropen to Lh^ bridge, 216 fe~;I, iro.. the eastern end of cne gauntlc t trrck, ApororcninL_ the point 01 accident fro " the east t.II, tr->ck is tongent for distance of ^99.1 feco; rpprofcrn.y- fron the r,c^ thorp : s ^ 5° curve -co che left 1,CC0 j.ect m length, jeyend r.ich uomt t.i1 tr^ck is tangent to tht, point of rccment, - distance of 2,247 icet. The track is level in 3.„c~± direction for a con- ndcrcble distance except fcr TIK a :>oroacnc Q a» oacn end of tne bridge, which are ab^et 1,2C0 feet m lengtn and are on ascending grades 01 2.5 ncr cent. The weather was clear pt tne ti:IE of the accident, wmon occuried at aoout 12.02 ai.r. Description Eastbound second-class passenger train hTo. 63 con­ sisted of motor car 9, of eteel-^nde^na^e constiuctior., end v.rs in enprge of Conductor Landis and rotorrar; Tibbius. It left Kensington at 11.30 a.a,, passed Gcluret 2.37 riles vest of the -point of accident and tne last open office, at 11.58 a.m., on ti^e, received a clear indication at the sign-1 governing en stbound rrcvê er.ts over the untiet track passed over the bridge and w? 3 descending the ^rade on tne eastern side of the bridge vhen it collided witn tram JTo > 64. Westbound seccnd-clpss passenger trnn " 0 . 64 con­ sisted of motor car 6, ^f steal-underfraoe construction, pud trailer 111, of v.oodcn construe tion, the tram being m charge of Conductor Dcbbert and I otorran KJ.1. It left Cary at 11.35 a.i: . , on ti,.e, rjeeived a eloar indication at tne wontbeund signal "no waa .ascending the grpde leedmg to the bridge '_ic.i it colliaed vitn t m n , So. At the tine of the accident the speed of each of tne trains involv­ ed V3F estimated to nave been obout 15 miles an hour. -3- 2£:ttor car 9 telescoped tne ne, d e n d of the first ce?r in trmn No. 64 for a distance of rbout 5 feet, but ncitner of the cars wra derailed. Fne broke o u t in the wreckage end ooth of these cors were destroyed. Tne recoiic" car m train No. 64 was only slightly damaged, IT; WIG cut off iron chc\car ahead of it in time to prevent its destruction by fire. Summary of evidence Motor\an Kull, of tram To. 64, said tnat on reach­ ing the tangeib track approoc.iin; tne point of O c c i d e n t ne sri. a green indication displayed by the westbound signal, indicating tnat the gauntlet trrck was clear, r n d ne said this signal was still displaying a green indication when nis n a m nassed it. He L I P do a service application of the brakes end estinated thac his tram entered tne gaanxlet track at a speed cf about 15 ^iles an hour. T>rhen xne c^r w a s about halfway up tne incline ne saw the head end of tram No. 63 as it core across the bridge and at once ap~ plied the air b re Ice 3 m emergency, and ne said h e felt: so sure that tho cars were going to stop tnat he did nox make any attempt to get out of the rotorman's vestibalo. Conductor Dabbert, of ore in No. 64, said an air­ brake application was made as the :ram approached xne west- bound signal and thac t n e speed wps about 35 ^iles an nour wnen the signal was passed. As tne train was escendmg tne grade leading to the bridge ne felt an emergency applica­ tion of tne air brakes nnd he estimated that tne trr*m traveled a distance of about twe car-lengths oefore the collision occurred. After assisting passengers, he went back to a telephone booth to talk with the dispatcher and s s he passed the westbound signal ne noted thax it was not displaying £?n indication of any kind. Upon leaving the booth, nowever, he again looked at the signal and he said it was tnen displaying a stop mdication. It farther appeared from the statements oi Conductor Dabbcrt that he had been over this gauntlet track earlier m tne day on trains N O G. 46, 53, ?nd 59, and that on none of tnesc occa­ sions was the tram brought, to a stop nor w a s anytnmg said to hira by xhe mctorman to mdicete that chore h a d been anything wrong witn the operation of tne signals. R. C. Iseminger, collector on tram No. b4, was riding in the first car of tne tram at tne tune of Zi.c accident. He said he felt a service application of the a n brakes e t about tne time the tram was passing tne westbound signal , moving at a speed of about 2 0 pales en . l o u r , and tic re wra another application just before tne accident occurred. Irr- - 4 - mediately after t r i o occurrence of tho accident he went back xo the telephone ^octh to notify the dispatcher of the occurrence of t h e accident and at that time noticed that no signal indication of any kind was being displayed by the v?esAbound signal, later ho observed that the signal was displaying a stop indication. /Kotorman Tibbits, of train No. 63, said the east­ bound signrl v/aa displaying a proceed indication, that his cram passed the signal at a speed of about 25 miles an hour and entered on the bridge at a speed of 25 or 30 miles an hour. he th«-n observed train Wo- 64 entering the opposite end of the gauntlet trach ond at once ap­ plied th.? air b""aire3 m emerr3enc3r, craned the sanders and reversed the motor, he said the emergency Application was made when his tram was at the eastern end cf tne bridge and estimated that I D S doeed had b:en reduced to 10 or 12 miles an hour by tno tine the accident occurred. Motorman Tibbits further sT,c ted that he hsd operated trams through this gaun+let track on several occasions on the day of the accident and that tne signals had been working properly at all times. Conductor Landis, of tram No. 63, said, his train was about halfway between tho eastern end of the bridge and the eastern end 01 tho gauntlet track when he felo what he thought was a service application of the air brakes fol­ lowed by the reversing of the motor, the collision oc­ curring immediately afterwards, at which time the speed of his train res about 15 miles an hour. The statements of Colleoior Kroenigj also of train Ko. 63, brougnt out nothing additional of importance. A consideration of the distances, speeds, and signal control circuits indicated clearly that tram No. 63 was on the ccntrol circuit of the westbound signal before tram ITo. 64 reached that point, but that for some reason the signal failed to display a s"cop indication. General Superintendent Gray, who reached the scene of the accident less than half an hour after its occurrence, expressed the opinion that the westbound signal haa displayed the various indications testified to by the employees, i.e., proceed when it was approached and passed by train Ko. 64, not burning when first ooserved shortly after the occurrence of tne accident, and stop when observed at a later time. This condition, he said, was probably due to a defective relay and the tests of the relay witnessed by him since that time confirmed this opinion. -5- The signal mstaJ lation at this point was pieced in service in 1911, rnd on April 7, 1926, revised line and "crack clients ^ere placed ir. s e i v i c e , As at present ar­ ranged tnr rignals operate m t ̂e following manner. An eastbound train on re,-chinj tne approach overlap section controlling the .vestbound sir nil shunts out the vanes fre­ quency relay, *hich opens fchw control circait of the line relay at the westbound signal , causing that signal to dis­ play a stop indication. Tffcnen the tram leaves the ap­ proach section the centrifugal freouency track relay is shunted out, noldmg open the control circuit for the line _relay at the westbound Lionel ami also changing the indication of the eastbound signal from proceed to stop A westbound tra^n shants out tne centrifugal freauency re­ lay governing the track between ohe two signals, causing both of tnem to display storj indications. Ths line relay TTBS removed from the westbound signal on the day following the accident and subjected to a seriec of tests. It was found tnat wncn energy was first appliec to the operating coils tne relay would pick up and drop away m the usual manner, but after the relay had been en­ ergized for a -oeriod of five or r»cre minutes it would re­ main m the energized position after the operating ener­ gy had been removed, the front contacts remaining closed and causing a proceed indication to be displayed for a period of several minutes. TlLien tne operating energy was first removed the vane woulu recede slowly from its uppermost nositicn until after & considerable period of time it would finally return to its normal stop position. Tne nore frequently the relay ^ras energized tne longer it would remain m tne clear position after the operating energy nad been removed, in fact, after one extended series of tests this condition remained for more tnan one hour and still existed when tne tests for that da/ were con­ cluded. It was elso found tuat tapping the housing or jarring the xelay lightly seemed to have no efiect. The relay operated properly at tirî e out m all of the tests in which it failed to operate properly it was noted that it would remain m the proceed position for \ short time or until the vane nad dropped iar enough to open cht front contacts. Theie would tnen be an interval wnen che vane k/ould be m a neutral sone and not permit of the displaying of a ny indication, and finally the vane ^oula drop low enough to close the back contacts and cause tne display of a stop indication. This operation of the relay was in entire conformity with the various indications of the signal observed by che employees immediately preceding and following the occunence of the accident. Tnis relay was identiiied as one which had been o/erhanled oy em­ ployees of the company since January of this year, but no opinion can be expressed as to its condition whon it was again installed, and the reason for its uncertain -c- Director perfornance on :h^ da/ w± tne aco^dunt and a3 so during the tests Wiiicii bt!i3 ct oer^aids inducted van not aeimite ly asccrtaixrd. Conclusions This accident was caused a frl^e clear signal indication, due to a deloc L^ve relay. ^Tho evidence disclosed thai th° lire relay at the irestbound signal vas iii detective ~di nicr, c s a result of wrucn the raiay wojld nold tie pigio.1 in rhj proceed position for an vid^f xn_te period of ci^e u" i r r one re­ moval ot tic opera tinenergy. Tnere \ , t u tnen be an internal dun in; wi iu: it \ou]d be ^n a re_t~al position resulting in no signal indention bem^ 01 splayed, and finally c bach ceramets wouJd be closed ana cause the signal governed Dy tne raluy to assume tho stop position. Under tho s p e c D ^ ] matiuccionj contained m tne time table the apeed of Grams ovor this g^untior track is restrict d ^o nil^s J P nour. Th^ cvid&jco maicated that neither of the notoimeu invc-\cd ni this accident was obee t ̂ m-. tr__s rule. Hud t ^ rule beo.i observed it is bellow a. una tiiiis could have been brought to a stop before tne acoidcut occurred. Had an adequate system of automatic cram control been m use tn~- s accident would not have occurred. Tha Gnployees involved -vere exoenerced men; at the time of tne accident tnay had been on duty about 7 hours, aftei 15 hours or ">ore off dity. Respectfully subrcitted, W p. BORLAND. 
work_6ve23m7tkzdcpjhzdqauqjquni	----	The Access Technology Program of the Indiana Clinical Translational Sciences Institute (CTSI): A model to facilitate access to cutting-edge technologies across a state Journal of Clinical and Translational Science www.cambridge.org/cts Research Methods and Technology Research Article Cite this article: Orschell CM, Skaar TC, DeFord ME, Ybe J, Driscol J, Drury C, Reeves L, Willis MS, Reiter JL, York J, Orr R, McClintick JN, Sors TG, Hunt J, Cornetta K, and Shekhar A. The Access Technology Program of the Indiana Clinical Translational Sciences Institute (CTSI): A model to facilitate access to cutting-edge technologies across a state. Journal of Clinical and Translational Science 5: e33, 1–8. doi: 10.1017/cts.2020.525 Received: 2 April 2020 Revised: 31 July 2020 Accepted: 12 August 2020 Keywords: Translational research; technology; CTSI; core facilities; pilot funding Address for correspondence: C. M. Orschell, PhD, 980 W. Walnut St., R3-C341, Indianapolis, IN 46202-5188, USA. Email: corschel@iu.edu © The Association for Clinical and Translational Science 2020. This is an Open Access article, distributed under the terms of the Creative Commons Attribution licence (http:// creativecommons.org/licenses/by/4.0/), which permits unrestricted re-use, distribution, and reproduction in any medium, provided the original work is properly cited. The Access Technology Program of the Indiana Clinical Translational Sciences Institute (CTSI): A model to facilitate access to cutting-edge technologies across a state Christie M. Orschell1,2, Todd C. Skaar1,2, Melanie E. DeFord3, Joel Ybe4, Julie Driscol5, Christine Drury6, Lilith Reeves2,7, Monte S. Willis8, Jill L. Reiter2,7, Jenna York2, Rob Orr2, Jeanette N. McClintick2,9, Thomas G. Sors10, Joe Hunt11, Kenneth Cornetta2,7 and Anantha Shekhar12 1Department of Medicine, Indiana University School of Medicine, Indianapolis, IN, USA; 2Indiana CTSI Access Technology Program, Indiana University School of Medicine, Indianapolis, IN, USA; 3Notre Dame Research and Indiana CTSI Access Technology Program, University of Notre Dame, Notre Dame, IN, USA; 4Office of the Vice Provost for Research and Indiana CTSI Access Technology Program, Indiana University School of Public Health, Bloomington, IN, USA; 5Indiana CTSI Translational Research Development Program, Indiana University School of Medicine, Indianapolis, IN, USA; 6Indiana CTSI Research Communications, Indiana University School of Medicine, Indianapolis, IN, USA; 7Department of Medical and Molecular Genetics, Indiana University School of Medicine, Indianapolis, IN, USA; 8Department of Pathology and Laboratory Medicine, Indiana University School of Medicine, Indianapolis, IN, USA; 9Department of Biochemistry and Molecular Biology, Indiana University School of Medicine, Indianapolis, IN, USA; 10Institute of Inflammation, Immunology and Infectious Disease and Indiana CTSI Access Technology Program, Purdue University, West Lafayette, IN, USA; 11Indiana CTSI Tracking and Evaluation Program, Indiana University School of Medicine, Indianapolis, IN, USA and 12Indiana CTSI, Indiana University School of Medicine, Indianapolis, IN, USA Abstract Introduction: Access to cutting-edge technologies is essential for investigators to advance trans- lational research. The Indiana Clinical and Translational Sciences Institute (CTSI) spans three major and preeminent universities, four large academic campuses across the state of Indiana, and is mandate to provide best practices to a whole state. Methods: To address the need to facili- tate the availability of innovative technologies to its investigators, the Indiana CTSI imple- mented the Access Technology Program (ATP). The activities of the ATP, or any program of the Indiana CTSI, are challenged to connect technologies and investigators on the multiple Indiana CTSI campuses by the geographical distances between campuses (1–4 hr driving time). Results: Herein, we describe the initiatives developed by the ATP to increase the availability of state-of-the-art technologies to its investigators on all Indiana CTSI campuses, and the methods developed by the ATP to bridge the distance between campuses, technologies, and investigators for the advancement of clinical translational research. Conclusions: The methods and practices described in this publication may inform other approaches to enhance translational research, dissemination, and usage of innovative technologies by translational investigators, especially when distance or multi-campus cultural differences are factors to efficient application. Introduction The Indiana Clinical and Translational Sciences Institute (CTSI) is uniquely conceived in that it serves the state’s research centers. The Indiana CTSI is a partnership among Indiana University, Purdue University, and the University of Notre Dame, combining the expertise of three large and preeminent research universities on four large research campuses. The Indiana CTSI is designed to bring together the state’s brightest minds to solve Indiana’s most pressing health challenges through research, education, and workforce development. The Indiana CTSI achieves its mission through its various programs, one of which is the Access Technology Program (ATP), the focus of this communication. The overall goal of the ATP is to improve the impact and competitiveness of investigator research by integrating innovative technologies into research studies. The ATP encourages investigators to incorporate novel technologies into their research program and to assist those already using these technologies by improving the quality of core services. While the benefits of combining the expertise of three large research universities with four large research campuses across the state may seem obvious, the challenges presented are not easily overcome. In this paper, we share some insights we have gained to overcome these hurdles and consistently deliver access to cutting-edge technology across the state in order to conduct high-quality research for https://www.cambridge.org/core/terms. https://doi.org/10.1017/cts.2020.525 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 02:12:26, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/cts https://doi.org/10.1017/cts.2020.525 mailto:corschel@iu.edu http://creativecommons.org/licenses/by/4.0/ http://creativecommons.org/licenses/by/4.0/ https://www.cambridge.org/core/terms https://doi.org/10.1017/cts.2020.525 https://www.cambridge.org/core the benefit of Indiana’s citizens, the nation, and beyond. Challenges and solutions are presented in their respective sections. Mission of the ATP The mission of the ATP was formulated with three related but distinct programs, as shown in Fig. 1. Each of these programs and initiatives is discussed in detail in the following sections. Methods and Results Core Pilot Program While novel technologies can enhance the significance of a research program, the Indiana CTSI recognized the challenge that investigators may lack the funds to generate sufficient preliminary data for grant applications. Responding to requests for additional data for submitted grants can also pose specialized research tech- nology challenges. Our solution to these challenges was to develop the Core Pilot program, which is a competitive, investigator- initiated program that provides up to $10,000 for core services at any Indiana CTSI-Designated core. The program was initially started as a yearly competition, funding approximately 25 awards per year. In 2011, review sessions were increased to semi-annually at the suggestion of investigators. Selection of awards is based on a multi-institutional review committee that fosters interactions among the campuses. In addition to the scientific merit of the proposal, Core Pilot funding is awarded based on the following cri- teria: (i) obtaining critical preliminary data for grant applications; (ii) developing a new reagent or resource; (iii) testing a new idea or new line of research; or (iv) assisting in the development of intel- lectual property. The potential impact on future grant applications and intellectual property are key review criteria. Core Pilot grants are not intended to independently support the development of new core technologies; however, if that is part of the needs of investigators, development projects can be included in the Core Pilot applications. The Core Pilot competition became highly popular and com- petitive, and the semi-annual review now evaluates between 60 and 90 applications per cycle. As part of the application, the appli- cant must include a signed letter by the core director(s) attesting to the work discussion, the ability of the core to perform the work, and the accuracy of the budget. This assures feasibility of the project and promotes interactions with the core experts and helps to raise awareness for the cores on each campus. The 2-page appli- cations are reviewed in a National Institutes of Health (NIH)-style review by reviewers (two per application) recruited from across the three Indiana CTSI institutions based on the expertise needed for evaluating the applications. Awardees and non-awardees alike receive extensive feedback from the reviews that serves as a guide not only for any resubmissions, but also for the external funding submission following the project completion. Investigators receiv- ing awards must provide progress reports, including information of publications and grant applications while conducting the project and for 5 years following the completion of the funding. Progress reports from the Core Pilots funded between 2009 and 2019 indicated that these projects contributed to the publication of 220 peer-reviewed publications and 225 funded grants totaling over $248 million. Table 1, which displays the breakdown of fund- ing sources by application and award amount, shows that the majority of applications (58%) were to the NIH. Of the NIH awards, 44% (50 of 114 awards) represented nearly $67 million and were awarded to Assistant Professors. The 220 publications by Core Pilot awardees have been cited over 1900 times with a mean citation rate of 8.7 citations per publication and a median of 5 citations. The mean relative citation ratio (RCR) for publica- tions with an RCR value was 1.24 indicating a higher than NIH average citation ratio. The research reported in these publications span the translational stages with average iCITE translation scores Fig. 1. The three distinct programs of the Access Technology Program (ATP). 2 Orschell et al. https://www.cambridge.org/core/terms. https://doi.org/10.1017/cts.2020.525 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 02:12:26, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/cts.2020.525 https://www.cambridge.org/core of human-based research (0.19), animal-based (0.32), and molecu- lar/cellular (0.47) (Fig. 2). Funds awarded through the Core Pilot program can only be uti- lized in Indiana CTSI-Designated core facilities. To be an Indiana CTSI-Designated core requires the facility to meet benchmarks on services, user satisfaction, and transparency on cost and authorship issues (see Core Oversight program). Given the large number of core facilities within the 4 large university campuses (currently more than 60), the Core Pilot program facilitates Indiana CTSI support of cores through a mechanism that is investigator driven and vetted for scientific merit. Peer review of applications also provides an important training ground for young investigators, addressing the education mission of the Indiana CTSI. In this initiative, first-time reviewers are paired with more senior reviewers to help provide balanced reviews. New reviewers frequently end up submitting applications the following round. The program also recently added an educa- tional and service opportunity for outstanding postdoctoral fellows to serve as reviewers (see Postdoctoral Challenge). One of the greatest challenges is recruiting enough reviewers with the appropriate expertise and no conflicts of interest to pro- vide informed reviews and appropriate scores. Over 150 applica- tions are received per year covering a wide range of translational research topics, which in turn, requires a wide variety of reviewer expertise. Reviewers have been selected by Indiana CTSI staff and the Core Pilot Chair and recruited for each cycle independently. We are now experimenting with a new approach by engaging the Indiana CTSI-Designated core directors to recommend faculty who could serve on a standing review committee, based on pre- vious core usage and expertise, and have selected additional reviewers to fill gaps in expertise. Core Equipment Program In addition to providing funding via the Core Pilot program, the CTSI manages a Core Equipment program for the Indiana University (IU) School of Medicine. This program aims to further maximize the impact of our cores by providing funding to pur- chase equipment that will either establish a new scientific capabil- ity, expand access to more investigators, or replace existing outdated or unreliable instruments. Cores must be Indiana CTSI-Designated cores (see Core Oversight program) to be eligible for Core Equipment Grants. To date, the IU School of Medicine is the only campus that has allocated funds to this program. The Core Equipment program provides an opportunity for the IU School of Medicine Indiana CTSI-Designated core directors to request support for the purchase of equipment and/or software. The goal is to enhance the research environment and contribute to the research mission of the school and the Indiana CTSI by expanding existing services, or providing for new technology and services. Each year, one cycle of funding is offered with a total institutional investment of $100,000. This mechanism is for equip- ment that costs between $5000 and $100,000. The cores can request up to the total amount offered each year. Equipment with higher costs are allowable if they can secure the funding to cover the balance of the item’s cost. This funding can be used for any combination of core applications. Since 2010, approximately 30 equipment requests have been awarded. Annual progress reports for Core Equipment awardees include a list of investigators who Fig. 2. Analysis of the translational status of research reported. The graphic illus- trates the degree of the translational status of papers published by Core Pilot awar- dees from 2009 through December 2019 in the Indiana CTSI. Data were obtained using the iCite tool (https://icite.od.nih.gov/analysis) accessed July 17, 2020. Table 1. External grants data of core pilot awardees reported from 2009 through December 2019. Source Applications Awards Application amount Award amount Commercial 3 3 $1,829,999 $1,825,499 DoD 22 7 $37,222,709 $15,161,229 FDA 1 0 $600,000 $0 NIH 336 114 $476,854,558 $146,049,135 NSF 23 11 $15,044,922 $5,188,983 Private Foundations 161 75 $55,724,594 $27,084,143 State of Indiana 12 9 $2,125,768 $1,687,976 US Dept of Ed 1 0 $1,970,212 $0 US Dept of Energy 1 0 $750,646 $0 USAID 2 2 $200,000 $248,000 VA 14 6 $56,419,808 $51,400,000 Total 576 225 $648,743,216 $248,644,965 Journal of Clinical and Translational Science 3 https://www.cambridge.org/core/terms. https://doi.org/10.1017/cts.2020.525 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 02:12:26, subject to the Cambridge Core terms of use, available at https://icite.od.nih.gov/analysis https://www.cambridge.org/core/terms https://doi.org/10.1017/cts.2020.525 https://www.cambridge.org/core have used the new service/equipment, grant submissions and publications arising from data obtained from the new service/ equipment, and a list of the publications that cited the core. To enhance the research infrastructure on the Bloomington campus, the Indiana CTSI and the IU Bloomington Office of the Vice Provost for Research have coordinated to offer the Research Equipment Fund (REF). The aim of this funding mecha- nism is to support the purchase of critical equipment that increases the ability of researchers to secure extramural funding. To qualify, an applicant must be faculty on the IU Bloomington campus, but may include co-investigators at Indiana CTSI partner institutions. Up to $200,000 is available for two rounds per year (~$100,000 per round). To leverage departmental resources, there is a 50% match requirement from participating units. The infrastructure enabled by the ATP program of the Indiana CTSI also allows for the creation of joint multi-university high-end cores and equipment to further facilitate access to cutting-edge technologies. As an example, six major life science entities – Purdue University, IU School of Medicine, IU Bloomington, the University of Illinois at Urbana-Champaign, Eli Lilly and Co., and the Indiana Biosciences Research Institute – strategically formed a consortium to deepen our regional strength in structural biology and have acquired a second Krios Cryo-Transmission Electron Microscope for Cryo-electron microscopy (Cryo-EM) applications. The new microscope will be located in the Cryo- EM Facility (a CTSI-Designated facility) on the Purdue University campus in West Lafayette, where there is a nucleus of expertise in structural biology. The facility is also an NIH- designated site for the Midwest Consortium for High-Resolution Cryoelectron Microscopy. Together with the CryoEM expertise and capabilities at Indiana University, the consortium has already been making biomedical breakthroughs from Alzheimer’s tau pro- tein-aberrant structures to resolving the structure of the Zika virus. This partnership also acquired a Talos Artica single-particle CryoEM for the IU Bloomington campus to broaden access to the technology throughout the region. Cryo-EM technology is a “revolutionary technique for determining the 3D shape of proteins”, according to a recent editorial in Nature [1], which bombards flash-frozen solutions of biomolecules such as proteins with electrons to produce microscopic images of single molecules. Cryo-EM allows investigators to discover how proteins work and malfunction in diseases, in addition to lending information on how best to target these proteins with drugs in the future. By expanding the use of screening Cryo-EM outside of the Purdue hub, the Cryo-EM consortium optimizes the limited Krios Cryo-EM capacity with the continued high demand for this resource. In recent publications by IU faculty on Alzheimer’s tau proteins, screening in local EM Cores such as the IU School of Medicine has been essential to optimize the current central Purdue Cryo-EM resources. The consortium will continue to develop this pipeline throughout the state based on best practices for managing large Cryo-EM facilities [2]. The CryoEM consortium illustrates how the connections and collaborations resulting from the Indiana CTSI can fosterthecreationofauniqueresourcethatcanbenefitmanymoreinves- tigators that otherwise would have been challenging on a local level. Postdoctoral Challenge The Indiana CTSI Postdoctoral Challenge is a program intended to provide postdoctoral researchers with the opportunity to gain proposal development and peer review experience. Launched in October 2014, the program is designed to prepare postdoctoral investigators to be more effective translational researchers through the preparation of proposals that request they articulate a transla- tional strategy for their project through a competitive granting mechanism. In the Postdoctoral Challenge, investigators prepare proposals for $5000 to use the services of Indiana CTSI- Designated core facilities (see Core Oversight program). The Postdoctoral Challenge also addresses the Indiana CTSI’s education and workforce development mission by providing valuable training in grant writing and reviewing for postdoctoral investigators. In the Postdoctoral Challenge program, postdocs are also encouraged to participate as reviewers of these applications in review sessions with other peers, faculty, and Indiana CTSI staff from the participating Indiana CTSI institutions. The purpose is to give postdocs first-hand experience of a typical review session using NIH guidelines, scoring, and review criteria. Several months prior to the application submission deadline, postdocs have the opportunity to attend workshops focused on “Effective Grant Writing Techniques”, “Writing Translational Research Proposals”, and an “Overview of an NIH Review Session”. The workshops help postdoctoral investigators with proposal preparation and best practices, as well as covering the preparation of NIH biosketches, project budget, and reviewer guidelines. For most postdocs, this is their first opportunity to participate in a peer review session that provides them with an invaluable perspective of the review process and can help them improve the development of future proposals. As one participant noted: “This review process was very helpful for me to understand the limitation of my own project proposal that I did not realize while writing my proposal.” Exemplary postdocs that demonstrate an aptitude as reviewers are recommended to the Indiana CTSI administration to participate as reviewers for the Core Pilot program competition (see Core Pilot Program for details on this program) along with faculty reviewers. This provides the young investigators the opportunity to participate in a larger, NIH-type study section and meet new colleagues from across the Indiana CTSI campuses. It also helps them develop their grant writing expertise and learn to provide feedback on other applications. Investigational Agent Acquisition Program The fourth approach to facilitating research by the ATP was through the Investigational Agent Acquisition (IAA) program, which assists investigators with the acquisition of investigational agents (drugs, devices, and biologics) and with regulatory submis- sion. Members of the ATP along with the Regulatory Knowledge and Support (RKS) program and the Participant and Clinical Interactions Resources (PCIR) programs within the Indiana CTSI, combined efforts to identify suitable vendors, assist in nego- tiations, and even provide guidance if manufacturing was required. The IAA program has since been relocated within the Indiana CTSI to the Molecular Therapeutics program. Pan-Indiana CTSI Contracting Program The fifth means by which the ATP facilitates the availability of research tools across the state of Indiana is through the Pan- Indiana CTSI Contracting program. This program approached multiple technology vendors for preferred rates by combining the buying power of the three Indiana CTSI institutions. Key areas for saving included bioinformatics tool licenses and large-volume sequencing outsourcing. The ATP’s most popular pan-licenses to date have been for bioinformatics tools, namely Thomson Reuters’ MetaCore and QIAGEN’s Ingenuity Pathway Analysis (IPA) 4 Orschell et al. https://www.cambridge.org/core/terms. https://doi.org/10.1017/cts.2020.525 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 02:12:26, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/cts.2020.525 https://www.cambridge.org/core licenses. Both of these products enable an analysis of large omics datasets but are expensive, with the license costs prohibitive for most investigators. Given that investigators use these tools inter- mittently, Pan-Indiana CTSI licenses have saved investigators thousands of dollars annually in licensing costs, and facilitated interpretation of experimental results and publication of data. To implement this program, the Indiana CTSI negotiates a license for the products based on the expected number of users, then charges investigators for sub-licenses based on the number of subscribers. MetaCore was the first software with an Indiana CTSI-wide license and investigators were charged based on total annual usage. However, this model was cumbersome and not sus- tainable. With QIAGEN’s IPA, two smaller licenses were combined from Purdue and IU School of Medicine, which were both previ- ously charging a flat rate for the annual license. This model for the CSTI-wide IPA license has worked so well, it has now been extended to MetaCore. In both cases, the companies involved allow the Indiana CTSI to handle the creation and deletion of user accounts including trial licenses. The usage of MetaCore has waned over the years, but the IPA usage has continually risen to the current level of approximately 70 active users per quarter from 15 original users. In addition, users from Notre Dame and Indiana University Bloomington have now joined the IPA pan-license. For both MetaCore and IPA, the sharing of software has resulted in lower costs with more access. For example, each original IPA license allowed only one concurrent user, leading to frus- tration when the software was unavailable. Through the purchase of several multisite licenses, users from Indiana CTSI partner insti- tutions now have greater access to IPA, increasing user satisfaction. The Indiana CTSI also arranges free annual training sessions at three different locations to introduce new users to the IPA soft- ware. Training occurs about 6 weeks before the new licensing period, allowing potential users the opportunity to evaluate the software more thoroughly before committing to the purchase of a 1-year sublicense. It also allows labs with existing licenses to train new employees. The cost and frustration resulting from limited licenses has been eased for investigators through implementation of the Indiana CTSI-wide licenses. Specimen Storage Facility The ATP also identified two key facilities that were of size or importance to warrant central management. The Indiana CTSI Specimen Storage Facility (SSF, https://indianactsi.org/ researchers/services-tools/biospecimen-services/biomanagement/) currently occupies 5858 net square feet of space at the IU School of Medicine Indianapolis campus. The initial facility included a 1702 square foot room specifically designed with dedicated heating, ven- tilation, and air conditioning (HVAC) and a comprehensive alarm system to support 54 ultra-low-temperature freezers and a second 978 square foot liquid nitrogen room with an initial cryogenic (LN2) freezer capacity of 295,100 vials. This high usage facility houses a number of national and local biobanks allowing sample ownership and management to remain with the biobank managers. Today, the SSF continues to assist clinical investigators across multiple departments and throughout the Indiana CTSI partner institutions and includes investigators with large efforts such as the Indiana Biobank, IU Simon Cancer Center Tissue Bank, Komen Tissue Bank, Michael J. Fox Foundation, the NIH National Cell Repository for Alzheimer’s Disease, the National Heart, Lung, and Blood Institute (NHLBI) National Gene Vector Biorepository, Vector Production Facility, and the Cell and Gene Therapy Manufacturing Group. Most recently, the facility is banking COVID-19 research samples for genomics and cytokine analyses via a joint venture between the Indiana CTSI and the IU Grand Challenge Precision Health Initiative, which will make data available to any investigator conducting COVID-19 research. The facility is Standard Operating Procedure (SOP)-driven with an active quality oversight program in place that adheres to the International Society for Biological and Environmental Repositories (ISBER) [3] comprehensive list of best practice guidelines for biobanks. Although investigators were initially hesitant to pay for services that prior to the formation of the SSF were held within Principle Investigator (PI) labs, once they recognized the value the SSF was providing, the program became popular and continues to grow and expand today. The SSF has addressed the challenges of increased demand with creative solutions. Two expansion projects added 2300 square feet to the facility, increasing capacity to 110 ultra- low-temperature freezers and 17 liquid nitrogen freezers. Efforts are ongoing to improve inventory management strategies, develop standard practices and services for purchasing, and to implement a change of the SSF model to allow monitoring and maintaining freezers in all labs on the IU School of Medicine Indianapolis campus. Enhancements over the years have included a secondary/ redundant alarm system that added continuous temperature mon- itoring and increased sample safety, continuous improvements to operating procedures to meet evolving regulations and challenges, as well as a comprehensive freezer maintenance program, all with the goal to ensure the facility is utilized to its maximum potential. In addition, a Six Sigma process was recently initiated with the goal to optimize operations of the IU Bio-Repositories by providing oversight for the use, management, and integrity of biobank samples and data across their lifecycle, with a focus on supporting the IU School of Medicine mission and goals, providing value, min- imizing risk, and complying with applicable regulations. Clinical and Translational Support Laboratory (CTSL) The ATP also manages the Clinical and Translational Support Laboratory (CTSL), located at the IU School of Medicine Indianapolis campus in the Clinical Research Center of the Riley Hospital for Children at IU Health. The CTSL processes samples for many clinical trials conducted in the Indiana CTSI Clinical Research Center and throughout the campus. The CTSL developed a quality program with SOPs for laboratory management, equip- ment maintenance, sample processing, storage, and shipping in compliance with appropriate regulatory guidance. The ATP began processing samples in 2010 and processed 4755 samples that year and 6806 in 2011. The CTSL has grown and evolved over the past 10 years. While the original focus was to support clinical trials that were conducted in the Clinical Research Center located in IU Hospital, support now is extended to nearly every department within the IU School of Medicine. In 2018, the CTSL provided sup- port to 188 clinical trials that included industry and PI-initiated research conducted in IU Health University Hospital, Riley Hospital for Children, Eskenazi Health, Veteran Health Indiana, and IU Health Methodist Hospital, and Purdue University in addi- tion to collaborating facilities and other CTSI institutions around the nation. Tens of thousands of individual specimens are accessioned, processed, and shipped by the CTSL each year. Individualized sup- port, such as specimen collection/processing guidance, specimen label creation, assistance with monitor audits, site initiation visits, Journal of Clinical and Translational Science 5 https://www.cambridge.org/core/terms. https://doi.org/10.1017/cts.2020.525 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 02:12:26, subject to the Cambridge Core terms of use, available at https://indianactsi.org/researchers/services-tools/biospecimen-services/biomanagement/ https://indianactsi.org/researchers/services-tools/biospecimen-services/biomanagement/ https://www.cambridge.org/core/terms https://doi.org/10.1017/cts.2020.525 https://www.cambridge.org/core and documentation requests, is provided by the CTSL so that research coordinators and PIs can concentrate on other priorities. Utilization of standardized practices, while remaining flexible enough to meet protocol-specific requirements, enables the CTSL to provide quality and consistency for every protocol that passes through the lab. As protocol requirements evolved over time, the CTSL added services to meet the growing needs. Shipping services were added in 2014, peripheral blood mononuclear cell (PBMC) processing was added in 2016, and DNA extraction from whole blood was added as a new service in early 2019. Future projects include imple- menting a process for electronic data capture of critical processing and storage information, lab manual templates for Investigator- Initiated Trials, and enhanced quality control. Core Oversight Program Similar to other initiatives around the country [4–8], it was important that the Indiana CTSI develop a system to promote best practices and foster quality of core services for Indiana CTSI investigators. Given that the cores were geographically located on four campuses and administratively managed by individual school or departmental units, the challenge of implementing such a system was recognized. While managing the large number of cores in the three Indiana CTSI institutions was beyond the scope of the Indiana CTSI, the CTSI could play an important role in advancing quality of services, thereby bringing value to the core and the faculty that utilize core services. This was accomplished in the ATP through development of the Core Oversight program, a voluntary accreditation process whereby cores on any Indiana CTSI campus that meet rigorous qual- ity standards for scientific quality, pricing, operations, advisory committees, policies governing publication, payment and dispute resolution, user satisfaction, and reporting are granted “Indiana CTSI-Designated core” status. This designation lets researchers know that this core has policies, rates, an advisory committee, and survey results that have been reviewed by a committee representing all the Indiana CTSI partners, and gives researchers confidence that the operations and processes of the core are assessed and appropriate. The number of Indiana CTSI-Designated cores has grown by 30% since implementation of the program in 2010 (46 cores in 2010) to 60 Indiana CTSI-Designated cores in 2019. As mentioned earlier in this communication, Indiana CTSI-Designated cores are eligible for the Core Pilot and Core Equipment programs. Since the cores are collectively reviewed by ATP liaisons (described in the “Staying connected” section below) from all Indiana CTSI campuses, the Core Oversight program also provides the ATP with information on capabilities of the cores on the vari- ous campuses, which can be passed onto investigators at their home institutions. The core oversight and approval process also ensures uniformity of standards across multiple campuses. The core website (which is undergoing reconstruction for improved utility) allows researchers to choose from facilities across the cam- puses, giving them more options with lower costs rather than paying higher prices for services outside their institution. User surveys are examined for user satisfaction and any issues addressed as needed. Business Management Assistance Program (BMAP) The BMAP was developed at the suggestion of core directors to assist in implementing efficient business practices. The ATP partnered with the IU Kelley School of Business who pairs three to five MBA students with an Indiana CTSI core facility. Core selection is based on a yearly competition and the BMAP has assisted up to 8 cores per year [9,10]. Priority is given to proposals that will: (1) lead to improvements in organizational efficiency, speed of service, and/or quality; and (2) can potentially be extrapo- lated and benefit other cores, resources, programs, or units. The proposal must request and define a need for assistance in one or at most two of these areas: Project Management, Marketing, Financial management, and Resource Efficiency Management. Core directors reported that their experience in the BMAP led to improvements in core visibility and utilization, website develop- ment, marketing materials, training programs for core personnel, analysis of user satisfaction surveys, staff engagement, and an overall more favorable core environment. Financial Assistance To assist with financial management, the IU School of Medicine and the University of Notre Dame originally purchased the Vanderbilt University Core Ordering & Reporting Enterprise System (CORES) management program to manage ordering, invoicing, and track core services. The ATP was charged with assisting the various core facilities in implementing the software program. Agilent Technologies Inc. has recently acquired Vanderbilt CORES, which is being phased out and replaced by iLab Operations software. Purdue University uses iLab and the other three Indiana CTSI campuses are transitioning to iLab as well, which will provide new opportunities for cross-use of core facilities when all campuses are on the same system. Agilent will install the iLab system and provide web-based training for users. ATP Quality Assurance (QA) Program The ATP initiated an SOP-driven quality management program to monitor services, identify deficiencies, and implement corrective action when needed for the SSF and CTSL. This QA program reviews SOP-driven activities and conducts periodic QA audits. The ATP is also responsible for responding to findings during external audits. The ATP assigns tasks to the QA specialist, but to allow independence, the QA specialist is directed to report sig- nificant findings to the IU Office of Compliance. Staying Connected Adenosine triphosphate (ATP) is a complex organic chemical that provides energy to drive many processes in living cells, e.g., muscle contraction, nerve impulse propagation, and chemical synthesis. Found in all forms of life, ATP is often referred to as the “molecular unit of currency” of intracellular energy transfer. It is the high- energy molecule that stores the energy we need to do just about everything we do. Just as biologists view ATP as vital and being key to all we do, so is the ATP of the Indiana CTSI. Core facilities and other research resources play a large part in supporting and seeding research across the Indiana CTSI research partners. To maximize usage of the Indiana CTSI ATP, the program lead- ers have developed innovative strategies to connect minds and tal- ent on all four campuses. Key to this connectivity is the ATP liaison, the ATP representative from each campus. There are cur- rently six liaisons and one program coordinator for the ATP. The 6 Orschell et al. https://www.cambridge.org/core/terms. https://doi.org/10.1017/cts.2020.525 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 02:12:26, subject to the Cambridge Core terms of use, available at https://www.cambridge.org/core/terms https://doi.org/10.1017/cts.2020.525 https://www.cambridge.org/core liaisons are contact points for both investigators and Indiana CTSI- Designated core directors, and also serve on the Indiana CTSI Project Development Teams with the specific charge to identify projects which would be enhanced by incorporating new technol- ogies, further fostering core use. Many of the liaisons have been in the role since the inception of the grant (2008), allowing continuity that has fostered close relationships among the campus represent- atives, which in turn fosters support of the needs of the grant and each other’s research community. This long-standing partnership has fostered a rapport among the liaisons. They reach out to each other for all things core-related, big or small. Communication is key. This group works very well together, all for the benefit of the Indiana CTSI. The ATP liaisons meet monthly via teleconfer- ence to discuss ongoing and new initiatives, brainstorm new ways to support access to technology, gain approval from the CTSI Executive committee when necessary, and then work with their home campuses to put ideas into action. The many initiatives of the ATP also help to connect campuses and facilitate interactions. The ATP maintains a web-based Help Desk to assist investigators in need of core services, identifying options within the Indiana CTSI, other CTSIs, and other academic institutions or commercial vendors. The Indiana CTSI website provides information on 60 core programs throughout the Indiana CTSI. In the first full year of use, the Indiana CTSI website (www.indianactsi.org) was accessed 1226 times by 524 unique users. In 2018, Services Cores pages on the Indiana CTSI website were accessed 6780 times. The Postdoctoral Challenge program has training programs on all campuses, and allows the interaction of postdocs from all of the campuses in the joint review process. The Indiana CTSI-Designated Core program is another example of the liaisons working together through a joint review of the cores and discussions at monthly meetings, allowing the liaisons to gain knowledge of technologies available on partner campuses that can be passed onto investigators at their home institutions. The Core Pilot program fosters collaboration across campuses through joint reviews and access to previously unattain- able technologies in the Indiana CTSI-Designated cores. This competition allows researchers access to first-class facilities and vital instrumentation on partner campuses that may not otherwise be available on their local campuses. This access further facilitates collaboration across partner institutions. This can be especially helpful for the regional campuses of the IU School of Medicine. As an example, several Core Pilot awards have been awarded to the IU School of Medicine South Bend faculty members for use of Notre Dame cores. The impact that the Core Pilot program has had on investigator productivity cannot be underestimated. Fig. 3 shows the number of CTSI investigators on each of the four regional campuses by year, and the number of Core Pilot awards for each campus per year. Evident in this figure is the incredible growth in both the number of investigators and percent increase in the number of Core Pilot awards. In summary, this paper describes our experience in developing an effective program to deliver access to new and innovative tech- nologies to translational research investigators spanning three institutions and four major campuses in the state of Indiana. Pilot grant programs incentivize use of cores and support acquis- ition of new equipment, leading to more robust cores with a broader clientele base. Pan-Indiana CTSI contracts provide inves- tigators access to informatics programs at a fraction of the cost of single-user contracts. Support of key cores deemed essential to the success of clinical trials (SSF and CTSL) has resulted in growth and increased utilization of these cores, contributing to their vitality. Finally, applying quality oversight measures to the cores has strengthened them, increased user confidence in the cores, and aided core directors with operational procedures. These model sys- tems developed by the ATP of the Indiana CTSI may be useful to other CTSIs or institutional administrative personnel in the devel- opment of more effective programs to advance translational research and enhance the interaction and collaborative activities of researchers spread across multiple campuses. The majority of these systems put in place 12 years ago with the initiation of the Indiana CTSI have not only stood the test of time but have grown to address increasing demand and innovations in research technol- ogy to support CTR. We believe this provides a potential model to other academic institutions and CTSAs with geographically Fig. 3. Cross-campus connections graph. This graph displays data for the number of investigators and percentage change of investigators from years 2009 through 2019 on each of the four regional campuses, and the number of pilot awards and percentage change of pilot awards on each campus for the same time frame. Journal of Clinical and Translational Science 7 https://www.cambridge.org/core/terms. https://doi.org/10.1017/cts.2020.525 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 02:12:26, subject to the Cambridge Core terms of use, available at https://www.indianactsi.org https://www.cambridge.org/core/terms https://doi.org/10.1017/cts.2020.525 https://www.cambridge.org/core dispersed partners to maximize access to and utilization of novel technologies. Acknowledgments. The Access Technology Program and publication of this article were funded, in part, with support from the Indiana Clinical and Translational Sciences Institute, funded by Award Number UL1TR002529 from the NIH, National Center for Advancing Translational Sciences, Clinical and Translational Sciences Award. The content is solely the responsibility of the authors and does not necessarily represent the official views of the NIH. Disclosures. The authors have no conflicts of interest to declare. References 1. Callaway E. Revolutionary cryo-EM is taking over structural biology. Nature 2020; 578(7794): 201. doi: 10.1038/d41586-020-00341-9. 2. Alewijnse B, et al. Best practices for managing large CryoEM facilities. Journal of Structural Biology 2017; 199(3): 225–36. doi: 10.1016/j.jsb.2017. 07.011. 3. Garcia DL, et al. International Society for Biological and Environmental Repositories (ISBER) tools for the biobanking community. Biopreservation and Biobanking 2014; 12(6): 435–6. doi: 10.1089/bio.2014.1264. 4. Turpen PB, et al. metrics for success: strategies for enabling core facility performance and assessing outcomes. Journal of Biomolecular Techniques 2016; 27(1): 25–39. doi: 10.7171/jbt.16-2701-001. 5. Meder D, et al. Institutional core facilities: prerequisite for breakthroughs in the life sciences: core facilities play an increasingly important role in bio- medical research by providing scientists access to sophisticated technology and expertise. EMBO Reports 2016; 17(8): 1088–93. doi: 10.15252/embr. 201642857. 6. Hockberger P, et al. Building a sustainable portfolio of core facilities: a case study. Journal of Biomolecular Techniques 2018; 29(3): 79–92. doi: 10.7171/ jbt.18-2903-003. 7. Farber GK, Weiss L. Core facilities: maximizing the return on investment. Science Translational Medicine 2011; 3(95): 95cm21. doi: 10.1126/scitransl med.3002421. 8. Chang MC, et al. U.S. National Institutes of Health core consolidation- investing in greater efficiency. Journal of Biomolecular Techniques 2015; 26(1): 1–3. doi: 10.7171/jbt.15-2601-003. 9. Reeves L, et al. Partnership between CTSI and business schools can pro- mote best practices for core facilities and resources. Clinical and Translational Science 2013; 6(4): 297–302. doi: 10.1111/cts.12059. 10. Boeke A, et al. Vector Production in an Academic Environment: A Tool to Assess Production Costs. Human Gene Therapy Methods 2013; 24(1): 49–57. doi: 10.1089/hgtb.2012.213. 8 Orschell et al. https://www.cambridge.org/core/terms. https://doi.org/10.1017/cts.2020.525 Downloaded from https://www.cambridge.org/core. Carnegie Mellon University, on 06 Apr 2021 at 02:12:26, subject to the Cambridge Core terms of use, available at https://doi.org/10.1038/d41586-020-00341-9 https://doi.org/10.1016/j.jsb.2017.07.011 https://doi.org/10.1016/j.jsb.2017.07.011 https://doi.org/10.1089/bio.2014.1264 https://doi.org/10.7171/jbt.16-2701-001 https://doi.org/10.15252/embr.201642857 https://doi.org/10.15252/embr.201642857 https://doi.org/10.7171/jbt.18-2903-003 https://doi.org/10.7171/jbt.18-2903-003 https://doi.org/10.1126/scitranslmed.3002421 https://doi.org/10.1126/scitranslmed.3002421 https://doi.org/10.7171/jbt.15-2601-003 https://doi.org/10.1111/cts.12059 https://doi.org/10.1089/hgtb.2012.213 https://www.cambridge.org/core/terms https://doi.org/10.1017/cts.2020.525 https://www.cambridge.org/core The Access Technology Program of the Indiana Clinical Translational Sciences Institute (CTSI): A model to facilitate access to cutting-edge technologies across a state Introduction Mission of the ATP Methods and Results Core Pilot Program Core Equipment Program Postdoctoral Challenge Investigational Agent Acquisition Program Pan-Indiana CTSI Contracting Program Specimen Storage Facility Clinical and Translational Support Laboratory (CTSL) Core Oversight Program Business Management Assistance Program (BMAP) Financial Assistance ATP Quality Assurance (QA) Program Staying Connected References 
work_7kfvyk5qova7nheb7zuiwjms34	----	Investigating the Mechanism by which Bcl-xL Regulates Ceramide Channels Tuesday, February 5, 2013 363a The N-terminal domain of huntingtin (Htt17), located immediately upstream of the decisive polyglutamine tract, strongly influences important properties of this large protein and thereby the development of Huntington’s disease. Htt17 markedly increases polyglutamine aggregation rates and huntingtin’s interactions with biological membranes. Here, an ensemble of low-energy conformations of the protein domain was identified by solution NMR in inter- facial environments, and the structure was further refined using solid-state NMR spectroscopy on oriented phospholipid bilayers. The pronounced structural transitions of Htt17 upon membrane-association result in an in- plane aligned a-helical conformation from K6 to F17. The membrane binding of Htt17 and the resulting permeability were quantitatively analyzed and are strongly dependent on lipid composition, whereas the helical tilt angle (~77 degrees) is nearly constant in all membranes investigated. The structure and lipid interactions of Htt17 have pivotal implications for membrane- anchoring and functional properties of hun- tingtin and concomitantly the development of the disease. The Figure shows the solid-state NMR ori- entational restraints from three 15N and one 2H labelled sites (A) and the resulting alignment of the solution NMR structure in the lipid bilayer (B). 1859-Plat Investigating the Mechanism by which Bcl-xL Regulates Ceramide Channels Kai-Ti Chang, Justin Wang, Marco Colombini. University of Maryland, College Park, MD, USA. The level of ceramide, a sphingolipid, increases in mitochondria early in apoptosis resulting in the formation of ceramide channels. These channels are involved in the release of intermembrane space proteins, such as cyto- chrome c, into the cytosol. This release is a crucial and irreversible step in the apoptotic process. Formation of ceramide channels is inhibited by Bcl-xL, an antiapoptotic protein. Insights into the molecular basis for this regulation were obtained in a study of ceramide analogs (Perera, M. N. et al., Biochem. J. 445, 81, 2012). The results indicated that the effectiveness of Bcl-xL is very sensitive to changes in the hydrophobic regions of the ceramide channel. Furthermore, inhibitors (ABT- 737, ABT-263 and antimycin A) that specifically bind to the hydrophobic groove of Bcl-xL interfere with this function of Bcl-xL. These results imply that the hydrophobic groove is important for Bcl-xL to inhibit channel formation or dissemble the channel. We have demonstrated direct binding of a ceramide molecule to Bcl-xL by a fluorescent ceramide competition technique. In addition, site-directed muta- genesis at a single residue in multiple locations in the hydrophobic groove has resulted in a reduction of the inhibitory action of Bcl-xL. These results support the conclusion that Bcl-xL regulates the ceramide channel through the hydrophobic pocket. This same feature is critical to the regulation of proapoptotic Bcl-2 family proteins, thus it inhibits comprehensively all the pro-apoptotic processes of the cell. (supported by NSF grant MCB- 1023008) 1860-Plat Elucidating the Molecular Details of Phosphatidylserine Membrane Recognition in Immune Response Gregory T. Tietjen1, Chiu-Hao Chen2, James Crooks1, Ernesto Vargas1, Kathleen Cao1, Charles Heffern1, Binhua Lin1, Mati Meron1, Benoit Roux1, Mark Schlossman1, Erin Adams1, Ka Yee Lee1. 1University of Chicago, Chicago, IL, USA, 2University of Illinois at Chicago, Chicago, IL, USA. The immune system recognizes a vast array of chemical signatures as anti- gens although historically most research has focused more exclusively on protein/protein recognition. More recently it has been appreciated that lipid membranes can also provide important immunological signals as demon- strated in both phosphatidylserine (PS) recognition in apoptotic cell clearance and transient PS exposure in T Cell activation. Despite the clear immunolog- ical importance of PS exposure and recognition, there remain very few molecular details regarding the mechanisms of PS membrane recognition. Even more fundamentally, it remains unclear if all PS exposing membranes are immunologically equal or if there exists a sensitivity to additional mem- brane properties beyond simply the presence or absence of PS. To address this gap in our understanding we have made use of a novel combination of biophysical and biochemical techniques to elucidate the molecular mecha- nisms by which Tim4 (an immune related PS receptor) recognizes PS con- taining membranes. Tryptophan fluorescence binding assays have revealed that Tim4 binding is sensitive to membrane PS composition suggesting that there is more to the story than a single PS to single protein interaction. By utilizing a combination of x ray reflectivity measurements to determine membrane bound protein orientation and depth of penetration, as well as molecular dynamics simulations to support the experimental results, we have developed a protein/membrane binding model that provides structural evidence to explain the unique complexities of Tim4 mediated PS membrane recognition. Most significantly, these results provide a standard against which other immunologically related PS receptors can be compared, thereby allow- ing us to begin to address the more fundamental question of just how impor- tant lipid membrane recognition is for our bodies’ immunological defense mechanisms. 1861-Plat Investigating the Molecular Basis of cPLA2a Membrane Bending Katherine E. Ward1, James P. Ropa1, Emmanuel Adu-Gyamfi1, Robert V. Stahelin1,2. 1 University of Notre Dame, South Bend, IN, USA, 2 Indiana University School of Medicine at South Bend, South Bend, IN, USA. Signal transduction mediates disease through key molecular targets that initiate signaling networks. As protein-lipid interactions have been exam- ined in the literature, their role in cellular signaling has become more prev- alent as lipid-binding proteins have become high impact drug targets in cancer, inflammation and viral egress. One such target, termed cytosolic phospholipase A2 a (cPLA2a), has been shown to play a key role in the production of the inflammatory mediators prostaglandins and leukotrienes. A novel function of the protein was recently discovered in our lab showing cPLA2a bends zwitterionic membranes using model membranes, a process that is mediated by cPLA2a’s ability to deeply penetrate membranes. Others in the field have reported cPLA2a to participate in Fc mediated phagocytosis, intra-Golgi trafficking and endosomal trafficking which fur- ther supports cPLA2a’s ability to bend membranes in biological processes. In addition, direct evidence has been reported using siRNA showing that cPLA2a induced vesiculation in cells. These results translate into our cellular system as cells transfected with eGFP-cPLA2a form cytoplasmic vesicular structures. We have preliminary evidence showing cPLA2a membrane bending is mediated by oligomerization. The origin of oligomer- ization is currently under further investigation using both in vitro and cellular techniques. 1862-Plat Probing for p-Cation Interactions in the Binding of B. Thuringiensis Phosphatidylinositol-Specific Phospholipase C Phosphatidylcholine-Rich Vesicles Tao He1, Boqian Yang2, Cedric Grauffel3, Nathalie Reuter3, Anne Gershenson2, Mary F. Roberts1. 1 Boston College, Chestnut Hill, MA, USA, 2 University of Massachusetts, Amherst, MA, USA, 3University of Bergen, Bergen, Norway. Bacillus thuringiensis phosphatidylinositol specific phospholipase C (PI-PLC) binds tightly to phosphatidylcholine (PC)-rich vesicles. A possible mecha- nism for tight binding to PC interfaces involves tyrosine p / choline cation complexes. With this in mind, we have mutated surface tyrosine residues (Y86A, Y88A, Y204S, Y246A, Y247A, Y248A, Y251A), located on the bar- rel rim and in two helices of this (ab)-barrel protein, to assess their contri- bution to vesicle binding. None of these mutations significantly alter the rate of PI cleavage in vesicles, as long as the PI concentration is > 4 mM. However, binding to PC-containing vesicles, as measured by fluorescence correlation spectroscopy, showed a loss of affinity. The loss-of-Tyr mutant proteins fall into two classes: (i) those where Kd(mut)/Kd(WT) < 5 (Y86A, Y247A) and (ii) those where the ratio of mutant Kd to that of the WT was 100-300 (Y88A, Y204S, Y246A, Y248A, Y251A). With the excep- tion of Y204S/Y251A the effects of the mutations appear to be additive, We also attempted to enhance interactions with PC by introducing new Tyr or Trp residues on the surface, but these mutations either reduced membrane af- finity or left it unchanged. Apparently, more specific interactions are needed to enhance binding. Estimating DDG for these Tyr/PC interactions from the apparent Kd values, we find that the free energy associated with Tyr86 and Tyr247 is ~ 4 kJ/mol, comparable to the value predicted by the Wimley- White scale. In contrast, removal of the other surface Tyr is linked to a higher energy cost: 10-13 kJ/mol towards pure PC vesicles. These higher energies Investigating the Mechanism by which Bcl-xL Regulates Ceramide Channels Elucidating the Molecular Details of Phosphatidylserine Membrane Recognition in Immune Response Investigating the Molecular Basis of cPLA2α Membrane Bending Probing for π-Cation Interactions in the Binding of B. Thuringiensis Phosphatidylinositol-Specific Phospholipase C Phosphat ... 
work_7ugv2dt6h5clze5pxdybtzka5i	----	ShieldSquare Captcha We apologize for the inconvenience... ...but your activity and behavior on this site made us think that you are a bot. Note: A number of things could be going on here. If you are attempting to access this site using an anonymous Private/Proxy network, please disable that and try accessing site again. Due to previously detected malicious behavior which originated from the network you're using, please request unblock to site. Please solve this CAPTCHA to request unblock to the website You reached this page when trying to access https://iopscience.iop.org/article/10.1086/121145/pdf from 128.182.81.34 on April 06 2021, 02:12:26 UTC 
work_7uullpr6vra7vktdglcwxg7xuy	----	ROP volume 46 issue 3 Cover and Front matter THE REVIEW OF POLITICS Modern German Government Arthur B. Guniicks Montesquieu on International Politics Stephen J. Rosotc Ethical Dimensions of Diplomacy Kenneth W. Thompson Felix Cole at Archangel, 1917-1919 Benjamin D. Rhodes Augustin Cochin's L'Abolition de Vesclavage Charles Poinsatte and Anne Marie Poinsatte Idealism in More's Utopia James Nendza Vol. 46 • July, 1984 • No. 3 University of Notre Dame N o t r e Dame, I n d i a n a h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 04 78 96 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500047896 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS Editor DONALD P. KOMMERS Managing Editor DENNIS WM MORW Associate Editors Philip Gleason Book Review Editor Thomas Stritch Walter Nicgorski Thomas Werge former Editors Waldemar Gurian Thomas Stritch M. A. Fitzsimons Frederick J. Crosson Editorial Advisory Board Henry J. Abraham Penny T. Gill University of Virginia Mount HolyoUe College Charles W. Anderson Gerald Garvey University of Princeton Wisconsin-Madison University Shlomo Avineri Arend Lijphart Hebrew University University of Cali- of Jerusalem fornia-San Diego Walter Dean Burnham AlasdairMacIntyre Massachusetts institute Vanderbilt of Technology University SJE3? " S f f i S « n w wi. John R. Schmidhauser Eugeen De Jongne University of Southern Catholic University California Louvain Glenn Tinder Ernest L. Fortin University of Boston College Massachusetts-Boston T H E REVIEW OF POLITICS, without neglecting the analysis of institutions and tech- niques, is primarily interested in the philosophical and historical approach to political realities. The articles in T H E REVIEW OF POLITICS are indexed in the International Index to Periodicals and the Index of Catholic Periodicals and abstracted in the International Political Science Abstracts. They are abstracted and indexed in ABC POL. SCI. and HISTORICAL ABSTRACTS and Social Sciences Index. Copyright 1984 by the University of Notre Dame. Published quarterly at the University of Notre Dame. Issued each January, April, July and October. Entered as second-class matter April 1, 1939, at the post office at Notre Dame, Indiana, under act of March 2, 1879. Subscriptions: Institutional, $20.00 the year in the United States (Individual, $15.00); foreign $17; single copies, $5.00. ISSN 0034-6705 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 04 78 96 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500047896 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS Published Quarterly by the University of Notre Dame, Indiana Vol. 46 July 1984 No. 3 ARTHUR B. GUNLICKS Administrative Centralization and Decentralization in the Making and Remaking of Modern Germany 323 STEPHEN J . Rosow Commerce, Power and Justice: Montesquieu on International Politics 346 KENNETH W. THOMPSON The Ethical Dimensions of Diplomacy 367 BENJAMIN D. RHODES A Prophet in the Russian Wilderness: The Mission of Consul Felix Cole at Archangel, 1917-1919 388 CHARLES POINSATTE AND ANNE MARIE POINSATTE Augustin Cochin's L'Abolition de I'esclavage and the Emancipation Proclamation 410 JAMES NENDZA Political Idealism in More's Utopia 428 Reviews: Robert Schmuhl: Don't Blame Tweedledum 453 David B. Truman: History, Political Customs and Constitutional Change 458 Leslie C. Tihany: Primacy of Diplomacy 461 Gerald Garvey: The Nuclear Dimension 464 Mary P. Nichols: Ideas and Consequences 467 Thomas Langan: The Politics of Bishops 470 GeraldC. Hay, Jr.: New Light on Maritain 473 L. H. LaRue: Bureaucratic State Bourgeoisie 475 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 04 78 96 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500047896 https://www.cambridge.org/core https://www.cambridge.org/core/terms Contributors to This Issue ARTHUR B. GUNLICKS is Professor of Political Science in the Univer- sity of Richmond, Virginia. STEPHEN J . Rosow teaches political theory and international relations in Brandeis University's Department of Politics, KENNETH W. THOMPSON is Director of the White Burkett Miller Center of Public Affairs in the University of Virginia and formerly Vice President of the Rockefeller Foundation. BENJAMIN D. RHODES is Pro- fessor of History in the University of Wisconsin, Whitewater. ANNE MARIE POINSATTE is Associate Professor of Foreign Languages in In- diana University at South Bend. CHARLES POINSATTE is Professor of History in St. Mary's College, Notre Dame. JAMES NENDZA is a member of the faculty of the College of Arts and Sciences Honors Program in Boston College. ROBERT SCHMUHL teaches in Notre Dame's Department of American Studies. DAVID B. TRUMAN, President Emeritus of Mount Holyoke Col- lege, is author of numerous studies on contemporary politics. LESLIE C. TIHANY is a retired member of the U.S. State Department. GERALD GARVEY teaches politics in Princeton University and serves as Editor of World Politics. MARY P. NICHOLS is a member of the Department of Politics in the Catholic University of America. THOMAS LANGAN teaches philosophy in St. Michael's College, University of Toronto. GERALD C. HAY, J R . , teaches philosophy in John Carroll University. L. H. LARUE is a member of the law faculty in Washington and Lee University. INSTRUCTIONS TO CONTRIBUTORS All manuscripts should be submitted in QUADRUPLICATE to The Review of Politics, Box B, Notre Dame, IN 46556. If the return of the manuscript is desired, a stamped, self-addressed envelope should be enclosed. All typewritten material should be double-spaced, including notes and quotations; photocopies of a good quality are acceptable. The Review follows the Chicago Manual of Style for standards of citation, punctua- tion and other editorial considerations. The normal length of manuscripts published is 25-30 pages. Longer manuscripts will be evaluated in light of the limited printing space available. Since manuscripts are evaluated anonymously they should not bear the author's name or institutional af- filiation. Submissions should be sent with an ABSTRACT of 100-150 words. All correspondence regarding book reviews should be sent to Mr. Walter Nicgorski at the above address. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 04 78 96 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500047896 https://www.cambridge.org/core https://www.cambridge.org/core/terms 
work_7wllewk7yjdshnzs2fctk6obmu	----	INTERSTATE COMMERCE COMMISSION WASHINGTON REPORT NO. 3455 CHICAGO, SOUTH SPORE AND SOUTH BEND RAILROAD IN RE ACCIDENT AT GARY, IND., ON MARCH 4, 1952 - 2 - Report Mo. 3455 Date: Railroad: Location: Kind of accident: Equipment involved: Train numbers: Consists: Estimated speeds: Operation: Track: Weather: Time: March 4 , 1952 Chicago, South Shore and South Bend Gary, Ind. Collision Passenger train 203 Passenger- : Passenge: equipment train train Equipment of No. 150 6 multiple-: 2 multiple- unit cars unit cars Standing Standing 29 4 multiple- unit cars 12 m. p. h. Timetable, train orders and automatic block-signal system Station track; tangent; 0.06 percent descending grade eastward Clear 6: 04 p. m. 189 injured Failure to operate following train in accordance with signal ind ications SUMMARY Casualties: Cause: - 3 - INTERSTATE COMMERCE COMMISSION REPORT NO. 3455 IN THE MATTER OF MAKING ACCIDENT INVESTIGATION REPORTS UNDER THE ACCIDENT REPORTS ACT OF MAY 6, 1910. CHICAGO, SOUTH SHORE AND SOUTH BEND RAILROAD May 5, 1952 Accident at Gary, Ind., on March 4, 1952, caused failure to operate the following train in accordance with signal indications. 1 REPORT OF THE COMMISSION PATTERSON, Commissioner: On March 4, 1952y there was a collision between a passenger train and a passenger-equipment train, which in turn collided with another passenger train on the Chicago, South Shore and South Bend Railroad, This accident resulted in the injury of 180 passengers, 3 employees not on duty, 1 assistant trainmaster and 5 train-service employees. It was investigated in conjunction with a representative of the Indiana Public Service Commission, Under authority of section 17 (2) of the Interstate Com­ merce Act the above-entitled proceeding was referred by the Commission to Commissioner Patterson for consideration and disposition. - h - S t a t i o n t r a c k s Nos. Switch To v e s t y a r d - l i m i t s i g n 2 . 8 7 mi. C r o s s o v e r A - 169 f t . f Switch S p r i n g switch xi NJ O u M s*> ( < , O » LT\ CO d H X Gary, I n d , ( P o i n t o f a c c i d e n t ) 6 a 0 mi. 0 Shearson Tower, I n d , 1 1 1 0 o 6 m i , o Kensington, 1 1 1 . VJestv;ard main t r a c k Eastward main t r a c k O u O FT) «\ - 4 " !>» V U Si _ JH O 0-* O CJ3 H « c/j ^ A O CO o to ci o •RH o 3455 Location of Accident and Method of Operation This accident occurred on that part of the railroad, extending between Kensington, 111., and Gary, Ind*, 15.6 miles. In the vicinity of the point of accident this is a double-track line, over which trains moving with the current of traffic are operated by timetable, train orders and an automatic block-signal systf-m. A catenary system is provided for the electric propulsion of trains. The main tracks from north to south are designated as westward main track and eastward main track. The station at Gary is located between the two main tracks. A trailing-point cross­ over, 490 feet in length, connects the txro main tracks and also serves as the lead track for station tracks. The west switch of this crossover is a spring switch located in the westward main track 940 feet west of the station. The normal position of this switch is for movement on the westward main track. Two station tracks, designated from north to south as track Mo. 1 and track No. 2, extend westward from the station and are located between the two main tracks. Tracks Nos. 1 and 2 connect with the lead track at switches, respectively, 712 feet and 631 fcjet west of the station. Crossover A, 169 feet in length, connects the eastward main track with the lead track. The west switch of crossover A is located in the eastward main track 905 feet west of the station and is facing-point for east-bound move­ ments. The east switch of crossover A is located 22 feet west of the switch at the west end of track No. 1. It is a spring switch and is normally lined for movements on the lead track. The accident occurred within yard limits on the lead track, at a point 201.5 feet east of the west switch of crossover A and 701.5 feet west of the station, and 2.87 miles east of the west yard-limit sign. From the west on the eastward main track there are, in succession, a tangent 2,961 feet in length, a 3° curve to the right 614 feet to the west switch of crossover A and 70 feet eastward. The grade far east-bound trains varies between 0 . 1 2 percent ascending and. 0.54 percent descending throughout a distance of 5 , 4 0 0 feet immediately west of the point of accident, and is 0 . 0 6 percent descending eastward at that point. The switch stand of the main-track switch of crossover A is of the low-stand, ground-throw type. It is located 6 feet 11-1/4 inches north of th<= center-line of the east­ ward main track. It is eauipped with both a red and a white rectangular target and an electric switch lamp. 'Alien the switch is lined for entry to the crossover a red liaht and. the red. target are displayed in the direction of an approach­ ing train. The centers of the targets and the lenses of the switch lamp are, respectively, 1 foot 1 inch, and 1 foot 10 inches above the level of the tops of the rails. Automatic signals 593 and 591 are located, respectively, 1.0? miles and 842 feet west of the point of accident. Signal 593 is of the 1-unit color-light type and displays three aspects. Signal 591 is of the 2-unit color-light type and displays four aspects. These signals are continuously lighted. The aspects applicable to this investigation and the corresponding indications are as follox^s: Signal 593 Aspect GREEN Indication PROCEED YELLOW RESTRICTED SPEED, but not more than one- half the maximum speed for the territory. 591 P.ED-over YELLOW Facing point svitck entering Gary Yard op en-proceed at restricted speed, orcpax°ed to stop shoi't of obstruction The controlling circuits of these signals are so arranged that when the west switch of crossover A is lined for entry to the station tracks and the eastward main track between signal 591 and the switch is unoccupied, signal 591 indicates that the switch Is lined for entry to Gary Yard—Proceed at Restricted Speed, and signal 593 indicates RESTRICTED SPEED. This carrier's operating rules read in part as follows: 104. * * * Switches must b>~ properly lined af t ng having been used, * ** 104(a). All main track switches and those required by rule and special instructions to be locked must be left in that condition. # - 7 - 3455 Timetable special Instructions read in part as follows 7, Train Movements: # # * (l) All trains, regardless of class, will approach all schedule meeting or passing points under control prepared to stop. i't # tit (c) RESTRICTED SPEED—Proceed prepared to stop shor of train, obstruction, or anything that may require the speed of a train to be reduced, not to exceed (20) twenty mil.es per hour. 2_2 * * * (c) Indications of Signal 501 located * * * Monroe St., Gary, arc as follox-irs: Tlie top unit indications are— GREEK Clear—Proceed YELLOW Caution or order board display at stop indIcation RED Stop, then proceed at restricted speed, looking out for track to be occupied, broken rail, or open switch. The lower unit indications are— YELLOW indicates facing point switch entering GARY YARD open—proceed at restricted speed, prepared to stop short of obstruction RED indicates facing point switch to Gary Yard lined for main track movement— be governed by top unit. 20. YARD LIMITS. * * <it http://mil.es - 8 - 3455 (c) All trains will approach Gary * # under control, expecting to find the track occupied by yard motors. In the vicinity of Gary the soeed of passenger trains is restricted tc 45 miles per hour Description of Accident No. 203, an east-bound first-class passenger train, consisted of six multiple-unit passenger-train cars. All cars were of all-steel construction, and all ware power units except the third car. This train was being operated from the front control compartment of MU coach 26, the first unit of the train. It passed Shearson Tower, the last open office, 6 miles west of the point of accident, at 5:55 p. m., 2 minutes late, passed signal 593, which indicated Proceed, and stopeed at signal 591, which indicated Proceed at Restricted. Speed to station tracks. After a proceed signal was given by a member of the mechanical force in the vicinity of the switch to track No. 2, it proceeded, entered crossover A and was routed to track No. 2. It stopped with the front end about 8 feet west of the east end of track No. 2, a.nd tne rear end about 530 feet west of the station. A passenger-equipment train consisting of two multiple- unit passenger-train cars had been placed on the westward main track at the station by members of the mechanical force. The samo employees later moved this equipment from the westward main track to the lead track to permit a west-bound freight train to proceed. The passenger-equipment train was move! to the lead track Immediately ,nfter No. 203 arrived, and first was stopped about 3 feet from the roar end oi that train. About 1 minute later it was moved against the rear end of No, 203 and immediately afterward the west end was struck by No. 29. No, 29, an cast-bound, first-class passenger train, consisted of four multiple-unit passenger-train cars. All cais were of all-stocl construction. This train was being operated fiom the front control compartment of MU coach 11, the first unit of the train. It passed Sheerson Tower at 5:57 p. m., 1 minute late, passed signal 593, which indicated RESTRICTED SPEED, passed signal 591, which indicated Proceed at Restricted Speed to station traces, entered crossover A, and while moving at en estimated speed of 12 miles per hour it struck the west end of the passenger-equipment train. - 9 - 3455 Uo. 203 was moved eastward about 11 feet. The draft gear of each car in this train was damaged or broken and. all the caî s were somewhat damaged. The east truck of the east car of the passenger-equipment train was slightly displaced.. This car was considerably damaged and the west car was somewhat damaged. No. 29 stopped Trith the front end of the first car about 11 feet east of the point of collision and against the west end of the west car of the psssenger-equipiaent train. A separation occurred between the first and the second, cars. The rear end-sill of the first car overrode the front end-sill of the second car, and the vestibules between those cars were crushed inward. Tne rear truck of the first car was displaced slightly. The first and the second cars \ r e r e considerably damaged and the third and the fourth cars -cse somewhat damaged. The motorman and the flagman of No. 203, and the 'notor- man, the conductor and the flagman of No. 29 were injured. The weather was clear and it was dusk a"c the time of the accident, which occurred about 6:04 p. m. ' Txie multiple-unit cars involved are equipped with automatic air brakes with U-4 universal valves, and an 11-23 engineer's brake valve at each control station of each power unit. A safety-control feature which operates in conjunction with the controller and a foot pedal is provided. If downward, pressure against spring-tension on the controller handle is released while the controller is in running position, the brakes will be applied in emergency and power to the trr.ction motors will be cut off. Also, if downward pressure on the controller handle and the foot pedal are rcleasod simultaneously while the controller handle is in off-position and the reverser key ie in, the brakes will be applied in emer ;ency. Di scussicn At Gary, east-bound passenger trains which terminate at thai station and east-bound passenger trains en route to other points which are scheduled to be passed by another train at Gary are routed to the station tracks through crossover A. The switches used for such movements to and from the station tracks and the main tr.' cks are operated when nccossa.ry by members of the mechanical force. These employees also inspect equipment and perform switching service with the passenger equipment of trains either arriving or originating at Gary. No. 203 is scheduled to be narsed by No. 29 at Gary. Timetable special instructions provide • that trains must approach schedule pressing points and Gary Yard under control. - 10 - 3455 On the day of the accident, as No. 203 was approaching Gary the motorman was in the control compartment at the front end of the first car and the members of the train crew were in various locations in the cars of the train. The motorman said that sig'nal 593 indicated Proceed for his train and. signal 591 also indicated Proceed when it first became visible to him. His attention was momentarily diverted by highway traffic at a grade crossing about 1 mile west of signal 591 and when he again observed the signal it was displaying a red-over-yellow aspect. He said that after his train had stopped at signal 591 he received a proceed, signal given with a white light from the vicinity of the switch to track No. 2. No. 203 then proceeded and the motorman observed that the xrest switch of crossover A was lined for entry to the station tracks. The train entered crossover A and was routed to track No. 2. It was stopped, about 6:02 p, m,, with the front end of the first car about 8 feet west of the east end of track No. 2. The accident occurred about 2 minutes later. Before No, 203 arrived at Gary the passenger equipment of No. 130, a west-bound first-class passenger train, scheduled to leave Gary at 6:25 p. m., was placed on the west­ ward main track at the station by two car inspectors regularly assigned, at this point to inspect equipment and perform switching service. Soon after the equipment of No. 130 had been placed on the westward main track, a west-bound, freight train arrived at Gary. The car inspectors mo^ed the eriuiament of No. 130 to the station tracks to permit the freight train to proceed. With a car inspector at each end of the passenger- equipment train, it was moved westward over the switch at the west end of the crossover and lead track, A car-insocctor helper, who a] so was regularly assigned at this point, had. lined the west switch of crossover A for entry to the station tracks, in accordance with previous instructions, and was awaiting the arrival of No. 205. 1,rhen he observed that the passenger equipment of No. 130 had been moved westward he proceeded to the west switch of the crossover and lead, track and lined it for movement to the station tracks. After No. 203 had entered track No. 2, the po-sccnger-equipment train was moved eastward and stopped on the lea.d. track with the east end of the east car about 3 feet west of the rear end of No. 203. The car inspector at the east end of the passenger-equipment train said that as the train was moved eastward he called to the helper and instructed him to close the west switch of crossover A. He said that he did not know if the helper heard or understood the Instruction. The car inspector at the west end of the passenger-equipment train said that after his train stopped on the lead track he observed that No. 29 was closely - 1 1 - 3455 approaching and then he became aware that it had entered crossover A. He inserted the reverser key and opened the controller and the passenger-equipment train moved eastward and against the rear end of No. 203 immediately before the collision occurred. The helper said that he had lined the west switch of crossover A for entry to the station tracks before the arrival of No, 203 and he was in the vicinity of the switch of track No, 2 when that train arrived. When he observed that the passenger-equipment train was moving westward he proceeded to the west switch of the crossover and. lead track to line it for the movement of the equipment to the station tracks. He said that the switch lock was frozen and it took longer than usual to open It. He restored the switch to normal position when the passenger-equipment train cleared the westward main track and then proceeded to the south side of the eastward main track and passed the west switch of crossover A.without restoring it to normal position. The helper said that the arrival of the west-bound extra freight train and the return movement of the passenger equipment of No. 130 to the station tracks had not been anticipated and required a variation from the normal routine of movements. Because he became concerned with the movement of a baggage car which was to be added to No. 29 when it arrived, he overlooked tho position of the main-track switch of crossover A. He was in the vicinity of the yard tracks south of the eastward main track when No. 29 entered crossover A and struck the passenger-oauipment train. As No. 29 was approaching the point where the accident occurred the speed was about 19 miles per hour. The motorman was maintaining a lookout ahead from the control compartment at the front end of the first car. The members of the train crew and an assistant trainmaster wore at Various locations in the cars of the train. The headlight was lighted brightly. The brakes of this train had been tested and had functioned properly when used en route. The motorman said that signal 593 indicated Proceed. When the train was closely approaching signal 591 his attention was diverted to an automobile closoly approaching the rail-highway grade-crossing in the vicinity of the signal. He said he observed that a yellox* asp>oct was displayed by signal 591 and he thought that it was the top unit of the signal and expected to proceed on the eastward main track. After he had passed the signal he observed the red light of the switch lamp and that the west switch of crossover A was lined for movement to the station tracks. He immediately made an emergency application of the brakes and attempted to reverse the power to the traction motors, he t.iought that the speed was reduced to about 12 miles per hour when the collision occurred. - 12 - 3455 After the accident occurred tne signal system was tested and it functioned as intended. Examination of the signals involved disclosed no defective condition of the signal apparatus. Under the 'circumstances present, the aspect displayed by signal 5Q1 indicated that the switch was lined, for the train to enter Gary Yard, that the speed, of lo. 29 should be reduced to 20 miles per hour or less, and that the speed should be so controlled that the train could, be stopped short of an obstruction. Cause- It is found that this accident w<"s caused by failure to operate tne following train in accordance with signal indications. Dated at Washinpton, D. 0., this fifth day of Kay, 1952. By the Commission, Commissioner Patterson. ( SEAL) W t P. BARTEL, Secretary. 
work_ahh445a5jrdkxn3h6dzwkkgpdy	----	Science Magazine 4 2 0 2 AUGUST 2019 • VOL 365 ISSUE 6452 sciencemag.org S C I E N C E NEWS FOR MANY PEOPLE, CRISPR plus China equals the bio- physicist He Jiankui, who infamously used the genome editor last year to alter the DNA of two human em- bryos that would become twin girls. Before his an- nouncement, He was little-known within the country’s CRISPR community, which has grown rapidly and is now challenging—and by some measures surpassing—the United States in its use of the powerful tool (see graphics, p. 421). A better representative of CRISPR in China is plant biologist Li Jiayang of the Institute of Genet- ics and Developmental Biology in Beijing. Li left the country in 1985 for his graduate education, as have many of China’s best and brightest young scientists over the past few decades, and then returned home in 1995 to focus on manipulating plant DNA. Li, who recently ended a stint as head of the Chinese Academy of Agricultural Sciences, says he struggled for years to make pinpoint genome edits. CRISPR gave him a simple, fast way to do just that, turbocharging his efforts to modify rice. “Now, suddenly, the dreams come true,” says Li, whose lab is humming at 9 p.m. on a Wednesday with two dozen members of his team running experiments. The lights are burning late at CRISPR labs around the world. In 2012, the year researchers transformed a bacterial immune system into the fast and versatile tool for genome engineering, scientific publications men- tioning CRISPR totaled 127. Since then there have been more than 14,000. Although the United States has had the most CRISPR publications—and continues to have the most cited papers—China is now a close second and is pouring money into CRISPR’s uses. With support from the Pulitzer Center, Science vis- ited scientists in five Chinese cities who are harnessing CRISPR in a wide range of disciplines. China’s biggest push is in agriculture (see p. 422) but researchers there are also applying the editor on a large scale in animals (see p. 426), with pig organs for human trans- plants the most provocative goal. And China is aggres- sively exploring genome editing in medicine, having launched far more clinical trials using CRISPR, mainly for cancer, than any country (Science, 6 October 2017, p. 20). Although He’s work lies far out- side the mainstream, his actions haunt China (see p. 436). So does another, largely untold aspect of his rise and fall: the role that others, in China and abroad, played in the runup to his experiment. He shared his plans widely, and although sev- eral confidants tried to dissuade him, some were more encouraging (see p. 430). Geneticist Wei Wensheng of Peking University in Beijing says the Chinese scientific culture has to look hard at how it creates re- searchers like He by overempha- sizing firsts. “What I don’t understand is why do you want to be named the first of something horrible or bad. What’s the point?” Wei asks. Yang Hui of the Institute of Neuroscience in Shanghai, one of the most successful young CRISPR researchers in the country, hopes China can move past He and up its game. Yes, Chinese researchers publish many CRISPR studies, he says, but “very few” do respected work that breaks new ground. “Our generation should publish more innovative papers,” Yang says. But Yang stresses that he has seen the quality in- crease “very fast” over the past 2 years or so. As China plants its flag at this scientific frontier, overseas so- journs like Li’s and his own may soon be the exception. “Now, many good students will choose to stay here be- cause of the good opportunities,” Yang says. “And we have many good students working hard.” By Jon Cohen; Graphics by Nirja Desai FEATURES C H I N A ’ S C R I S P R REVOLUTION P H O T O : S T E F E N C H O W A technician in Gao Caixia’s lab selects immature wheat embryos for CRISPR editing. Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ 2 AUGUST 2019 • VOL 365 ISSUE 6452 4 2 1S C I E N C E sciencemag.org China United States China EuropeUnited States Australia Austria Bangladesh Taiwan Canada Denmark New Zealand France Germany Israel Belgium Japan Lithuania Netherlands Egypt Poland South Korea Russia Saudi Arabia Singapore Spain Sweden Switzerland Italy Thailand United Kingdom Agricultural applications Industrial applications Other Medical applications Technical improvement 872 858 186 Publicly available CRISPR patent applications as of December 2018 2967 (Total papers) 2059 (Total papers) 2012 2013 2014 2015 2016 2017 2018 United States China Japan Germany Other countries China 22 10 Europe IndiaIsraelJapan South Korea Philippines Saudi Arabia Turkey United States United States 74,919 Canada China 14,742 Germany Japan Netherlands United Kingdom Invention inventory In a recent analysis of more than 2000 patent applications for distinct inventions that involved CRISPR, the United States barely edged out China. Applications from China have climbed rapidly in recent years, and the country dominates in the agricultural and industrial realms. China catches up in papers U.S.-based research teams have published the most CRISPR- related papers, but China is catching up, according to PubMed data analyzed for Science by computational biologist Geoffrey Siwo of the University of Notre Dame in South Bend, Indiana. Number of papers for 2018 898 United States 824 China 228 Japan 197 Germany 112 United Kingdom 100 Canada 90 Netherlands 84 France 82 Australia ... but lags in citations U.S. authors dominated citations to CRISPR studies from 2012 to 2018. In 2017, 15 of the 20 most cited papers had U.S. lead authors. Only China’s plant scientist Gao Caixia (see p. 422) cracked that list. Planting a flag Among 52 CRISPR publications on improving traits in agricultural crops, published between 2014 and 2017, China accounted for 42% of them. C R E D IT S : (G R A P H IC S ) N . D E S A I/ S C IE N C E ; (D A T A ) G E O F F R E Y S IW O / U N IV E R S IT Y O F N O T R E D A M E ; J . M A R T IN -L A F F O N E T A L ., N A T U R E B IO T E C H N O L O G Y , V O L . 3 7 , J U N E 2 0 1 9 , 6 0 1– 6 2 1 ; A . R IC R O C H E T A L ., E M E R G IN G T O P IC S I N L IF E S C IE N C E S ( 2 0 1 7 ) 1 1 6 9 – 1 8 2 50 India 48 Italy 48 Spain 42 Switzerland 41 Denmark 38 Sweden 33 Israel 32 Austria 29 Brazil 26 Belgium 24 Singapore 23 Poland 21 Finland 20 Iran 18 Russia 17 Taiwan 13 Pakistan 12 Norway Published by AAAS o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/ China's CRISPR revolution Jon Cohen DOI: 10.1126/science.365.6452.420 (6452), 420-421.365Science ARTICLE TOOLS http://science.sciencemag.org/content/365/6452/420 CONTENT RELATED http://stm.sciencemag.org/content/scitransmed/9/372/eaah3480.full http://stm.sciencemag.org/content/scitransmed/10/449/eaao3240.full http://stm.sciencemag.org/content/scitransmed/11/488/eaav8375.full http://stm.sciencemag.org/content/scitransmed/11/503/eaaw3768.full http://science.sciencemag.org/content/sci/365/6452/436.full http://science.sciencemag.org/content/sci/365/6452/430.full http://science.sciencemag.org/content/sci/365/6452/426.full http://science.sciencemag.org/content/sci/365/6452/422.full PERMISSIONS http://www.sciencemag.org/help/reprints-and-permissions Terms of ServiceUse of this article is subject to the is a registered trademark of AAAS.ScienceScience, 1200 New York Avenue NW, Washington, DC 20005. 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No claim to original U.S. Government Works Copyright © 2019 The Authors, some rights reserved; exclusive licensee American Association for the Advancement of o n A p ril 5 , 2 0 2 1 h ttp ://scie n ce .scie n ce m a g .o rg / D o w n lo a d e d fro m http://science.sciencemag.org/content/365/6452/420 http://science.sciencemag.org/content/sci/365/6452/422.full http://science.sciencemag.org/content/sci/365/6452/426.full http://science.sciencemag.org/content/sci/365/6452/430.full http://science.sciencemag.org/content/sci/365/6452/436.full http://stm.sciencemag.org/content/scitransmed/11/503/eaaw3768.full http://stm.sciencemag.org/content/scitransmed/11/488/eaav8375.full http://stm.sciencemag.org/content/scitransmed/10/449/eaao3240.full http://stm.sciencemag.org/content/scitransmed/9/372/eaah3480.full http://www.sciencemag.org/help/reprints-and-permissions http://www.sciencemag.org/about/terms-service http://science.sciencemag.org/ 
work_brhod7rvtvgpra2zsex6dexzvm	----	Membrane Penetrating Ability of Ebola Matrix Protein, VP40 Wednesday, February 6, 2013 595a distribution of PICK1. To investigate whether the altered cellular distribution results directly from a change in the lipid binding capacities of the AH, we em- ploy a Single Liposome Curvature Sensing (SLiC) assay. We use quantitivative fluorescence microscopy to evaluate the binding of the phospho-mimicking mutants to nanosized liposomes in terms of MC-sensing, lipid affinity and membrane deformation. Intriguingly, we find that this single phospho-mimicking mutation in the AH is sufficient to change the lipid binding capacities of the entire protein, likely causing the altered cellular distribution of the phosphorylated protein seen in the cells. As MC-sensing has been shown to be dependent on the AH of N-BAR proteins in general, we speculate that the finding may apply generally to phospho-regulation of N-BAR proteins. 3065-Pos Board B220 Membrane Penetrating Ability of Ebola Matrix Protein, VP40 Smita P. Soni1, Emmanuel Adu-Gyamfi2, Robert V. Stahelin2,3, Christina Leblang1. 1IU- School of Medicine, South Bend, IN, USA, 2University of Notre Dame, Notre Dame, IN, USA, 3IU-School of Medicine, South Bend, IN, USA. Ebola from the filoviridae family of viruses causes severe and mostly fatal hem- orrhagic fevers in primates and has been listed as a category IV pathogen by the NIH. Viral Protein 40 (VP40), the major matrix protein of Ebola virus, regu- lates the assembly and budding of the virus and alone harbors the ability to form virus-like particles (VLPs) from human cells. We hypothesize that VP40 is a high affinity lipid binding and membrane curvature-inducing protein with specificity for plasma membrane (PM) lipids. This specificity leads to localization of VP40 to the PS-rich inner leaflet of the PM and formation of VLPs. Using fluorescence spectroscopy to investigate VP40 binding and inser- tion within lipid vesicles (POPC:POPS) containing brominated lipids. Because the fluorescence of the tryptophan is variably quenched depending on its dis- tance from the bromine atoms on the lipid acyl chain, a tryptophan introduced into the membrane binding interface was utilized as a probe to detect the depth of membrane penetration of VP40. Results were indicative of VP40’s high af- finity and specificity for PS in a PS-concentration dependent manner demon- strating the robust ability of VP40 to penetrate membranes. Further analysis of VP40 membrane insertion revealed a depth of penetration more than halfway into one monolayer of the membrane. Data also confirmed that VP40 binds with nanomolar affinity to vesicles that recapitulated the PM in comparison to the nuclear membrane. In addition VP40-mutants, which inhibit membrane binding and penetration, obstruct VLP formation and release. Cellular assays confirmed the lipid-binding specificity of VP40 in the PM of different cell lines and also demonstrated that deep membrane penetration is essential for VLP. We predict that these results will elucidate the molecular basis of VP40 induced membrane curvature changes, a prerequisite to the PM deformation required for VLP production. 3066-Pos Board B221 Spatial and Temporal Regulation of the Nedd4 Family of E3 Ubiquitin Ligases through Phospholipid Binding Jordan L. Scott1, Robert V. Stahelin2. 1University of Notre Dame, South Bend, IN, USA, 2Indiana University School of Medicine, South Bend, IN, USA. The Nedd4 family of HECT ubiquitin ligases are essential regulators of cellular polarity, ion channel activity, motility, and inflammatory signaling. HECT fam- ily Ubiquitin ligases employ a catalytic cysteine residue to target cellular sub- strates for mono or poly ubiquitination. The Nedd4 family has nine members each with an N-terminal canonical C2 domain, protein recognition WW do- mains, and a catalytic HECT domain. While several reports in the literature in- dicate which substrates these proteins target, little is known about how their cellular localization and catalytic activity are regulated by their C2 domains. These domains have previously been shown to bind phospholipids and to be re- quired for the localization of some members to the plasma membrane. In our laboratory, we employ surface plasmon resonance (SPR) technology to mea- sure the affinity of proteins for specific lipids in an in vitro environment with a lipid vesicle coated surface. Using SPR, we have investigated the specific lipid binding properties of the Nedd4 family C2 domains to vesicles of specific composition. We find that several Nedd4 family C2 domains bind to phosphoi- nositides with nanomolar affinity. In addition, we have used vesicular sedimen- tation assays and immunological lipid blots to confirm these binding results. We are employing confocal microscopy and fluorescent C2 constructs to deter- mine their cellular localization and to quantitatively determine their diffusion coefficients, oligomerization state in the cytosol and at cellular membranes. Finally, we are using both confocal microscopy and immunoblotting to deter- mine how lipid binding regulates the ubiquitination state of Nedd4 family members. 3067-Pos Board B222 Mode of Action of the Bacterial Thermosensor Desk Involved in Regulating Membrane Fluidity Joost Ballering1, Larisa E. Cybulski2, Martijn C. Koorengevel1, Martin Ulmschneider3, Diego de Mendoza2, J. Antoinette Killian1. 1 Membrane Biochemistry & Biophysics, Bijvoetcenter for Biomolecular Research, Utrecht University, Utrecht, Netherlands, 2 Instituto de Biologı́a Celular y Molecular de Rosario-CONICET, Universidad Nacional de Rosario, Rosario, Argentina, 3Institute of Structural and Molecular Biology Department of of Biological Sciences Birkbeck University of London, London, United Kingdom. The Bacillus subtilis membrane harbors the temperature sensing and signaling protein DesK. At low temperatures it triggers expression of a desaturase, which introduces double bonds into pre-existing phospholipids, thereby regulating membrane fluidity. Recently it was discovered [1] that both sensing and trans- mission of DesK, which has five transmembrane segments, can be captured into one single chimerical transmembrane segment, the so-called ‘minimal sensor’ (DesK-MS). This protein can be functionally reconstituted in lipid bilayers, thus providing an excellent model system to study the molecular details of a biologically important signaling mechanism. Here we used synthetic peptides corresponding to functional and non- functional mutants of the minimal sensor in artificial membranes of phosphati- dylcholines as convenient model systems. We studied the conformational properties, tilt, and exposure at the lipid/water interface at different bilayer thickness and upon varying temperature by using circular dichroism and fluo- rescence studies. Based on these results and on mutational studies, we propose a model for the mode of action of DesK-MS, in which an N-terminal ‘‘sunken buoy’’ motif and a C-terminal hydrophilic motif are crucial for DesK-MS func- tioning. Finally, we explored the possibility of isolating and characterizing DesK-MS in its native membrane in the form of ‘‘native nanodiscs’’ by using copolymers of styrene and maleic acid (SMA). Results of these studies will be presented. [1] Cybulski LE, Martin M, Mansilla MC, Fernandez A, de Mendoza D. Mem- brane thickness cue for cold sensing in a bacterium. Curr Biol. 2010 20(17):1539-44 3068-Pos Board B223 Separation of Timescales for Endophilin Dimerization and Membrane Binding Benjamin R. Capraro, Ken Chang, Zheng Shi, Tingting Wu, Chih-Jung Hsu, Tobias Baumgart. University of Pennsylvania, Philadelphia, PA, USA. The membrane association of endophilin is a pivotal step in clathrin-mediated endocytosis. In this process, the basis for the functional role of endophilin is believed to involve the promotion of membrane curvature, which in turn de- pends on membrane shaping by the dimeric structure of endophilin. Thus, the dynamic nature of endophilin-membrane association and dimerization are functionally important. However, little is known about the timescales and fac- tors determining the kinetics of the interactions involved. To illuminate these aspects, we study the kinetics and equilibria of endophilin N-BAR dimerization and membrane binding. We determine the dimerization equilibrium constant by using subunit exchange FRET. We characterize N-BAR membrane association, under conditions where the dimeric species predominates, by stopped-flow, ob- serving prominent electrostatic sensitivity. Our results suggest that membrane insertion of amphipathic helices rapidly follows association, in a non-rate- limiting manner. Relative to membrane binding, we find that dimerization is governed by far slower kinetics. Thus, monomer-dimer exchange does not con- tribute to the kinetic mechanism of membrane binding. These results under- score a separation of timescales for endophilin dimerization and membrane binding, which may facilitate temporal regulation of functional membrane processes. 3069-Pos Board B224 Structural Changes of Alpha 1-Antitrypsin Under Osmotic Pressure and in the Presence of Lipid Membranes Luis A. Palacio1, Christopher B. Stanley2, Andrew K. Fraser1, Merrell A. Johnson1, Horia I. Petrache1. 1 Indiana University Purdue University Indianapolis, Indianapolis, IN, USA, 2Oak Ridge National Laboratory, Oak Ridge, TN, USA. Alpha 1-Antitrypsin (A1AT) is a glycoprotein that has been shown to have pro- tective roles of lung cells against emphysema, a disease characterized by lung tissue destruction [1]. Most known glycoproteins have been shown to play a role in cellular interactions but the exact role of the glycan chains is still under investigation. Previous electrophysiological measurements show that A1AT has a strong affinity to lipid bilayers perturbing the function of ion channels Membrane Penetrating Ability of Ebola Matrix Protein, VP40 Spatial and Temporal Regulation of the Nedd4 Family of E3 Ubiquitin Ligases through Phospholipid Binding Mode of Action of the Bacterial Thermosensor Desk Involved in Regulating Membrane Fluidity Separation of Timescales for Endophilin Dimerization and Membrane Binding Structural Changes of Alpha 1-Antitrypsin Under Osmotic Pressure and in the Presence of Lipid Membranes 
work_bthfrfjn75c4hlrkzeac7qf63u	----	ROP volume 35 issue 1 Cover and Front matter THE REVIEW OF POLITICS Biteheoeh The Uses of Tradition John G. Clifford Grenville Clark and the Origins of Selective Service Michael A. Weinstein New Ways and Old to Talk About Politics Paul E. Sigmund Latin American Catholicism's Opening to the Left Arthur #*. Whitaker The New Nationalism in Latin America Vol. 35 • January, 1973 • No. 1 University of Notre Dame N o t r e D a m e , I n d i a n a h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 02 16 28 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500021628 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS M. A. FITZSIMONS Editor THOMAS STRITCH Managing Editor FRANK O'MALLEY Associate Editor JOSEPH DUFFY, JOHN S. DUNNE, STEPHEN KERTESZ, ROBERT E. BURNS. Advisory Editors DENNIS MORAN Editorial Fellow Copyright 1973 by the University of Notre Dame. Published quarterly at the University of Notre Dame. Issued each January, April, July and October. Entered as second-class matter April 1, 1939, at the post office at Notre Dame, Indiana, under act of March 2, 1879. Subscriptions: $7 the year in the United States and Canada; foreign $7.50; single copies $2. WORLD POLITICS A Quarterly Journal of International Relations Offering articles based on research on the frontiers of scholarship—in history, geogra- phy, economics, international relations, military affairs, foreign policy, sociology, and political theory. Vol. XXV January 1973 No. 2 Technology, International Competition, and Economic Growth: Some Lessons and Perspectives Keith Pavitt Toward a Framework for the Study of Political Change in the Iberic-Latin Tradition: The Corporative Model Howard J. Wiarda The Salience of Gains in Third-World Integrative Systems Lynn K. Mytelka Pen, Sword, and People: Military Regimes in the Formation of Political Institutions Edward Feit Research Note The Counter-Core Role of Middle Powers in Processes of External Political Integration Jean Barrea Review Articles International Law and Political Behavior: Towards a Conceptual Liaison T o m J. Farer On Clausewitz: A Passion for War Bernard Brodie The Military Decade in Africa Aristide R. Zolberg One Year $9. Two Years $15. Single Copies $3. Foreign postage, $.50 additional Published under the editorial sponsorship of the CENTER OF INTERNATIONAL STUDIES Princeton University, Princeton, New Jersey 08540 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 02 16 28 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500021628 https://www.cambridge.org/core https://www.cambridge.org/core/terms The Review of Politics Published Quarterly by the University of Notre Dame, Indiana Vol. 35 JANUARY, 1973 No. 1 James Hitchcock: The Uses of Tradition 3 JohnG. Clifford: Grenville Clark and the Origins of Selective Service .... 17 Michael A. Weinstein: New Ways and Old to Talk About Politics 41 Paul E. Sigmund: Latin American Catholicism's Opening to the Left 61 Arthur P. Whitaker: The New Nationalism in Latin America 77 Reviews: M. A. Fitzsimons: The First Editor of "The Review of Politics" 91 Mary Jo Weaver: New Gods in America 92 Leonard J. Biallas: A Guide to Tillich 93 Kenneth Wolf: A Study of Buber 95 Gerhard Niemeyer: The Political Sterility of Democratic Socialism 96 Walter B. Mead: Ideology: Philosophical Difficulties 99 Kenneth W. Thompson: The Concert of Europe 101 Michael J. Francis: How to Under develop Under- developed Countries 103 Kenneth Wolf: Defining Nationalism, Asian and African 106 James Kritzeck: Islam Reconsidered „ 110 Howard J. Dooley: Nasser's Egypt _ 114 Joseph B. Parker: Campaigning for Congress 115 Joseph M. Duffy: The American: Innocent, Experienced and Obsolete 117 Robert H. Ferrell: Revolution and Intervention: the United States and Mexico 120 Charles J. Tull: Johnson: The Last Hundred Days 122 Roger Hamburg: Deterrence in the 197Cs 123 Richard B. Finnegan: Democracy and Citizenship 125 Lawrence McCaffrey: Ireland's English Question 128 Leon E. Boothe: Wiseman, House and Wilson 130 Robert Kent Tiernan: Conservative Opponents of Appeasement .. 131 Paula Sutter Fichtner: German Rightist Nationalism and "Adapted Fascism" 133 Gordon R. Mork: The German Constitutions 136 Leo R. Ward: Sixty Years of Philosophical Experience 140 Peter Moody: The Chinese Proteus 141 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 02 16 28 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500021628 https://www.cambridge.org/core https://www.cambridge.org/core/terms Contributors to This Issue JAMES HITCHCOCK is Associate Professor of History in St. Louis University. J O H N G. CLIFFORD is Assistant Professor of Political Science in the University of Connecticut. MICHAEL A. WEINSTEIN is Associate Professor of Political Science in Purdue University. PAUL E. SIGMUND is Professor of Political Science in Princeton University. ARTHUR P. WHITAKER is Professor Emeritus of History in the Uni- versity of Pennsylvania. MARY J O WEAVER teaches Church history in the Josephinum (Worthington, Ohio). LEONARD J. BIALLAS is Assis- tant Professor of Theology in the University of Notre Dame. K E N N E T H W O L F is Assistant Professor of History in Murray State University. GERHART NIEMEYER, Professor of Government in the University of Notre Dame, is author of Between Paradise and Nothingness. WALTER B. MEAD is Professor of Political Science in Illinois State University. K E N N E T H W. T H O M P S O N is Vice-President of The Rockefeller Foun- dation. MICHAEL J. FRANCIS, Professor of Government, is for this year Director of the Notre Dame Sophomore Program in Mexico. JAMES KRITZECK is Professor of History in the University of Notre Dame. HOWARD J. DOOLEY is a member of Western Michigan's History De- partment. J O S E P H B. PARKER is a member of the Political Science Department of Indiana University at South Bend. ROBERT H. FERRELL is Professor of History in the University of Indiana. CHARLES J. T U L L is Professor of History in Indiana University at South Bend. ROGER HAMBURG is a member of the Political Science faculty of Indiana Uni- versity at South Bend. RICHARD B. FINNEGAN is a member of Stone- hill's Political Science Department. LAWRENCE J. MCCAFFREY is Professor of History in the University of Loyola (Chicago). LEON E. BOOTHE is Associate Dean of George Mason College of Virginia. ROBERT K E N T TIERNAN is a Notre Dame M.A. in history. PAULA SUTTER FICHTNER is Associate Professor of History in Brooklyn Col- lege, The City University of New York. GORDON R. MORK is Assistant Professor of History in Purdue University. LEO R. WARD, C.S.C., is Professor Emeritus of Philosophy in the University of Notre Dame. PETER MOODY is Assistant Professor of Government in the University of Notre Dame. T H E REVIEW OF POLITICS, without neglecting the analysis of institutions and techniques, is primarily interested in the philosophical and historical approach to political realities. All manuscripts, books for review, exchanges, inquiries, and subscriptions should be addressed to the Editors, T H E REVIEW OF POLITICS, Notre Dame, Indiana 46556. Opinions expressed in the articles printed in T H E REVIEW OF POLITICS are those of the authors alone and not necessarily opinions held by the Editors. The contents of this publication cannot be reissued or republished in any form without special permission from the Editors. The articles in T H E REVIEW OF POLITICS are indexed in the International Index to Periodicals and the Index of Catholic Periodicals and abstracted in the International Political Science Abstracts. They are abstracted and indexed in ABC POL. SCI. and HISTORICAL ABSTRACTS. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 02 16 28 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500021628 https://www.cambridge.org/core https://www.cambridge.org/core/terms 
work_cfxgbqxy7bgsdkrua53644nkhi	----	2661 INTERSTATE COMMERCE COMMISSION WASHINGTON INVESTIGATION NO. 2667 CHICAGO, SOUTH SHORE AND SOUTH FEND RAILROAD COMPANY REPORT IN RE ACCIDENT NEAR HAMMOND, IND., ON JANUARY 23, 1943 - 2 _ Inv-2667 SUMMARY Railroad: Date: Location: Kind of accident: Equipment involved: Train number: Engine number: Consist: Speed: Operation: Track: Hi ghway: Weather: Time: Casualties: Cause: Chicago, South Shore and South Bend January 23, 1943 Hammond, Ind. Collision with motor truck Passenger train 21 Electric motor 106 5 cars 35 m. p. h. Motor truck Tractor, two trailers 2-25 m. p. h. Timetable, train orders and automatic block-signal system Double; 3° curve; 0.65 percent ascending grade eastward Tangent; crosses tracks at angle of 48°42'; level Clear About 1:48 p. m. 1 killed; 5 injured Accident caused by motor truck being driven upon highway grade crossing immediately in front of approacning train - 3 - INTERSTATE COMMERCE COMMISSION INVESTIGATION NO. 2667 IN THE MATTER OF MAKING ACCIDENT INVESTIGATION REPORTS UNDER THE ACCIDENT REPORTS ACT OF MAY 6, 1910. THE CHICAGO, SOUTH SHORE AND SOUTH BEND RAILROAD COMPANY March 2, 1943. Accident near Hammond, Ind-. , on January 23, 1943, caused oy motor truck being driven upon highway grade cross­ ing immediately in front of approaching train. 1 REPORT OF THE COMMISSION PATTERSON, Commissioner: On January 23, 1943, there was a collision between a passenger train and a motor truck on the Chicago, South Snore and Soutn Eend Railroad at a highway grade crossing near Hammond, Ind., which resulted in the deatn of one em­ ployee, and tne injury of four passengers and one pedestrian. •'-Under authority of section 17 (2) of tne Interstate Com­ merce Act the above-entitled proceeding was referred by the Commission to Commissioner Patterson for consideration and di spo sition. - 4 - Hammond, Ind. January 23, 1943 _ 5 - 2667 Location of Accident and Metnod of Operation Tne railroad on wnicn this accident occurred extends be­ tween Kensington, 111., and Soutn Bend, Ind., a distance of 75.6 miles, and is equipped with an overnead catenary system for the electric propulsion of trains. Between Chicago and Kensington trains of tne line involved are operated over a line of the Illinois Central Railroad. In tne immediate vicinity of the point of accident tnis is a double-track line over which trains are operated by timetable, train orders and an automatic block-signal system. The accident occurred on tne eastward main track at a point 4.5 miles east of the station at Hammor%d, Ind., wnere the railroad is crossed at grade by State Highway 912. Approaching from the west on the railroad there are, in suc­ cession, a 2° curve to the right 1,250 feet in length, a tangent 2,220 feet and a 3° curve to the left 624 feet to tne P o i n t of accident and 996 feet beyond. At the point of accident the grade for east-bound trains is 0.65 percent ascending. Highway 912 crosses the tracks at an angle of 48°42'. Aporoacning from tne north the highway is tangent a considerable distance to the crossing and beyond. At the point of accident tne grade is level. Tne highway and the crossing are 18 feet wide. The nignwoy is surfaced with concrete and the crossing with asphalt. The crossing is well maintained. An advance warning highway-crossing sign is located 325 feet north of tne crossing and 5 feet west of the highway. This sign is a disk 15 inches in diameter mounted on a mast and bears the letters "R. R." and a cross in black. This sign is 5 feet nigh. Tne crossing is protected on each side of the tracks by flashing-light signals. The signal governing south-bound traf­ fic is located in tne northwest angle of tne intersection at a point 20 feet north of tne center-line of the westward main track and 6 feet 5 inches west of tne highway. On the m a s t of this signal a cross-buck sign is mounted 13 feet 6 Inches above the level of the pavement, and bears the wo i els "RAILROAD CROSSING-." A horizontal bar, at each end of which a red light 9 inches in diameter is attached, is mounted on the mast 8 feet 6 Inches above the level of the pavement. A vertical sign, attached on the mast and between the red lights, displays through a red lens the letcers "STOP" when the signal is oper­ ated. Tne signals are actuated, when an east-bound train reaches a point 1,865 feet west of the crossing. When the flashing- light signal is being operated a bell on a signal mast in the souchea.st angle of the crossing rings, A crossing-whistle sign for east-bound, trains is locaced 785 feet west of the crossing. Operating rules read in part as follows: 14. Engine Whistle Signals. Note:--Tne signals prescribed are illus­ trated by "o" for short sounds; " 11 for longer sounds. * * * - 6 - 2 6 6 7 Article X I I I , of the 1939 Acts of tne Indiana General Assembly, reads in part as follows: SPECIAL STOPS REQUIRED GRADE CROSSINGS'. Sec. 102. Certain Vehicles Must Stop at All Railroad G-r-de Crossings. (a) Tne driver of any motor vehicle carrying * * * flammable liouids as a cargo or p T t of a cargo, before crossing at grade any track or tracks of a rail­ road, shall stop such vehicle within fifty feet, but not less than ten feet, from the nearest rail of sucn railroad and while so stopped, snail listen through an open window or door and snail look in both directions along such in -ick for any encroaching train, and. for signals indicating o._e approacn of a train, * * * arm mail not pro­ ceed until he can d.o so safely. * * * In the Immediate vicinity of the poire of accident the maximum authorized speed for the train involved is 40 miles per nour. Description of Accident No. 21, an east-bound, first-class p? ssenger train, con­ sisted of tnree multiple-unit cars, one comprrtment car and. one multiple-unit car in tne order named. All cars were of steel construction. ±his train 'as operated from the control station of -lectric motor 103, the front unit. After a tormina, air-brake test was made tni >: train departed from Chicago, III., 20.9 miles west of Hammond, at 1 p. m., according to the dis- ' f patcher's record of movement of trains, on time, passed Kammonc at 1:34 p. m., 2 minutes Int., and while moving a t an estimated speed of 35 miles per hour it collided with a motor truck on a highway grexle crossing 4.5 miles east of the station at Hammond The brakes of No. 21 functioned properly en route. Tne motor truck involved consisted of a t r a c t o r , a semi­ trailer and a full-trailer, in the order named. This equipment Sound. Indie;tion. # # * (l) o o Approaching public crossings at grade. To be prolonged or repeated until crossing is reached. . * # * - 7 - 2S67 was owned and operated by the Rogers Cartage Company, Chicago, 111. The driver, wno was the sole occupant, neld Indiana cnauffeur1s license No. 140257. The tractor was a 1941, cab- over-engine, 6-cyllnder, International KS-8-C0E model, and bore Indiana license No. 8-857 for 1942. Its weight was 9,000 pounds. It was equipped with dual rear wheels and was provided with an enclosed steel cab having a sleeping berth. The semi­ trailer was a Fruenauf Y0-2-DF model, equipped witn dual rear waeels and a steel tank having a capacity of 4,000 gallons. It bore Illinois license No. X-1818. Its weight was 5,900 pounds. The full-trailor was a Fruchauf Y0-2-NDF model, equipped with dual wnoels and a steel tank having a capacity of 4,000 gallons It bore Illinois license No. Z-220. Its weight was 8,300 pounds. The tractor, the semi-trailer and the full-trailer T-ere equipped with Westinghouse air brakes. The three units had an over-all length of 41 feet and a total weight of 25,200 pounds. At the time of the accident the cargo consisted of 8,150 gallons of gasoline, which weigned approximately 24,000 pounds. Tne vehicle, moving southward on State Kignway 912, en route from Roby to Gary, Ind., proceeded upon the crossing involved at a speed variously estimated ac 2 to 25 miles per hour, and the full-trailer was struck by No. 21. Tnere was no unusual condition about the enclosed cab that restricted the vision. At a point on tne highway 425 feet north of uhe crossing involved, the driver of a south-bound ve­ hicle can have an unobstructed view of a train r.pproaching from the west at a distance of about 780 feet. Tne full-trailer was torn loose from the semi-trailer and demolished. The wreckage was carried in front of the train to a ooinc 55 feet east of the point of the collision where it stopped 15 feet south of the eastward main track. The tank was punctured and the escaping gasoline became ignited. No. 21 stopped 639 feet east of the ooint of collision. The front end of the first unit w a s crushed inward, about 16 incnes, and this unit and the second unit were badly damaged by fire. It i'T s clear at the time of the accident, wnich occurred about 1:48 p. m. The employee killed was tne motorman. D at a During tne 30-day period preceding tne day of the accident tnere was a daily average of 74.23 trains over the crossing involved. During tne 24-hour. P e r i o d beginning at 12;01 p. rn., January 28, 1945, 1,555 automobiles, 175 trucks and 78 buses oassed over the crossing. - 8 - 2 6 6 7 Discussion No. 21 was approaching the crossing at an estimated speed cf 35 miles p e r hour in territory where the maximum authorized speed w a s 40 miles p e r hour. The whistle signal w a s sounded for the crossing; in compliance with the rules. It is not known when Lhe m o t c r m T : cf No. 21 first saw tne approaching m e t e r ^ truck, as he was killed in the accident. The evidence indicatem that the train brakes were applied in emergency about 200 feet west of the crossing. Tne train struck, the r e ^ r trailer about midway and the 'wreckage we.s thrown to the south and a snort dis­ tance east cf the crossing. Tne trailer was lorded with gas­ oline, which became ignited when the collision occurred.. The driver of the motor truck involved, was an experienced driver and. was familiar witn the route. Ne said he stopped the motor truck about 25 feet north of the eastward main track, looked in ooth directions along the tracks and then operated, his truck at a. speed of about 2 miles per hour to tne crossing. The left c b window was open but the right c-b window w-ns closed.. He did not see or hear tne warning signals ^t "the crossin , or see the ammroaching train until the collision occurred. On the other hand., two witnesses stated that the f1^sning-iignt sig­ nals and. the warning bell w e r e operating when the truck was approaching the crossing. The signals w r e visible a consider­ able distance, and ,the weather 'ms clear. Several witnesses stated th^t the motor truck did not stop before it reached, the crossing, and trey estimated the speed'. ~t 20 to 25 miles per hour just before the collision occurred.. Tne driver h^d been off duty about 16 hours prior to tre time ne started the trip 'Involved, rnd at the time of the accident had b e e n o n ducy about 1 n o u r 45 'minutes-. The 1 awe of the state of Indiana require m o t o r vehicles carrying- inflammable liould.s as a cnrgo to stop witnin 50 f e e t but not lens than 10 feet from the nearest rail­ road track and. net to proceed, until It' is safe tc do so. If the driver involved had cnmplieu with this provision of the law, undoubtedly he would, have seen the warning signals at the crossing and the aporcacning train, and this accident would, have been averted. Cause It is found that this accident was caused by a motor truck being driven upon a nighway grade crossing immediately in front cf en a.pproaching train. Dated, at Washington, D. C. , tnis second day of March, 1943. ™ Ey the*Commission, Commissioner Patterson. II. P. E'ARTSL, (SEAL) Secretary. 
work_cx6zp7su4be4rd6m7euv2fwgau	----	Center for a Sustainable Future: Centers: College of Liberal Arts and Sciences: Indiana University South Bend Skip to Content Skip to Main Navigation Skip to Search Indiana University South Bend Indiana University South Bend IU South Bend Menu For the Community Academics Grade Replacement Application Form Student Policies and Procedures CLAS Requirements Tutoring Academic Calendar Programs Undergraduate Programs Graduate Programs Centers American Democracy Project Events Mission ADP Live-Stream Civic Leadership Academy Video Archives Candidate Debate Video Archives Center for a Sustainable Future Sustainability Studies Community Connections Bike Friendly Campus Bee Campus Sustainability Showcase Resources Civil Rights Heritage Center Students Internships Scholarships Study Abroad Undergraduate Research Work Study Advising Graduation CLAS Graduation Application CLAS Graduation Application Update Planning And Scheduling Degree Requirements Add/Drop a Major, Minor, or Certificate Handouts, Forms, And Policies Frequently Asked Questions Giving Events College of Liberal Arts and Sciences Home For the Community Academics Grade Replacement Application Form Student Policies and Procedures CLAS Requirements Tutoring Academic Calendar Programs Undergraduate Programs Graduate Programs Centers American Democracy Project Center for a Sustainable Future Civil Rights Heritage Center Students Internships Scholarships Study Abroad Undergraduate Research Work Study Advising Graduation Planning And Scheduling Add/Drop a Major, Minor, or Certificate Handouts, Forms, And Policies Frequently Asked Questions Giving Events Home Centers Center for a Sustainable Future Center for a Sustainable Future The Center for a Sustainable Future works with the campus and community to find innovative and engaging ways to meet the needs of the present without compromising the ability of future generations to meet their own needs. We focus on the discovery and dissemination of practices and strategies that are ecologically friendly, economically sound, and socially responsible. Our goal is to help Michiana become one of most vibrant and leading regions in the newly emerging green economy. Since its establishment in 2008, the Center has developed new sustainability curriculum, facilitated research in sustainability, and fostered civic engagement to help develop sustainability action plans. The Center strives to engage the campus and greater Michiana communities in creating a future focused on the "triple bottom line:" choices that are good for people and the planet, as well as profits, and that take into account ecological and social performance, are promoted and encouraged by the Center. 2019-2020 Annual Report Contact us Center for a Sustainable Future Indiana University South Bend Wiekamp Hall Rm 2249 1700 Mishawaka Ave P.O. Box 7111 South Bend, IN 46634-7111 Phone: (574) 520-4429 Email: csfuture@iusb.edu Facebook Twitter Youtube Pinterest Instagram Events and Projects Events and Projects  Strategic Plan Events Apr 23 Earth Day Arbor Day Service Days 10 a.m.—2 p.m. Apr 24 Earth Day Arbor Day Service Days 10 a.m.—2 p.m. Apr 30 Earth Day Arbor Day Service Days 10 a.m.—2 p.m. Apr 30 Arbor Day Poetry Contest Starts at 1:30 p.m. May 01 Earth Day Arbor Day Service Days 10 a.m.—2 p.m. Teaching Research Center for Sustainable Future Need more information about the center News, Events and Resources? More Resources Subscribe to E-News American Democracy Project Center for a Sustainable Future Sustainability Studies Community Connections Bike Friendly Campus Bee Campus Sustainability Showcase Resources Civil Rights Heritage Center Accessibility | Privacy Notice | Copyright © 2021 The Trustees of Indiana University 
work_d3amqbgfovc7ngrfnrx5siwx6y	----	ROP volume 30 issue 1 Cover and Front matter THE REVIEW OF POLITICS Vol. 30 January, 1968 No. I Ernest W. Lefever: The Limits of U. N. Intervention in the Third World Ali A. Mazrui and G. F. Engholm: Rousseau and Intellectualized Populism in Africa David Nicholls: Few Are Chosen: Some Reflections on the Politics of A. J. Balfour Leonard Opperman: Aid for the States: Is Revenue Sharing the Answer? Thomas V. DiBacco: The Political Ideas of American Business: Recent Interpretations Robert Strausz-Hupe: Social Values and Politics: The Uninvited Guests THE UNIVERSITY OF NOTRE DAME NOTRE DAME, INDIANA h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 51 54 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 27 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500035154 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS ROBERT E. BURNS _ Acting Editor FRANK CMALLEY _..... Associate Editor THOMAS T. McAVOY _ M a n a g i n g Editor JOSEPH DUFFY. JOHN S. DUNNE. STEPHEN KERTESZ. PAUL MONTAVON Advisory Editors Copyright, 1968, by the University of Notre Dame. Published quarterly at the University of Notre Dame. Issued each January, April, July, and October. Entered as second-class matter, April 1 , 1939, at the post office at Notre Dame, Indiana, under Act of March 2nd, 1879. Subscriptions: $5.00 the year in the United States and Canada; foreign $5.40; single copy, $1.50. English representative, Duckett's, 140 Strand, London W . C. 2, England. "CADERNOS BRASILEIROS" Editor: Revbta Binwstral Diretor: Vicente Barretto Afranio Coutinho Setembro - Outubro 1967 Ano IX, No. 5, Numero 43 ARTIGOS 50 ANOS DEPOIS A Evolucao do Marxismo. _ Antonio Paim Reflexoes Sobre a Revolucao. - - Adam B. Ulam Um Afundo em Revolucao - _ —— .Ruv Bello Progresso Cientifico, Avanco Cultural e Desenvolvimento. Xuiz G. Labouriau Carlos Drummond de Andrade: U m Certo Modo de Ver. .Judith Grossmann A Crise Americana II: Vietuame, Cuba e Sao Domingos Theodore Draper POEMA Diabolus. _ .Raul Bopp LIVROS A America Latina e o Brasil -Fabio Lucas O Teatro de Protesto .. Ferreira Gullar Por que Literature? _ _ _ .Oto Agripino Maia O Processo de Criacao no Cinema Jaime Rodzigues ESTANTE Asanaturas: Por um ano (6 numeros): NCr$8,00; Por dots anos (12 numeros): NCr$15,00. Outros poises: Numero avulso, US$2.00; Por um ano (6 numeros), US$11.00; Por dois anas (12 nu- meros) US$22.00. Endereco para assinaluras: Rua Prudente de Morals, 129, Ipanema—ZC-37—Rio de Janeiro, G.B., Brasil. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 51 54 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 27 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500035154 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS Published Quarterly by the University of Notre Dame, Indiana Vol. 30 JANUARY, 1968 No. 1 Ernest W. Lefever: The Limits of U. N. Intervention in the Third World.... 3 Ali A. Mazrui and G. F. Engholm: Rousseau and Intellectualized Populism in Africa 19 David Nicholls: Few Are Chosen: Some Reflections on the Politics of A. J. Balfour 33 Leonard Opperman: Aid for the States: Is Revenue Sharing the Answer? 43 Thomas V. DiBacco: The Political Ideas of American Business: Recent Interpretations 51 Robert Strausz-Hupe: Social Values and Politics: The Uninvited Guests 59 Reviews: Marvin Rintala: Tom Wilson 79 Claude Ake: Africa: The Politics of Unity ..._ _ 82 Paul E. Beichner, C.S.C.: An Adventure in International Education _ 86 Julius W. Pratt: The Dominican Crisis 88 Jaroslaw Piekalkiewicz: Communists and Nationalities in Eastern Europe 90 George N. Shuster: Seminars Are Really for Learning 93 Donald Mattheisen: Hamburg and Germany 94 Stephen D. Kertesz: The Atlantic Partnership and Western Europe .... _ 97 Leon Bernard: Ministers and Soldiers in French Politics 102 Charles J. Tull: Prairie Reformer .... 104 J. David Valaik: Spain in the Modern World 105 William R. Trimble: Tudor Education 107 Philip Gleason: Contemporary Catholicism and American History 109 Bernard Donahoe, C.S.C.: The Politics of Executive Reorganization — 115 Kenneth W. Thompson: Peace and War _ 116 Kenneth W. Grundy: Internal Problems and External Relations in the Developing World ...., 119 David L. Kubal: A Thoughtful Recollection of One Generation for Another 121 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 51 54 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 27 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500035154 https://www.cambridge.org/core https://www.cambridge.org/core/terms CONTRIBUTORS TO THIS ISSUE ERNEST W. LEFEVER, a Senior Staff Member of The Brookings Institution, is author of Uncertain Mandate: Politics of the U. N. Congo Operation (1967). ALI A. MAZRUI, Dean of the Social Science Faculty in Makerere University College (Uganda), is author of To- wards a Pax Africana (1967). His co-author, G. F. ENGHOLM, is a Fellow in Politics, University of Sussex. DAVID NICHOLLS is Lecturer in Government in the St. Augustine (Trinidad) Division of the Uni- versity of the West Indies. LEONARD OPPERMAN is a member of the Indiana Senate. T H O M A S V. DIBACCO is Assistant Professor of History in The American University. ROBERT STRAUSZ-HUPE, Editor of ORBIS, is Director of the Foreign Policy Research Institute, Univer- sity of Pennsylvania. MARVIN RINTALA is Professor of Government in Boston University. CLAUDE A K E is Assistant Professor, Department of Public Law and Government, in Columbia University. PAUL E. BEICHNER, C.S.C., is Dean of the Graduate School in Notre Dame. JAROSLAW PIEKALKEE- WIGZ is Assistant Professor of Political Science in the University of Kansas. JULIUS W. PRATT, DONALD MATTHEISEN, LEON BERNARD, and P H I L I P GLEASON are members of the History Department of the University of Notre Dame, where GEORGE N. SHUSTER serves as Spe- cial Assistant to the President. STEPHEN D. KERTESZ, Professor of Government and International Relations in the University of Notre Dame, is the author of The Quest for Peace Through Diplomacy (1967). CHARLES J. T U L L is Associate Professor of History in Indiana University (South Bend). J. DAVID VALAIK is Associate Professor of History in Canisius College. WILLIAM R. TRIMBLE is Professor of His- tory in Loyola University (Chicago). BERNARD DONAHOE, C.S.C., is a teacher and student of American History. K E N N E T H W. THOMPSON is a Vice-President of the Rockefeller Foundation. K E N N E T H W. GRUNDY., Associate Professor of Political Science in Western Reserve University, is currently a Visiting Professor in Makerere College (Uganda). DAVID L. KUBAL is a member of the English faculty of Michigan State University. T H E REVIEW OF POLITICS, without neglecting the analysis of institutions and techniques, is primarily interested in the philosophical and historical approach to political realities. All manuscripts, books for review, exchanges, inquiries, and subscriptions, should be addressed to the Editors, T H E REVIEW OF POLITICS, Notre Dame, Indiana. Opinions expressed in the articles printed in T H E REVIEW OF POLITICS are those of the authors alone and not necessarily opinions held by the Editors. The contents of this publication cannot be reissued or republished in any form without special permission from the Editors. The articles in T H E REVIEW OF POLITICS are indexed in the International Index to Periodicals and the Index of Catholic Periodicals and abstracted in the International Political Science Abstracts. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 03 51 54 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 27 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500035154 https://www.cambridge.org/core https://www.cambridge.org/core/terms 
work_d3blfojqrbcjfbxupfcra6hxeu	----	THE NOVEMBER MEETING IN SOUTH BEND T h e three hundred ninety-first meeting of the American Mathe- matical Society was held a t the University of Notre Dame, South Bend, Indiana, on Friday and Saturday, November 27-28, 1942 in connection with the Centennial Celebration of the University of Notre Dame. T h e attendance was a b o u t seventy including the following fifty-one members of the Society : Leonidas Alaoglu, E. S. Allen, P. H. Anderson, W. L. Ayres, Henry Blumberg, L. M. Blumenthal, I. W. Burr, R. V. Churchill, C. E. Clark, A. H. Copeland, C. C. Craig, R. P. Eddy, Samuel Eilenberg, G. M. Ewing, N. J. Fine, C. H. Fischer, J. H. Giese, Michael Golomb, Cornelius Gouwens, L. M. Graves, G. E. Hay, M. H. Heins, T. H. Hildebrandt, A. S. Householder, M. H. Ingraham, J. H. Kenna, Joseph Landin, H. W. Linscheid, Eugene Lukacs, G. W. Mackey, Karl Menger, A. N. Milgram, C. J. Nesbitt, Jerzy Neyman, Ivan Niven, C. D. Olds, P. M. Pepper, Maxwell Reade, G. E. Schweigert, A. H. Smith, W. S. Snyder, C. E. Springer, A. H. Stone, D. M. Stone, R. M. Thrall, Bernard Vinograde, Abraham Wald, M. S. Webster, G. W. Whitehead, A. L. Whiteman, J. W. T. Youngs. Sessions for the reading of contributed papers were held on Friday afternoon with Professor L. M. Blumenthal presiding and on Satur- day morning with Professor R. V. Churchill presiding. Jointly with this meeting the University of Notre Dame held its annual Mathe- matical Symposium, the subject being Modern statistics. On Friday afternoon prior to the Society session Professor Jerzy Neyman of the University of California spoke on Theory of confidence intervals and a t the close of the Society session Professor Abraham Wald of Colum- bia University spoke on Outline of a general theory of statistical in- ference. On S a t u r d a y morning before the session of the Society there were two more addresses of the Symposium: Asymptotic properties of the likelihood ratio test by Professor Wald and On a class of tests equiva- lent in the limit to the likelihood ratio tests by Professor Neyman. The presiding officers of the Symposium sessions were Professor C. C. Craig, Dean M. H. Ingraham, Professors Sewall Wright and A. H. Copeland. T h e Symposium addresses contributed greatly to the in- terest of the Society meetings. On Friday evening those attending the meetings were the guests of the University of Notre Dame a t a buffet supper. Titles and cross references to the abstracts of the papers read follow below. Papers 1 to 6 were read Friday afternoon, papers 7 to 12 on S a t u r d a y morning, and papers 13 to 20, whose abstract numbers are followed by the letter /, were read by title. Dr. G. S. Young was introduced by Professor W. L. Ayres. Paper 8 was read by Professor Nesbitt, 9 by Mr. Reed and 11 by Professor Smith. 192 License or copyright restrictions may apply to redistribution; see https://www.ams.org/journal-terms-of-use THE NOVEMBER MEETING IN SOUTH BEND 193 1. Maxwell R e a d e : Remarks on a paper of Beckenbach. (Abstract 49-1-40.) 2. P. M. Pepper: A new method f or imbedding theorems, (Abstract 49-1-76.) 3. A. N . Milgram: A topologically invariant metric property of simple closed curves. (Abstract 49-1-98.) 4. L. M. Graves: Metrisation of weak convergence in Banach spaces, (Abstract 49-1-96.) 5. G. S. Young: Sets of axioms for the plane. Preliminary report. (Abstract 49-1-102.) 6. Karl Menger: Statistical generalizations of metric geometry. (Ab- s t r a c t 49-1-75.) 7. Ivan Niven: An unsolved case of the Waring problem. (Abstract 49-1-10.) 8. C. J. Nesbitt and W. M. Scott: Some remarks on algebras over an algebraically closed field. (Abstract 49-1-9.) 9. Karl Menger and S. G. Reed: On a surface not intersecting the set R\. (Abstract 49-1-97.) 10. G. M. Ewing: Minimizing an integral on a class of continuous curves. (Abstract 49-1-30.) 11. H . F . S. Jonah and A. H. S m i t h : Zero order summability of the series conjugate to the derived Fourier series. (Abstract 49-1-35.) 12. C. E. Springer : Dual goedesics on a surface. (Abstract 49-1-80.) 13. M. A. Basoco: On the Fourier developments of a certain class of theta quotients. (Abstract 48-11-310-/.) 14. Raphael Salem: On some singular monotonie f unctions which are strictly increasing. (Abstract 49-1-41-/.) 15. Ivan Niven: The Pell equation in quadratic fields. (Abstract 49-1-11-/.) 16. Maxwell Reade : On a theorem of Fédoroff and Binney. (Abstract 49-1-39-/.) 17. J. E. Wilkins: A class of functions in the calculus of variations f or multiple integrals in parametric form. (Abstract 49-1-52-/.) 18. Brockway McMillan: Networks of mechanisms. Preliminary report. (Abstract 49-1-68-/.) 19. Max Coral : Solution of quasi-linear partial differential equations through a characteristic initial curve. (Abstract 49-1-29-/.) 20. R. L. Swain: Approximate isometries in bounded spaces. (Ab- stract 49-1-100-/.) W. L. A Y R E S , Associate Secretary License or copyright restrictions may apply to redistribution; see https://www.ams.org/journal-terms-of-use 
work_ddodysn6uvfgzivehb3ku2hzdq	----	The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations Haanstad, E., et al. (2020). The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations. Collaborations: A Journal of Community-Based Research and Practice, 3(1): 12, 1–8. https://doi.org/10.33596/coll.64 REFLECTIONS ON EXPERIENTAL LEARNING PORTAL (STUDENT PORTAL) The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations Eric Haanstad1, Gabrielle Robinson2 and Saliyha Webb3 1 University of Notre Dame, US 2 Indiana University – South Bend, US 3 Florida Conservation Corps, US Corresponding author: Eric Haanstad (ejhaanstad@nd.edu) In 2014, community volunteers and university grant writers created the Bowman Creek Educa- tional Ecosystem (BCe2), focused on revitalizing a river tributary that stretches throughout the Southeast neighborhood of South Bend, Indiana. The organizational partnership linked efforts of local community groups, schools, and universities in continued revitalization a post-industrial urban environment. The initial goals of this ecological coalition included the systematic trans- formation of a long-neglected waterway and its environs. By the summer of 2018, BCe2 was a dynamic organization of thirty interns in eight teams working with a complex host of research advisors, community partners, and three dozen mentors. The interns, from thirteen different universities, colleges, and high schools, worked on a variety of engineering projects including urban sustainability, tree nurseries, lead mitigation, stormwater management, arduino technol- ogy, and vacant lot assessment. As the current organization continues to integrate its efforts in redevelopment projects with the neighborhood surrounding Bowman Creek to expand its benefits for other South Bend communities, it continues to serve as a vibrant opportunity for experiential learning, place-based science, and community-university partnerships. Keywords: experiential learning; place-based science; community-university partnerships; community organization; neighborhood advocacy; ecology; engineering; intern program; urban revitalization; collaborative learning; community liaison In 2014, community volunteers and university grant writers created the Bowman Creek Educational Ecosys- tem (BCe2), focused on revitalizing a river tributary that stretches throughout the Southeast neighborhood of South Bend, Indiana. The organizational partnership linked efforts of local community groups, schools, and universities in continued revitalization of a post-industrial urban environment. The initial goals of this ecological coalition included the systematic transformation of a long-neglected waterway and its environs “into a respected and revered part of the City” (Bowman Creek Project, 2017). By the summer of 2018, BCe2 was a dynamic organization of thirty interns in eight teams working with a complex host of research advisors, community partners, and three dozen mentors.1 The interns, from thirteen different universities, colleges, and high schools, worked on a variety of engineering projects including urban sustainability, tree nurseries, lead mitigation, storm water management, arduino technology, and vacant lot assessment. As the current organization continues to integrate its efforts in redevelopment projects with the neighborhood surrounding Bowman Creek to expand its benefits for other South Bend communities, it continues to serve as a vital opportunity for experiential learning (Efstratia, 2014; Kolb, 1984), place-based science (Hebert & Lewandowski, 2017), and community-university partnerships (Hogan et al., 2017). The project embodies 1 The authors include one of the co-advising mentors and two of the then- undergraduate interns of the 2017 ethnographic team. This research was based on a National Science Foundation Improving Undergraduate STEM Education (IUSE) grant, “The Bowman Creek Educational Ecosystem.” https://doi.org/10.33596/coll.64 mailto:ejhaanstad@nd.edu Haanstad et al: The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations Art. 12, page 2 of 8 active civil engagement and contributes to vibrant research on university-community partnerships (James & Figaro-Henry, 2017), and place-based undergraduate experiences (Bott-Knutson et al., 2018). The BCe2 organization remains deeply committed to the Southeast neighborhood where it is based, but initially fell short in sustaining community outreach efforts to understand its neighbors’ emergent needs. Organizational goals to steer interns towards STEM fields through its projects and training efforts both com- plemented and contended with the values of the local community where it was based. In its first summer of 2016, the organization’s projects tended to assert interventionist roles in the neighborhood through the assumed necessity of local environmental improvements rather than roles informed explicitly by substantial community input. Following these initial intervention-based frameworks, in the summer of 2017, a uniquely-gifted BCe2 intern began fulfilling a critically needed organizational role as a neighborhood resident with ties to the community. As an intern, Valor2 informally and organically became a community liaison as a neighborhood resident and talked openly with other neighbors. In this way, his participation fulfilled a gap between the previous disparity in BCe2’s organizational intervention and the community’s local input. Drawing from BCe2’s ongoing community-university partnership as a collaborative place-based experiential learning pro- ject, this paper explores the crucial importance of employing community liaisons in similar locally-based organizations to foster sustained community benefits and neighborhood advocacy. The mediating roles of community liaisons, individuals who live and work within neighborhoods in which collaborative organiza- tions are based, provide critically-needed rapport, advocacy, and direct input from community members. Building Organizational Capacities for Community Mediation and Local Advocacy BCe2 is organized around improving South Bend’s Southeast neighborhood, an area which continues to experience a revival of community building mostly free of trends of gentrification in other cities. Neverthe- less, half of the neighborhood continues to hold a median income of $17,922 a year and a wide income disparity with the neighborhoods that surround it (City of South Bend, 2015, 2016). Many Southeast neigh- borhood residents are working to transform urban development strategies that are based on the commu- nity’s perceived deficits into those that emphasize its significant strengths. By becoming active participants in the neighborhood, Bowman Creek project teams attempt to directly contribute to these transformations, beginning from their physical presence in the Southeast neighborhood. Valor later reflected, “We are not set up well for community members to visit, we are kind of closed off in the building…it does seem somewhat exclusive” (South Bend, IN, July 2017). Thus, the interns and mentors, including BCe2’s ethnographic team authoring this article, worked in a local multi-use workspace, a reimagined warehouse that provided a local base, but also a relatively comfortable refuge from the complex realities of their neighbors’ lives. In its first years of operation, BCe2’s stated mission to work “with,” but not “for” the community, centered on local improvement projects in urban sustainability, community development, and the internet of things. Through this mission, the project initially focused on engineering and development interventions rather than community advocacy. BCe2’s 2017 orientation lectures included activities positing that people do not necessarily understand what they want rather than focusing on community self- determination. One lecture referred to an example of a surveyed group of Americans who said they preferred strong coffee, but disliked strong coffee when it was provided. As ethnographic interns, we often reflected on the irony and tried to amend BCe2 leaders’ emphasis on doing work “with” and not “for” the community when doing work for the Southeast neighborhood was central to most projects. Simultaneously, for many of BCe2’s mentors, working with established neighborhood groups that claimed to speak for the community was equivalent to working with the community itself. However, these groups were often politically and operationally opposed to each other. For example, one prominent community organization promoted urban gentrification as the penultimate example of positive neighborhood change. As a result, amid economic restraints and structural struggles, many residents per- vasively mistrusted intervening outsiders who were perceived as consistently uncaring and detached from the neighborhood. This community mistrust of outsiders emerged from perceptions of surveillance and negative effects caused by previous external government and charity interventions from outside the neigh- borhood. BCe2 could also be interpreted as operating in similar potentially detrimental ways. However, while observing the Bowman Creek organization, it was clear to the ethnographic team that the program’s 2 “Valor,” like all of the names in this article, is a self-selected pseudonym. Haanstad et al: The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations Art. 12, page 3 of 8 interns were enthused and motivated in the initial weeks. Yet as the interns realized that the required work was difficult or impossible in a condensed ten-week time frame, some of the projects lost their initial allure. Given these difficulties, for BCe2 and similar locally-based groups, the liaison role augments potential gaps in complex urban collaborative projects, providing continuity, commitment, and outreach to community members. Historically, this role originated in the community health research of Community Health Workers (CHWs) in Russia in the late 19th century and these trained rural paramedics emerged again in China in the 1920s as the “Barefoot Doctors” (Perry, 2013). CHWs were locally enlisted in participatory engagements aimed to reduce undernutrition, infection, and disease while fostering local programs of healthcare and wellness (Perry et al., 2014). According to the World Health Organization’s approach, CHWs vary individually except for their shared origins in the communities they work with and in their relative lack of elite educa- tion (Lehmann & Sanders, 2007). Community liaisons are referenced primarily in public health and medical fields where they are a hirable category of employees (Janosch, 2016; Kelley et al., 2012; Musco & Thorn, 2014; Vuong et al., 2008; Wigdorski & Garvey, 2017). Yet the role of community liaisons can be significantly expanded beyond these traditional health roles and occupational boundaries to reinforce other organiza- tional commitments for collaboration. At Bowman Creek, this collaborative role emerged unexpectedly in the summer of 2017, when BCe2 employed Valor as a project intern who was also a long-term neighborhood resident. He joined the project’s affordable housing group, which was tasked with creating strategies for additional low-cost home approv- als in the area. Because he lived within a five-minute walking distance from project’s warehouse space and had strong family ties to the community, the neighborhood was his home and not just a work site. As an older student who attended a local community college with many connections to a network of friends, parishioners, and family, he initially assumed that he would serve as a leader for younger students. As he independently began developing a community liaison role, his project team intensified their engagements and interactions with the community, exceeding the capacities of other groups who lacked similar collabora- tive outreach skills. Valor was intimately familiar with many individuals in the community and often spoke about their intrinsic humanness. Some of these friends in the community, he said, “bring contacts and wis- dom,” while other neighbors provide insights for those who may not have extensive training in learning to understand community needs (South Bend, IN, July 2017). As one of the ten project teams, the affordable housing group joined BCe2’s broader Southeast Neighborhood redevelopment projects. They participated in community events held after work hours, including local efforts to increase street light coverage and to install additional solar panels on South Bend homes. They also attended the meetings of the city council and of local neighborhood organizations. As the only project group who successfully conducted door-to-door surveys, Valor’s skillset became clearly appar- ent to the ethnographic team, project leaders, and other interns. Through his unique talents, demeanor, and connections, Valor performed an invaluable role in the Bowman Creek project’s research, operations, and outreach efforts. BCe2’s interns repeatedly chose him to represent the organization at community events, at meetings with then South Bend Mayor and recent US presidential candidate, Pete Buttigieg, New York Times reporters, and other public interactions. Through Valor’s knowledge of the Southeast neighborhood and an ability to gain trust, the BCe2 organi- zation’s interdisciplinary interests in local collaboration benefited profoundly from his active presence as a community liaison. As a locally-informed participant committed to the neighborhood, his role was key to Bowman Creek’s overall framework, making it possible to operate at a high level of efficiency and integrity. Because this role emerged organically, project leaders did not anticipate how essential he would be to BCe2’s successes. As an impromptu educator, he served to guide interns towards their own insights into how the neighborhood works through participation. In addition, he provided connections within the com- munity so that the interns could access existing networks of neighborhood trust. Valor helped the interns understand the neighborhood by navigating the internal prevailing attitudes and external preconceived notions that influence it. The key to his leadership was not just in carrying out the organization’s initiatives, but also as an advocate to shape the organization towards fostering community agency. His community liaison role emphasized how community growth is locally generative and reliant on collaborative growth from within. The collaboration issues revealed through this role showed how community members perceived BCe2 and its interns as a locally-based organization. In the summer of 2017, for example, one internship team was attempting to provide irrigation to a tree nursery. They encountered difficulties with access to a water source that was in the basement of a neighborhood rental home. Initially, the home owner and the renter granted the interns permission to access the water source based on a cash benefit agreement. Subsequently, Haanstad et al: The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations Art. 12, page 4 of 8 the home renter became reluctant to allow the interns entrance to the basement to hook up the necessary water lines. Valor and another team leader, who was a former city employee, then intervened as experienced mentors, eventually making the tree irrigation possible. While reviewing this initially stressful experience during a subsequent weekly group update, Valor presented possible reasons why this community member might be reluctant to provide access to her home. Another factor exemplifying the critical need to build neighborhood trust in this case emerged from the project team’s initial assumptions that the resident’s increased utility bill was their biggest hurdle. However, when compensation for the bill was resolved, the interns stalled rather then move forward with the intended plans. The importance the resident ascribed to a clean well-maintained home was not anticipated as a poten- tial issue or a major concern. When Valor identified the resident’s feelings of vulnerability as the key reason or not wanting them to enter her house, the interns seemed surprised. Without his experience coming from the local community, they were unable to anticipate these reasons or to understand her perceptions. Nuanced community understanding emerges from intimate familiarity. This subtle discernment is an impor- tant and critical resource for BCe2 and similar local collaborative organizations. Without a capacity for such delicate and critical nuance, communication difficulties between community members and locally-based organizations will continue to emerge. Along with this capacity for informed mediation, community liaisons provide informal education on neighborhood practices, understandings, and perceptions. Their insights into how community residents view a local organization and its interns can serve as a crucial basis for understanding the community’s practical workings. With community knowledge that extends beyond formalized education, local demo- graphics, and neighborhood geographies, liaisons demonstrate the complex heuristics of community mem- bers’ understanding. Their insights benefit communities through feedback based on these locally generated modes of understanding that would otherwise be organizationally inaccessible. As informal educators, they help organizations understand communities as holistic spaces for people’s homes, workplaces, schools, and places of worship. They lead by example, showing interns that informal education programs can help empower communities and that neighborhoods are also spaces to test innovative ideas that imagine poten- tial futures. In addition to enacting potential future trajectories through collaboration, one of the key strengths of liaisons for practicing anthropology is building significant community relationships. Beyond their ability to create robust neighborhood connections, community liaisons create potential space for community advo- cacy among neighborhood-based organizations. While communities can do advocacy work independently, neighborhood advocacy that is initiated by an organization requires building rapport, conducting local research, and gaining community trust. Ethnographic advocates can also direct interns towards organiza- tional mediation to ascertain their needs as well. Through their particular traits and skill sets, whether they are community members or ethnographic researchers, community liaisons can work towards committed neighborhood advocacy. The Role of Community Liaisons in Fostering Organizational Education As a crucial service component for community-based organizations, community liaisons are able to inte- grate collaborative work with communities and create sustained connections to neighborhoods. To foster and sustain genuine relationships in communities, it is essential that such organizations can see and under- stand their role as their neighbors do. These expanded perspectives encourage lasting positive change and the possibilities for revitalizing community vibrancy. Perspectives on organizational education can be trans- formed as well, with community liaisons providing a bridge for knowledge production among community- based student teams. In the case of the Bowman Creek project, many resources are available for interns at the beginning of each summer. Nevertheless, pre-determined directives on project outcomes and produc- tion paths are not mandated in order to ensure self-discovery and improvisation. Programmatically, this improvisational encouragement could more explicitly include the community liaison role, which emerged organically from Valor’s experience and skillset. This sense of self-improvisation and processual flexibility was crucial for BCe2’s interns to create work- ing spaces in which team productions could be based on non- hierarchical experience. As a result, they rallied around the deliberate initial lack of specific pathways and outcomes. With flexibility or openness to new projects, these experiential spaces encouraged interns to share emergent information and previously acquired skills. Interns initiated new roles within their team structures and the overall project including Valor’s community liaison role. They operated independently, conducting improvisational and collaborative research. The project teams’ work resulted in practical implementations outside of textbooks or classrooms. Haanstad et al: The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations Art. 12, page 5 of 8 Mentors also served in a collaborative and advisory capacity, providing disciplinary expertise and practical guidance without giving explicit answers. In addition, local stakeholders ensured that interns were account- able to people within the community, providing a direct contrast from typical classroom experiences that lack community-based accountability. In this high-stakes setting people in the community expect results and, if promised results are not delivered, their potential disappointment provides real consequences. For some interns these expectations caused some initial discomfort while others embraced the challenge of accountable independence. At the beginning of the internship we, the co-authors as part of a team of anthropologists and sociologists, conducted interviews with each intern. During these initial interviews, we asked how interns felt about the real world consequences of their work at Bowman Creek, which could directly affect our neighbors in the community. One intern expressed enjoying that the internship focused on practical projects that helped people in the surrounding community rather than being a graded assign- ment. Another said, Well it makes me feel great [laughing]. I say that it makes me feel great because that means I get to decide on something. That means I have to really work on being as safe as I can. It means that I will really have an impact on people’s lives (“Sua,” South Bend, IN, June 2017). As an engineering student, Sua was excited to apply classroom knowledge towards positive change in South Bend’s Southeast neighborhood, a community that lacks adequate resources to address flooding sewers, poor lighting, and other problems. This intern then reflected on the ethical practices and potential conse- quences of the project, When something has a harmful side it also has a good side…I am assuming the question is more from like the negative side, but I really think that we will be doing more good than harm. Putting in sensors does not cause any harm, it is a good thing it is trying to make sure that we know how much water goes in the ground, so that we can prevent people’s business or homes from flooding. It only has positive effects, I really can’t think of anything that could go wrong (“Sua,” South Bend, IN, June 2017). By contrast, another intern expressed feeling ambiguity and pressure from the initial presence of community stakeholders, but eventually embraced the idea that the neighborhood depended on their work. In response to the question if the interns felt pressured or motivated by this community presence, Sitka replied, It depends. It feels good, but if you mess up one thing then everyone will remember that, so you will have to do like four good things to make it go away. So, it’s kinda scary, but when you do something good, then it makes you feel great. So, it depends on the problem (“Sitka,” South Bend, IN, June 2017). In time, the interns held weekly check-ins with organizational stakeholders, attended after-work community meetings, and stayed up late trying to measure lighting levels in the neighborhood. Many of the interns who felt initial anxiety that community stakeholders depend on their success later saw these expectations as assets. As the project developed, several other interns from South Bend also worked as emergent community liaisons in addition to Valor, demonstrating that the role could be sustained beyond one unique individual. In 2017, hiring efforts to recruit interns from local universities and technical schools brought several other South Bend natives to the project. These efforts to expand BCe2’s institutional diversity continued in 2018 when more than half of the interns were from South Bend or its surrounding communities. Nevertheless, the laudable inclusion of these interns from local neighborhoods was unable to fully match Valor’s longstanding relationship to the community, further supporting the importance of recruiting closely connected leaders for the community liaison role. Alongside interns who grew up in the community, Valor’s sustained collaboration with the Southeast neighborhood is a recommended model for others who perform this role in future university-community partnerships. He attended events with community stakeholders prior to the internship and used this knowl- edge to enhance bonds with local social connections. His efforts transferred to his intern group, creating solid relationships with community stakeholders. Through these reciprocal relationships, stakeholders were willing to provide additional assistance and accessibility to the project’s interns. Individual perceptions and Haanstad et al: The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations Art. 12, page 6 of 8 assumptions evolved among some community members and university interns, into a shared understand- ing of, according to one Southeast neighborhood resident, “the beautiful combination of [our] street smarts with your book smarts” (“Jo,” South Bend, IN, July 2017). By merging the enthusiasm of students with the initiatives of those more grounded in experiential knowledge, community members’ goals and needs were more likely to be integrated into the core goals of BCe2’s initiatives. In this way, the active presence of liaisons from the neighborhood and the surrounding community improved the educational experiences of BCe2 interns. These individuals provided locally-based knowledge and additional awareness of community resources. This crucial role worked in conjunction with the Bowman Creek project’s educational components. The beneficial resources provided by interns with deep community knowledge who know their neighbors well enough to work among them and communicate without reser- vations cannot be understated. Rather than reproduce a formal and hierarchical mentor role, locally-based liaisons also resonated personally with other interns. As collaborative colleagues, they felt more comfortable to discuss problems, seek advice, and share support with peers, which facilitated communication through- out the BCe2 organization. Conclusion: Enhancing and Formalizing the Community Liaison Role The participation of community liaisons significantly improved BCe2’s collaborative capacities to create possibilities for collaboration beyond top-down initiatives for neighborhood improvements. The continued inclusion of interns from the neighborhood can help ensure that community members are truly empowered by this collaborative partnership. In the organization’s short-term cyclical framework, fostering community liaisons remains somewhat difficult as they would primarily join the team each year with a limited knowl- edge of the organization’s projected activities. Through community collaboration, BCe2 can reflect South Bends’ positive future trajectories by helping to transform neighborhoods. The organization’s outreach efforts suggest that by consciously committing to hiring interns and project leaders from the neighborhoods it works within, it can more closely integrate itself with the community. Furthermore, with community connections that expand beyond formal organizational ties, liaisons can continue to gauge overall neighborhood perceptions. They are able to formally and informally interact with disparate groups of people including those in the community in positions of power. Liaisons can attend events outside of the typical work day, with the confidence and openness to create relationship networks between other organizational interns and community power brokers. BCe2’s future community liaisons could already live in the neighborhood or maintain connections to the area beyond their employment with these organizations. Ideally, they would maintain several different connections to their community and organizations like BCe2 that work within it such as the Ala Wai Watershed Collaboration in Hawai’i (Hawaii Green Growth, 2018). Community liaisons working in new organizations that might otherwise be seen as emerging from the “outside” reduce the perceived distance between them and the surrounding community. By creating local jobs, employing neighborhood residents, and working on vital community issues, these organizations could provide crucial improvements. Liaisons who are already part of the community in which they are working, increase the likelihood of making more local connections. In contrast to interns who join organizations for reasons other than improving the neighborhood, such liaisons are already individual stake- holders who have proven their vested community interest. Community organizations like BCe2 focus on creating place-based educational opportunities where interns can explore practical knowledge while applying classroom learning to experiences beyond it. Simultaneously, these emergent organizations work in communities that could benefit from engineering projects that focus on urban sustainability. BCe2 continues to operate within South Bend in its fourth year. In the summer of 2018, it expanded to a second location in South Bend’s West side, a neighborhood with similar complex challenges to the Southeast. The organization has the opportunity to develop its commu- nity relations efforts and to build positive outcomes within these neighborhoods. Prioritizing the inclusion of community liaisons would build trust and rapport in communities that have been marginalized from the city’s development plans, local politics, and educational opportunities for decades. From a nascent project approaching a half decade of operation, BCe2 continues to encounter organiza- tional mistakes and barriers to successful collaborations with South Bend communities. As such, it serves as a critical example to help researchers consider how to build and sustain ethical partnerships with com- munities. Given the documented difficulties of campus-community partnerships in creating and valuing reciprocal relations with community partners (Arrazattee et al., 2013, p. 41), prioritizing community ben- efits through local interventions is crucial in neighborhoods where locally-based projects like BCe2 exist. Focusing on open communication with community members can create organizational bonds with local Haanstad et al: The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations Art. 12, page 7 of 8 neighborhoods. Project interns benefit from immersive and sustained contact to community members who, in turn, encounter engineering and scientific frameworks within the context of the neighborhoods where they work and live. These reciprocal engagements mean that they are not bystanders for change in their neighborhoods, but are active participants of community transformation. This active engagement can serve to empower communities and to encourage neighborhood vibrancy. Community liaisons bridge communi- ties and organizations, bringing them together towards mutual and reciprocal transformation including the welcome potential for organizational change in response to community input and needs. For community- based organizations, actively including liaisons to build neighborhood relations, can help ensure organi- zational continuity and fosters genuine leadership while creating potential for profoundly transformative futures. Competing Interests The authors have no competing interests to declare. References Arrazattee, C. K., Lima, M., & Lundy, L. (2013). Do university communications about campus-community partnerships reflect core engagement principles? Michigan Journal of Community Service Learning, 20(1), 41–52. https://quod.lib.umich.edu/m/mjcsl/3239521.0020.104/--do-university-communications-abou t-campus-community?view=image Bott-Knutson, R. C., Larson, B., Van Heek, N., Nichols, T. J., & Stluka, S. (2018). Community partner- ships help undergraduate students to meet the ‘grand challenges’ of today. Collaborations: A Journal of Community-Based Research and Practice, 2(1), 13. https://doi.org/10.33596/coll.37 Bowman Creek Project. (2017). Bowman Creek Project. University of Notre Dame: Community Engage- ment. http://engagement.nd.edu/community-partners/coalitions/ City of South Bend. (2015). Southeast Neighborhood Master Plan. Planning & Community Resources. https://southbendin.gov/department/community-investment/planning-community-resources/ City of South Bend. (2016). South Bend, Indiana (IN) Income Map, Earnings Map, and Wages Data. City Data. http://www.city-data.com/income/income-South-Bend-Indiana.html Efstratia, D. (2014). Experiential education through project based learning. Procedia, Social and Behavioral Sciences, 152, 1256–1260. https://doi.org/10.1016/j.sbspro.2014.09.362 Hawaii Green Growth. (2018). Ala Wai Watershed Collaboration. Retrieved August 18, 2020, from https:// alawai.hawaiigreengrowth.org/ Hebert, T., & Lewandowski, J. L. (2017). Blending community and content through place-based science. Collaborations: A Journal of Community-Based Research and Practice, 1(1), 4. https://doi.org/10.33596/ coll.2 Hogan, K. S., Tynan, J. M., Covill, V. J., Kilmer, R. P., & Cook, J. R. (2017). A capacity building framework for community-university partnerships. Collaborations: A Journal of Community-Based Research and Prac- tice, 1(1), 1. https://doi.org/10.33596/coll.10 James, F., & Figaro-Henry, S. (2017). Building collective leadership capacity using collaborative twenty-first century digital tools. School Leadership & Management, 37(5), 520–536. https://doi.org/10.1080/1363 2434.2017.1367277 Janosch, K. (2016). Community liaison assistants: A bridge between peacekeepers and local populations. Forced Migration Review, 53, 44–47. Kelley, R. T., Hannans, A., Kreps, G. L., & Johnson, K. (2012). The community liaison program: A health education pilot program to increase minority awareness of HIV and acceptance of HIV vaccine trials. Health Education Research, 27(4), 746–754. https://doi.org/10.1093/her/cys013 Kolb, D. A. (1984). Experiential learning: Experience as the source of learning and development. Prentice Hall. Lehmann, U., & Sanders, D. (2007). Community health workers: What do we know about them? The state of the evidence on programmes, activities, costs and impact on health outcomes of using community health workers. Geneva: World Health Organization, 1–42. https://www.who.int/hrh/documents/community_ health_workers.pdf Musco, M., & Thorn, A. (2014). NT: Now and then. Developing the role of the community liaison nurse for the inpatient unit in the top end (Poster). International Journal of Mental Health Nursing, 23. https:// onlinelibrary.wiley.com/doi/10.1111/inm.12104 Perry, H. (2013). A brief history of community health worker programs. The Maternal and Child Health Inte- grated Program. http://www.mchip.net/sites/default/files/mchipfiles/02_CHW_History.pdf. https://quod.lib.umich.edu/m/mjcsl/3239521.0020.104/--do-university-communications-about-campus-community?view=image https://quod.lib.umich.edu/m/mjcsl/3239521.0020.104/--do-university-communications-about-campus-community?view=image https://doi.org/10.33596/coll.37 http://engagement.nd.edu/community-partners/coalitions/ https://southbendin.gov/department/community-investment/planning-community-resources/ http://www.city-data.com/income/income-South-Bend-Indiana.html https://doi.org/10.1016/j.sbspro.2014.09.362 https://alawai.hawaiigreengrowth.org/ https://alawai.hawaiigreengrowth.org/ https://doi.org/10.33596/coll.2 https://doi.org/10.33596/coll.2 https://doi.org/10.33596/coll.10 https://doi.org/10.1080/13632434.2017.1367277 https://doi.org/10.1080/13632434.2017.1367277 https://doi.org/10.1093/her/cys013 https://www.who.int/hrh/documents/community_health_workers.pdf https://www.who.int/hrh/documents/community_health_workers.pdf https://onlinelibrary.wiley.com/doi/10.1111/inm.12104 https://onlinelibrary.wiley.com/doi/10.1111/inm.12104 http://www.mchip.net/sites/default/files/mchipfiles/02_CHW_History.pdf Haanstad et al: The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations Art. 12, page 8 of 8 Perry, H. B., Zulliger, R., & Rogers, M. M. (2014). Community health workers in low-, middle-, and high- income countries: An overview of their history, recent evolution, and current effectiveness. Annual Review Public Health, 35(1), 399–421. https://doi.org/10.1146/annurev-publhealth-032013-182354 Vuong, T., Marriott, J. L., Kong, D. C. M., & Siderov, J. (2008). Implementation of a community liaison pharmacy service: A randomized controlled trial. International Journal of Pharmacy Practice, 16(3), 127– 135. https://doi.org/10.1211/ijpp.16.3.0002 Wigdorski, K., & Garvey, L. (2017). Keeping patients connected: The role of the community liaison. Oncol- ogy Nurse Forum, 44(2). https://epostersonline.com/ons2017/node/1220 How to cite this article: Haanstad, E., Robinson, G., & Webb, S. (2020). The Crucial Role of Community Liaisons in Place-Based Experiential Education Organizations. Collaborations: A Journal of Community-Based Research and Practice, 3(1): 12, 1–8. https://doi.org/10.33596/coll.64 Published: 07 September 2020 Copyright: © 2020 The Author(s). This is an open-access article distributed under the terms of the Creative Commons Attribution 4.0 International License (CC-BY 4.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. See http://creativecommons.org/licenses/by/4.0/. Collaborations: A Journal of Community-Based Research and Practice is a peer-reviewed open access journal published by University of Miami Libraries. OPEN ACCESS https://doi.org/10.1146/annurev-publhealth-032013-182354 https://doi.org/10.1211/ijpp.16.3.0002 https://epostersonline.com/ons2017/node/1220 https://doi.org/10.33596/coll.64 http://creativecommons.org/licenses/by/4.0/ Building Organizational Capacities for Community Mediation and Local Advocacy The Role of Community Liaisons in Fostering Organizational Education Conclusion: Enhancing and Formalizing the Community Liaison Role Competing Interests References 
work_dhwu5hr7xvbtbmn5doomq2bkfy	----	Elucidating the Molecular Details of Phosphatidylserine Membrane Recognition in Immune Response Tuesday, February 5, 2013 363a The N-terminal domain of huntingtin (Htt17), located immediately upstream of the decisive polyglutamine tract, strongly influences important properties of this large protein and thereby the development of Huntington’s disease. Htt17 markedly increases polyglutamine aggregation rates and huntingtin’s interactions with biological membranes. Here, an ensemble of low-energy conformations of the protein domain was identified by solution NMR in inter- facial environments, and the structure was further refined using solid-state NMR spectroscopy on oriented phospholipid bilayers. The pronounced structural transitions of Htt17 upon membrane-association result in an in- plane aligned a-helical conformation from K6 to F17. The membrane binding of Htt17 and the resulting permeability were quantitatively analyzed and are strongly dependent on lipid composition, whereas the helical tilt angle (~77 degrees) is nearly constant in all membranes investigated. The structure and lipid interactions of Htt17 have pivotal implications for membrane- anchoring and functional properties of hun- tingtin and concomitantly the development of the disease. The Figure shows the solid-state NMR ori- entational restraints from three 15N and one 2H labelled sites (A) and the resulting alignment of the solution NMR structure in the lipid bilayer (B). 1859-Plat Investigating the Mechanism by which Bcl-xL Regulates Ceramide Channels Kai-Ti Chang, Justin Wang, Marco Colombini. University of Maryland, College Park, MD, USA. The level of ceramide, a sphingolipid, increases in mitochondria early in apoptosis resulting in the formation of ceramide channels. These channels are involved in the release of intermembrane space proteins, such as cyto- chrome c, into the cytosol. This release is a crucial and irreversible step in the apoptotic process. Formation of ceramide channels is inhibited by Bcl-xL, an antiapoptotic protein. Insights into the molecular basis for this regulation were obtained in a study of ceramide analogs (Perera, M. N. et al., Biochem. J. 445, 81, 2012). The results indicated that the effectiveness of Bcl-xL is very sensitive to changes in the hydrophobic regions of the ceramide channel. Furthermore, inhibitors (ABT- 737, ABT-263 and antimycin A) that specifically bind to the hydrophobic groove of Bcl-xL interfere with this function of Bcl-xL. These results imply that the hydrophobic groove is important for Bcl-xL to inhibit channel formation or dissemble the channel. We have demonstrated direct binding of a ceramide molecule to Bcl-xL by a fluorescent ceramide competition technique. In addition, site-directed muta- genesis at a single residue in multiple locations in the hydrophobic groove has resulted in a reduction of the inhibitory action of Bcl-xL. These results support the conclusion that Bcl-xL regulates the ceramide channel through the hydrophobic pocket. This same feature is critical to the regulation of proapoptotic Bcl-2 family proteins, thus it inhibits comprehensively all the pro-apoptotic processes of the cell. (supported by NSF grant MCB- 1023008) 1860-Plat Elucidating the Molecular Details of Phosphatidylserine Membrane Recognition in Immune Response Gregory T. Tietjen1, Chiu-Hao Chen2, James Crooks1, Ernesto Vargas1, Kathleen Cao1, Charles Heffern1, Binhua Lin1, Mati Meron1, Benoit Roux1, Mark Schlossman1, Erin Adams1, Ka Yee Lee1. 1University of Chicago, Chicago, IL, USA, 2University of Illinois at Chicago, Chicago, IL, USA. The immune system recognizes a vast array of chemical signatures as anti- gens although historically most research has focused more exclusively on protein/protein recognition. More recently it has been appreciated that lipid membranes can also provide important immunological signals as demon- strated in both phosphatidylserine (PS) recognition in apoptotic cell clearance and transient PS exposure in T Cell activation. Despite the clear immunolog- ical importance of PS exposure and recognition, there remain very few molecular details regarding the mechanisms of PS membrane recognition. Even more fundamentally, it remains unclear if all PS exposing membranes are immunologically equal or if there exists a sensitivity to additional mem- brane properties beyond simply the presence or absence of PS. To address this gap in our understanding we have made use of a novel combination of biophysical and biochemical techniques to elucidate the molecular mecha- nisms by which Tim4 (an immune related PS receptor) recognizes PS con- taining membranes. Tryptophan fluorescence binding assays have revealed that Tim4 binding is sensitive to membrane PS composition suggesting that there is more to the story than a single PS to single protein interaction. By utilizing a combination of x ray reflectivity measurements to determine membrane bound protein orientation and depth of penetration, as well as molecular dynamics simulations to support the experimental results, we have developed a protein/membrane binding model that provides structural evidence to explain the unique complexities of Tim4 mediated PS membrane recognition. Most significantly, these results provide a standard against which other immunologically related PS receptors can be compared, thereby allow- ing us to begin to address the more fundamental question of just how impor- tant lipid membrane recognition is for our bodies’ immunological defense mechanisms. 1861-Plat Investigating the Molecular Basis of cPLA2a Membrane Bending Katherine E. Ward1, James P. Ropa1, Emmanuel Adu-Gyamfi1, Robert V. Stahelin1,2. 1 University of Notre Dame, South Bend, IN, USA, 2 Indiana University School of Medicine at South Bend, South Bend, IN, USA. Signal transduction mediates disease through key molecular targets that initiate signaling networks. As protein-lipid interactions have been exam- ined in the literature, their role in cellular signaling has become more prev- alent as lipid-binding proteins have become high impact drug targets in cancer, inflammation and viral egress. One such target, termed cytosolic phospholipase A2 a (cPLA2a), has been shown to play a key role in the production of the inflammatory mediators prostaglandins and leukotrienes. A novel function of the protein was recently discovered in our lab showing cPLA2a bends zwitterionic membranes using model membranes, a process that is mediated by cPLA2a’s ability to deeply penetrate membranes. Others in the field have reported cPLA2a to participate in Fc mediated phagocytosis, intra-Golgi trafficking and endosomal trafficking which fur- ther supports cPLA2a’s ability to bend membranes in biological processes. In addition, direct evidence has been reported using siRNA showing that cPLA2a induced vesiculation in cells. These results translate into our cellular system as cells transfected with eGFP-cPLA2a form cytoplasmic vesicular structures. We have preliminary evidence showing cPLA2a membrane bending is mediated by oligomerization. The origin of oligomer- ization is currently under further investigation using both in vitro and cellular techniques. 1862-Plat Probing for p-Cation Interactions in the Binding of B. Thuringiensis Phosphatidylinositol-Specific Phospholipase C Phosphatidylcholine-Rich Vesicles Tao He1, Boqian Yang2, Cedric Grauffel3, Nathalie Reuter3, Anne Gershenson2, Mary F. Roberts1. 1 Boston College, Chestnut Hill, MA, USA, 2 University of Massachusetts, Amherst, MA, USA, 3University of Bergen, Bergen, Norway. Bacillus thuringiensis phosphatidylinositol specific phospholipase C (PI-PLC) binds tightly to phosphatidylcholine (PC)-rich vesicles. A possible mecha- nism for tight binding to PC interfaces involves tyrosine p / choline cation complexes. With this in mind, we have mutated surface tyrosine residues (Y86A, Y88A, Y204S, Y246A, Y247A, Y248A, Y251A), located on the bar- rel rim and in two helices of this (ab)-barrel protein, to assess their contri- bution to vesicle binding. None of these mutations significantly alter the rate of PI cleavage in vesicles, as long as the PI concentration is > 4 mM. However, binding to PC-containing vesicles, as measured by fluorescence correlation spectroscopy, showed a loss of affinity. The loss-of-Tyr mutant proteins fall into two classes: (i) those where Kd(mut)/Kd(WT) < 5 (Y86A, Y247A) and (ii) those where the ratio of mutant Kd to that of the WT was 100-300 (Y88A, Y204S, Y246A, Y248A, Y251A). With the excep- tion of Y204S/Y251A the effects of the mutations appear to be additive, We also attempted to enhance interactions with PC by introducing new Tyr or Trp residues on the surface, but these mutations either reduced membrane af- finity or left it unchanged. Apparently, more specific interactions are needed to enhance binding. Estimating DDG for these Tyr/PC interactions from the apparent Kd values, we find that the free energy associated with Tyr86 and Tyr247 is ~ 4 kJ/mol, comparable to the value predicted by the Wimley- White scale. In contrast, removal of the other surface Tyr is linked to a higher energy cost: 10-13 kJ/mol towards pure PC vesicles. These higher energies Investigating the Mechanism by which Bcl-xL Regulates Ceramide Channels Elucidating the Molecular Details of Phosphatidylserine Membrane Recognition in Immune Response Investigating the Molecular Basis of cPLA2α Membrane Bending Probing for π-Cation Interactions in the Binding of B. Thuringiensis Phosphatidylinositol-Specific Phospholipase C Phosphat ... 
work_dpbng5eicvg6pe6akjbreacmau	----	Gray, Robert Q. The Labour Aristocracy in Victorian Edinburgh. Oxford: Clarendon Press, 1976. Pp. 220. Tables, maps. £8.00 All Rights Reserved © Urban History Review / Revue d'histoire urbaine, 1977 Ce document est protégé par la loi sur le droit d’auteur. L’utilisation des services d’Érudit (y compris la reproduction) est assujettie à sa politique d’utilisation que vous pouvez consulter en ligne. https://apropos.erudit.org/fr/usagers/politique-dutilisation/ Cet article est diffusé et préservé par Érudit. Érudit est un consortium interuniversitaire sans but lucratif composé de l’Université de Montréal, l’Université Laval et l’Université du Québec à Montréal. Il a pour mission la promotion et la valorisation de la recherche. https://www.erudit.org/fr/ Document généré le 5 avr. 2021 22:12 Urban History Review Revue d'histoire urbaine Gray, Robert Q. The Labour Aristocracy in Victorian Edinburgh. Oxford: Clarendon Press, 1976. Pp. 220. Tables, maps. £8.00 Mark J. Stern Numéro 2-77, october 1977 URI : https://id.erudit.org/iderudit/1019580ar DOI : https://doi.org/10.7202/1019580ar Aller au sommaire du numéro Éditeur(s) Urban History Review / Revue d'histoire urbaine ISSN 0703-0428 (imprimé) 1918-5138 (numérique) Découvrir la revue Citer ce compte rendu Stern, M. J. (1977). Compte rendu de [Gray, Robert Q. The Labour Aristocracy in Victorian Edinburgh. Oxford: Clarendon Press, 1976. Pp. 220. Tables, maps. £8.00]. Urban History Review / Revue d'histoire urbaine,(2-77), 131–133. https://doi.org/10.7202/1019580ar https://apropos.erudit.org/fr/usagers/politique-dutilisation/ https://www.erudit.org/fr/ https://www.erudit.org/fr/ https://www.erudit.org/fr/revues/uhr/ https://id.erudit.org/iderudit/1019580ar https://doi.org/10.7202/1019580ar https://www.erudit.org/fr/revues/uhr/1977-n2-77-uhr0908/ https://www.erudit.org/fr/revues/uhr/ 131 and those of the Pocahontas area and the South on the other. The city was the gateway to the south-eastern states, a position of fundamental importance both for its own development and that of the vast area beyond the Ohio. It was the foremost example among cities in its population range of the multi-terminal metropolis, so thatthe growth and special character of its various parts were strongly affected by the expansion of its railroad pattern. Finally, there was a particular kind of interaction between growth and avenues of commerce arising first from earlier modes of transportation, but more decisively from its unique topography - no American city has been more profoundly shaped by its geological history than has Cincinnati. The Railroad and the City is an excellent, highly illustrated chapter in the history of railroad technology; a story told in terms of its interaction with the evolution of a particular city. Alan F. J. Artibise Department of History University of Victoria * * * Gray, Robert Q. The Labour Aristocracy in Victorian Edinburgh. Oxford: Clarendon Press, 1976. Pp. 220. Tables, maps. £8.00. Quantitative methods have proven themselves to be a descrip- tive tool in urban research. However, the real test facing its practitioners in North America is to integrate quantitative methodology with an insightful and provocative theoretical grounding. In pursuing this task, British historians have set a standard that researchers on this side of the ocean will be hard put to equal. John Foster's book on Class Struggle and the Industrial Revolution (1974) and the book under review both have proved that social theory and quantitative research can complement each other. 132 Gray1s book focuses on the city of Edinburgh, but within the confines of the ancient city it ranges over a wide spectrum of human activity. After a brief description of the city's physical development, Gray takes on the following topics: the character of the industrial structure and the place of the labour aristocracy within it, the relative position of various important trades with regard to wages and the standard of living, cultural and social aspects of the labour aristocracy and their relation to the middle-class conception of "respectability", and the political transition of the Edinburgh working class from Liberalism to Labourism. Theoretically, Gray relies heavily on the work of Antonio Gramsci, both in his use of the concept of hegemony and in his analysis of ideology whose "essentially incoherent and fragmented character" is at the heart of Gray's analysis. In conclusion, Gray takes dead aim on Foster's analysis of the role of the labour aristocracy. For Foster, this elite was a key element in the process of "liberalization" which diffused the revolutionary crisis of the forties. While Gray does not deny the accomodationist aspect of the labour aristocracy, he sees this as only one pole of the group's ambiguous and complex class position. The accommodation they reached with the ruling ideology, Gray takes pains to show, was a "negotiated version" of the original, and at the same time as the labour aristocracy was reaching this accommodation, it was providing the links between trade unionism and socialism. In terms of methodology, Gray's most exciting innovations are in his chapter on wages and the standard of living. He makes extensive use of company pay records from the key trades of the Edinburgh economy in order to trace wage differentials and their movement over time. These sources provide insights into the economic structure of capitalism that are not available from census and assessment records. In conclusion, Gray's study, along with the work of Foster and Gareth Stedman Jones, provides a model of the interaction of social 133 structure and consciousness in 19th century Britain with which the North American experience can be compared. Furthermore, considering the flow of Scottish immigrants to this continent, Gray1 s work may provide a more direct insight into the development of industrial capitalism in North America. Mark J. Stern York University * * * Esslinger, Dean R. Immigrants and the City: Ethnicity and Mobility in a Nineteenth Century Midwestern City. Port Washington, New York: Kennikat Press, 1975. Pp. 156. Tables, maps. $9.95. Immigrants and the City is a study of immigrant mobility in South Bend, Indiana, between 1850 and 1880. As it grew in size from 1,378 to 7,070, South Bend shifted from a commercial to a small industrial city with a predominantly native-born population. Esslinger studies the minority: all immigrants (at first English, Irish, and German, later Polish) and their children. The work is primarily quantitative, supplemented by material from newspapers and other local historical sources. Esslinger traces the geographic origins of the population, the extent of population persistence, residential patterns, occupational mobility, and community leadership. He finds that only about one-fifth of the foreign population remained in the city during intervals of ten years and that industrialization had little effect on persistence. Residential patterns were not segregated, though by the end of the period more clustering by ethnicity and occupation had become evident. The Polish immigrants remained in semi-skilled factory work while the Irish, English, and Germans more often entered skilled work or non- manual occupations. Native-born sons of foreign men had more 
work_dtv4sjgbofgx3hcznqynjfwpwq	----	Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X-Ray Scattering, Neutron Scattering, CD Spectroscopy and MD Simulations Sunday, February 16, 2014 91a 483-Pos Board B238 Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X- Ray Scattering, Neutron Scattering, CD Spectroscopy and MD Simula- tions Kiyotaka Akabori1, Bradley W. Treece1, Michael S. Jablin1, John F. Nagle1, Brian Maranville2, Kun Huang3, Angel E. Garcia3, Stephanie Tristram- Nagle1. 1 Biological Physics Group, Physics Dept., Carnegie Mellon University, Pittsburgh, PA, USA, 2NIST Center for Neutron Research, Gaithersburg, MD, USA, 3Department of Physics and Astronomy, Rensselaer Polytechnic Institute, Troy, NY, USA. In an effort to understand membrane translocation of a cell-penetrating peptide, interactions of HIV-1 Tat peptide (GRKKRRQRRRPPQ) with DOPC, DOPC/ DOPE, DOPC/DOPS, and nuclear membrane mimics were investigated using low- and wide-angle x-ray scattering (LAXS and WAXS), neutron scattering, and circular dichroism (CD) spectroscopy. The diffuse scattering analysis applied to LAXS collected at CHESS revealed that Tat-membrane interactions reduce the membrane thickness by ~1 Å. In DOPC and DOPC/DOPE mem- branes, the position of Tat was found to transition from the vicinity of the glycerol-carbonyl headgroup to the phosphate headgroup as Tat mole fraction was increased from 0.009 to 0.06. The area per lipid for DOPC and DOPC/ DOPE membranes increased by ~2 Å2 at the highest Tat mole fraction. The membrane bending modulus was found to decrease by roughly a factor of 2 at the highest Tat mole fraction except for the nuclear mimic. The chain- orientational order parameter, Sxray, calculated from WAXS and corrected for mosaic spread, showed Tat slightly disordered chains. Neutron scattering collected at NIST from fully hydrated samples consisting of DOPC:DOPE (3:1) membranes and Tat at 0.06 mole fraction showed a prominent, broad peak corresponding to a Tat-membrane correlation of ~100 Å. The secondary structure of Tat calculated from CD spectra using DichroWEB was found to be the same in pure water as in lipid thin films and primarily consisted of b-sheet and random coil with small helical content. Our findings are consistent with the results from MD simulations by Herce and Garcia, which suggested that Tat in- teracts with phosphate headgroups across the bilayer, facilitating the formation of pores. The ensemble of configurations obtained from a new MD simulation allows visualization of Tat/membrane interactions. Funded by GM44976, GM86801, DMR-0936384(CHESS), and DOE(NIST). 484-Pos Board B239 A Systematic Study of Phase Changes Induced by Trans-Membrane Pep- tide Gramicidin-A in Multi-Component Lipid Membranes Ebrahim Hassan-Zadeh, Juyang Huang. Physics, Texas Tech University, Lubbock, TX, USA. What are the effects of proteins on lipid membrane domains? In order to answer this question, we systematically investigated the phase changes induced by trans-membrane peptide gramicidin-A in 16:0-18:2PC(PLPC)/ di18:0PC(DSPC)/cholesterol and 16:0-18:2PC/di16:0PC(DPPC)/cholesterol lipid bilayers. Quaternary giant unilamellar vesicles (GUV) were prepared us- ing our recently developed Damp-Film method. The phase boundaries of liquid-ordered and liquid-disordered (LoþLd) coexisting region as well as the critical points were determined using video fluorescence microscopy. Within the phase coexisting regions, thermodynamic tie-lines were determined using a fluorescence assay. Our results show that adding 1 mol% of gramicidin produces significant and complex phase changes to the lipid bilayers: at some lipid compositions, gramicidin can induce lipid domains; at others, gramicidin completely abolish the phase separation; even if the phase separation is pre- served, gramicidin significantly alters the lipid compositions of membrane do- mains and tie-lines. In the biological relevant critical region, these changes could be quite dramatic. We also measured gramicidin-A partition coefficients between coexisting LoþLd lipid phases. Away from the critical point, the co- efficient is close to 2, indicating that gramicidin slightly prefers the disordered Ld lipid domains with smaller bilayer thickness. However, the partition coeffi- cient continuously changes with lipid composition. Near the critical point, the partition coefficient approaches to the theoretical value of 1. 485-Pos Board B240 Physical Properties of Model Membranes Containing Pope and Phytos- terol Ya-Wei Hsueh, Yen-Chun Chen. Dept. of Physics, National Central University, Jung-li, Taiwan. We have studied the effect of phytosterol on the physical properties of 1-palmi- toyl-2-oleoyl-sn-glycero-3-phosphoethanolamine (POPE) multilamellar vesi- cles using deuterium nuclear magnetic resonance ( 2 H NMR). The sn-1 chain of POPE is deuterium labeled. The NMR spectra were taken as a function of temperature and phytosterol concentration. The order of POPE-d31 mem- branes, measured through the spectral first moment, is almost not affected by the addition of phytosterol in the gel phase, while it increases with phytosterol concentration in the liquid-crystalline phase. A significant difference in the ability of phytosterol to disorder the gel-phase and to order the liquid-phase POPE membranes is observed. This finding differs from those observed in POPE/chol and other lipid/sterol systems. Furthermore, the temperature- composition phase diagram will be discussed. 486-Pos Board B241 Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Edwin Li, Christopher Moll, Bernadette Eichman, Jessica King. Biology, Saint Joseph’s University, Philadelphia, PA, USA. Overexpression of the membrane protein mucin 1 (MUC1) has been linked to 75% of all human solid tumor cancers, including 90% of breast carcinomas. In cancer cells, MUC1-MUC1 homodimerization has been associated with cell migration and adhesion. Furthermore, this interaction is necessary for forming complexes with growth factor receptors and targeting to the nucleus, where MUC1 can interact with effector proteins regulating gene expression. Thus, un- derstanding how MUC1 forms homodimers is essential for developing novel therapeutic strategies to block its oncogenic effects. A recent study has shown that the membrane proximal CQC motif promotes dimerization under oxidizing conditions, suggesting that the motif may act as a redox switch in response to changes of cytosolic oxidant levels. Aside from these few studies focusing on the CQC motif, very little is known regarding the mechanism of MUC1 homo- dimerization. Currently, we are using the ToxR and AraTM assays to investi- gate if the transmembrane domain, without the cytosolic CQC motif, is able to dimerize by itself. We are also measuring if the dimerization propensity of the TMD changes with the membrane proximal CQC motif. The two assays allow us to compare the dimerization propensity when the CQC motif is in reducing and oxidizing environments. 487-Pos Board B242 Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Katherine E. Ward1, James P. Ropa1, Robert V. Stahelin1,2. 1Chemistry and Biochemistry, University of Notre Dame, South Bend, IN, USA, 2Biochemistry and Molecular Biology, Indiana University School of Medicine-South Bend, South Bend, IN, USA. Lipid membranes play a critical role in cellular signaling through selective protein-lipid interactions. The membrane composition of organelles often drives specific proteins to localize in cells. Lipid binding proteins, including those harboring BAR and ENTH domains, have been shown to shape biological membranes into vesicles necessary to transport cargo across the membrane. Recently, we observed that the calcium-dependent enzyme cytosolic phospho- lipase A2 (cPLA2), bends model membranes through its N-terminal C2 domain, which is dependent upon its membrane penetration (Ward et al. JLR, 2012). Thus, in addition to its role in generating arachidonic acid from membrane phospholipids, this enzyme may have a role in regulating membrane curvature changes. This hypothesis is supported by roles for cPLA2 described in the liter- ature including intra-Golgi trafficking, Golgi tubulation, Golgi vesiculation and Fc-receptor-mediated phagocytosis. We found that membrane bending by cPLA2 translated into A549 and HeLa cells, supporting the physiological rele- vance of our earlier findings. Thus, we sought to characterize the molecular forces driving cPLA2-dependent membrane bending in vitro and in cells. Using a variety of mCherry and mEGFP protein chimeras, we investigated the hy- pothesis that cPLA2 oligomerizes on membranes with a series of correlation spectroscopy experiments. These results show that cPLA2 forms large protein oligomers on cytoplasmic vesicles using number and brightness analysis and with an in vitro crosslinking assay. Taken together, using a variety of biophys- ical methods, we have consistently found cPLA2 to oligomerize through its C2 domain in vitro and in cells. 488-Pos Board B243 Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein- Sucrose Mixtures Zachariah I. Strango, Caleb W. Reese, Christopher J. Ver Hoef, Paul E. Harper. Department of Physics and Astronomy, Calvin College, Grand Rapids, MI, USA. Sugars play key roles in the biology, yet much remains unknown about their interactions with lipids. In particular, we examine the effect of different con- centrations of sucrose-water solutions on the cubic - inverted hexagonal transi- tion in monoolein. Using DSC (differential scanning calorimetry), we ramp the temperature up and down through the transition and measure the ramp-rate Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X-Ray Scattering, Neutron Scattering, CD Spectroscopy and MD ... A Systematic Study of Phase Changes Induced by Trans-Membrane Peptide Gramicidin-A in Multi-Component Lipid Membranes Physical Properties of Model Membranes Containing Pope and Phytosterol Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein-Sucrose Mixtures 
work_dtxb6rho6bdojo6lokhtcpwob4	----	Physical Properties of Model Membranes Containing Pope and Phytosterol Sunday, February 16, 2014 91a 483-Pos Board B238 Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X- Ray Scattering, Neutron Scattering, CD Spectroscopy and MD Simula- tions Kiyotaka Akabori1, Bradley W. Treece1, Michael S. Jablin1, John F. Nagle1, Brian Maranville2, Kun Huang3, Angel E. Garcia3, Stephanie Tristram- Nagle1. 1 Biological Physics Group, Physics Dept., Carnegie Mellon University, Pittsburgh, PA, USA, 2NIST Center for Neutron Research, Gaithersburg, MD, USA, 3Department of Physics and Astronomy, Rensselaer Polytechnic Institute, Troy, NY, USA. In an effort to understand membrane translocation of a cell-penetrating peptide, interactions of HIV-1 Tat peptide (GRKKRRQRRRPPQ) with DOPC, DOPC/ DOPE, DOPC/DOPS, and nuclear membrane mimics were investigated using low- and wide-angle x-ray scattering (LAXS and WAXS), neutron scattering, and circular dichroism (CD) spectroscopy. The diffuse scattering analysis applied to LAXS collected at CHESS revealed that Tat-membrane interactions reduce the membrane thickness by ~1 Å. In DOPC and DOPC/DOPE mem- branes, the position of Tat was found to transition from the vicinity of the glycerol-carbonyl headgroup to the phosphate headgroup as Tat mole fraction was increased from 0.009 to 0.06. The area per lipid for DOPC and DOPC/ DOPE membranes increased by ~2 Å2 at the highest Tat mole fraction. The membrane bending modulus was found to decrease by roughly a factor of 2 at the highest Tat mole fraction except for the nuclear mimic. The chain- orientational order parameter, Sxray, calculated from WAXS and corrected for mosaic spread, showed Tat slightly disordered chains. Neutron scattering collected at NIST from fully hydrated samples consisting of DOPC:DOPE (3:1) membranes and Tat at 0.06 mole fraction showed a prominent, broad peak corresponding to a Tat-membrane correlation of ~100 Å. The secondary structure of Tat calculated from CD spectra using DichroWEB was found to be the same in pure water as in lipid thin films and primarily consisted of b-sheet and random coil with small helical content. Our findings are consistent with the results from MD simulations by Herce and Garcia, which suggested that Tat in- teracts with phosphate headgroups across the bilayer, facilitating the formation of pores. The ensemble of configurations obtained from a new MD simulation allows visualization of Tat/membrane interactions. Funded by GM44976, GM86801, DMR-0936384(CHESS), and DOE(NIST). 484-Pos Board B239 A Systematic Study of Phase Changes Induced by Trans-Membrane Pep- tide Gramicidin-A in Multi-Component Lipid Membranes Ebrahim Hassan-Zadeh, Juyang Huang. Physics, Texas Tech University, Lubbock, TX, USA. What are the effects of proteins on lipid membrane domains? In order to answer this question, we systematically investigated the phase changes induced by trans-membrane peptide gramicidin-A in 16:0-18:2PC(PLPC)/ di18:0PC(DSPC)/cholesterol and 16:0-18:2PC/di16:0PC(DPPC)/cholesterol lipid bilayers. Quaternary giant unilamellar vesicles (GUV) were prepared us- ing our recently developed Damp-Film method. The phase boundaries of liquid-ordered and liquid-disordered (LoþLd) coexisting region as well as the critical points were determined using video fluorescence microscopy. Within the phase coexisting regions, thermodynamic tie-lines were determined using a fluorescence assay. Our results show that adding 1 mol% of gramicidin produces significant and complex phase changes to the lipid bilayers: at some lipid compositions, gramicidin can induce lipid domains; at others, gramicidin completely abolish the phase separation; even if the phase separation is pre- served, gramicidin significantly alters the lipid compositions of membrane do- mains and tie-lines. In the biological relevant critical region, these changes could be quite dramatic. We also measured gramicidin-A partition coefficients between coexisting LoþLd lipid phases. Away from the critical point, the co- efficient is close to 2, indicating that gramicidin slightly prefers the disordered Ld lipid domains with smaller bilayer thickness. However, the partition coeffi- cient continuously changes with lipid composition. Near the critical point, the partition coefficient approaches to the theoretical value of 1. 485-Pos Board B240 Physical Properties of Model Membranes Containing Pope and Phytos- terol Ya-Wei Hsueh, Yen-Chun Chen. Dept. of Physics, National Central University, Jung-li, Taiwan. We have studied the effect of phytosterol on the physical properties of 1-palmi- toyl-2-oleoyl-sn-glycero-3-phosphoethanolamine (POPE) multilamellar vesi- cles using deuterium nuclear magnetic resonance ( 2 H NMR). The sn-1 chain of POPE is deuterium labeled. The NMR spectra were taken as a function of temperature and phytosterol concentration. The order of POPE-d31 mem- branes, measured through the spectral first moment, is almost not affected by the addition of phytosterol in the gel phase, while it increases with phytosterol concentration in the liquid-crystalline phase. A significant difference in the ability of phytosterol to disorder the gel-phase and to order the liquid-phase POPE membranes is observed. This finding differs from those observed in POPE/chol and other lipid/sterol systems. Furthermore, the temperature- composition phase diagram will be discussed. 486-Pos Board B241 Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Edwin Li, Christopher Moll, Bernadette Eichman, Jessica King. Biology, Saint Joseph’s University, Philadelphia, PA, USA. Overexpression of the membrane protein mucin 1 (MUC1) has been linked to 75% of all human solid tumor cancers, including 90% of breast carcinomas. In cancer cells, MUC1-MUC1 homodimerization has been associated with cell migration and adhesion. Furthermore, this interaction is necessary for forming complexes with growth factor receptors and targeting to the nucleus, where MUC1 can interact with effector proteins regulating gene expression. Thus, un- derstanding how MUC1 forms homodimers is essential for developing novel therapeutic strategies to block its oncogenic effects. A recent study has shown that the membrane proximal CQC motif promotes dimerization under oxidizing conditions, suggesting that the motif may act as a redox switch in response to changes of cytosolic oxidant levels. Aside from these few studies focusing on the CQC motif, very little is known regarding the mechanism of MUC1 homo- dimerization. Currently, we are using the ToxR and AraTM assays to investi- gate if the transmembrane domain, without the cytosolic CQC motif, is able to dimerize by itself. We are also measuring if the dimerization propensity of the TMD changes with the membrane proximal CQC motif. The two assays allow us to compare the dimerization propensity when the CQC motif is in reducing and oxidizing environments. 487-Pos Board B242 Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Katherine E. Ward1, James P. Ropa1, Robert V. Stahelin1,2. 1Chemistry and Biochemistry, University of Notre Dame, South Bend, IN, USA, 2Biochemistry and Molecular Biology, Indiana University School of Medicine-South Bend, South Bend, IN, USA. Lipid membranes play a critical role in cellular signaling through selective protein-lipid interactions. The membrane composition of organelles often drives specific proteins to localize in cells. Lipid binding proteins, including those harboring BAR and ENTH domains, have been shown to shape biological membranes into vesicles necessary to transport cargo across the membrane. Recently, we observed that the calcium-dependent enzyme cytosolic phospho- lipase A2 (cPLA2), bends model membranes through its N-terminal C2 domain, which is dependent upon its membrane penetration (Ward et al. JLR, 2012). Thus, in addition to its role in generating arachidonic acid from membrane phospholipids, this enzyme may have a role in regulating membrane curvature changes. This hypothesis is supported by roles for cPLA2 described in the liter- ature including intra-Golgi trafficking, Golgi tubulation, Golgi vesiculation and Fc-receptor-mediated phagocytosis. We found that membrane bending by cPLA2 translated into A549 and HeLa cells, supporting the physiological rele- vance of our earlier findings. Thus, we sought to characterize the molecular forces driving cPLA2-dependent membrane bending in vitro and in cells. Using a variety of mCherry and mEGFP protein chimeras, we investigated the hy- pothesis that cPLA2 oligomerizes on membranes with a series of correlation spectroscopy experiments. These results show that cPLA2 forms large protein oligomers on cytoplasmic vesicles using number and brightness analysis and with an in vitro crosslinking assay. Taken together, using a variety of biophys- ical methods, we have consistently found cPLA2 to oligomerize through its C2 domain in vitro and in cells. 488-Pos Board B243 Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein- Sucrose Mixtures Zachariah I. Strango, Caleb W. Reese, Christopher J. Ver Hoef, Paul E. Harper. Department of Physics and Astronomy, Calvin College, Grand Rapids, MI, USA. Sugars play key roles in the biology, yet much remains unknown about their interactions with lipids. In particular, we examine the effect of different con- centrations of sucrose-water solutions on the cubic - inverted hexagonal transi- tion in monoolein. Using DSC (differential scanning calorimetry), we ramp the temperature up and down through the transition and measure the ramp-rate Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X-Ray Scattering, Neutron Scattering, CD Spectroscopy and MD ... A Systematic Study of Phase Changes Induced by Trans-Membrane Peptide Gramicidin-A in Multi-Component Lipid Membranes Physical Properties of Model Membranes Containing Pope and Phytosterol Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein-Sucrose Mixtures 
work_eqjisqpibbgg7oyxea3z4jvo7u	----	pnas201009210 141..141 LETTER H2S and O2 sensing Oxygen-sensing cells in the carotid body, blood vessels, airways, and adrenal gland initiate vital homeostatic responses to hypoxia and hypoxemia. Inappropriate activity of these cells is asso- ciated with a variety of pathophysiologies, but despite intense research and obvious clinical applicability, there is no consensus regarding the oxygen sensor that directly couples oxygen avail- ability to the eventual physiological response. In the recent article “H2S mediates O2 sensing by the carotid body,” Peng et al. (1) showed that the hypoxic responses of ca- rotid bodies were significantly decreased in mice lacking cys- tathionine γ lyase (CSE), one of the enzymes involved in H2S biosynthesis. They also provided evidence for H2S-mediated hypoxic responses in both chemoreceptor and adrenal chro- maffin cells. The authors state in their introduction that “given that carotid bodies are peripheral organs and that H2S is redox active, we hypothesized that CSE-derived H2S plays a role in hypoxic sensing by the carotid body”; in their discussion, they state that the “present study established a physiological role for H2S generated by CSE in mediating hypoxic sensing” (1). This leads the reader to believe that the authors have identified a novel oxygen-sensing mechanism. Actually, this is not a novel hypothesis (1). Peng et al. (1) failed to cite that the concept of H2S-mediated O2 sensing was first proposed by us (2) in 2006. In our model, tissue H2S concentration is established by the simple balance between constitutive production and oxygen-dependent in- activation. In subsequent work (reviewed in ref. 3), we showed that H2S and hypoxic responses were identical and that the latter could be blocked by inhibitors of H2S biosynthesis. We measured H2S production in many living tissues in real time and showed that H2S concentration was inversely related to tissue PO2 at PO2s encountered during hypoxia. We also showed that H2S was readily consumed by mitochondria, also at physi- ologically relevant Po2s. Clearly, there was substantial evidence for H2S-mediated O2 sensing before the study by Peng et al. (1). Furthermore, Peng et al. (1) failed to acknowledge that we had previously shown H2S-mediated O2 sensing in fish chromaffin cells (4) and that these cells are homologous to the mammalian cells. In fact, the only reference to any of our papers was this brief sentence: “It is interesting to note that H2S has been demonstrated to mediate O2 sensing by the trout gill chemoreceptors, indicating that it is an ancient well- conserved system across phyla” (1). Actually, this is more than a phylogenetic curiosity. Not only did we present evidence for- a H2S-mediated O2 sensing mechanism, we clearly pointed out that these chemoreceptors are homologous to, and the ante- cedent of, mammalian chemoreceptors (5). In our opinion, our work established the precedent for H2S-mediated O2-sensing mechanisms in both chemoreceptors and chromaffin cells. Kenneth R. Olsona,1 and Steve F. Perryb aDepartment of Physiology, Indiana University School of Medicine, South Bend, IN 46617; and bDepartment of Biology, University of Ottawa, Ottawa, ON, Canada K1N 6N5 1. Peng YJ, et al. (2010) H2S mediates O2 sensing in the carotid body. Proc Natl Acad Sci USA 107:10719–10724. 2. Olson KR, et al. (2006) Hydrogen sulfide as an oxygen sensor/transducer in vertebrate hypoxic vasoconstriction and hypoxic vasodilation. J Exp Biol 209:4011–4023. 3. Olson KR, Whitfield NL (2010) Hydrogen sulfide and oxygen sensing in the cardio- vascular system. Antioxid Redox Signal 12:1219–1234. 4. Perry SF, McNeill B, Elia E, Nagpal A, Vulesevic B (2009) Hydrogen sulfide stimulates catecholamine secretion in rainbow trout (Oncorhynchus mykiss). Am J Physiol Regul Integr Comp Physiol 296:R133–R140. 5. Olson KR, et al. (2008) Hydrogen sulfide as an oxygen sensor in trout gill chemo- receptors. Am J Physiol Regul Integr Comp Physiol 295:R669–R680. Author contributions: K.R.O. and S.F.P. wrote the paper. The authors declare no conflict of interest. 1To whom correspondence should be addressed. E-mail: olson.1@nd.edu. www.pnas.org/cgi/doi/10.1073/pnas.1009210107 PNAS | September 14, 2010 | vol. 107 | no. 37 | E141 D o w n lo a d e d a t C a rn e g ie M e llo n U n iv e rs ity o n A p ri l 5 , 2 0 2 1 mailto:olson.1@nd.edu 
work_f5xoyslenbcndb3epkhp5ne3ly	----	ROP volume 53 issue 3 Cover and Front matter THE REVIEW OF POLITICS University of Notre Dame Summer 1991 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 52 29 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500015229 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS Editor DONALD P. KOHHERS Managing Editor DENNIS WM MOHAN Booh Review Editor WALTER NICGORSKI Associate Editors Philip Gleason Alasdair Maclntyre E. A. Goerner Thomas Werge Former Editors Waldemar Gurian Thomas Stritch M. A. Fitzsimons Frederick J. Crosson Editorial Advisory Board Henry J. Abraham Theodore J. Lowi University of Virginia Cornell University Charles W. Anderson Harvey C. Mansfield University of Harvard University Wisconsin-Madison Shlomo Avineri M a p y ^ " © l s Hebrew University Fordhatn University of Jerusalem Arlene Saxonhouse Robert F. Byrnes University of Michigan Indiana University K e n n e t h W . Thompson Ernest L. Fortin University of Virginia Boston College Gerald Garvey Glenn Tinder Princeton University „ University of . . . • Massachusetts-Boston Arend Lijphart University of Catherine Znckert California-San Diego Carleton College Editorial Intern V. Bradley Lewis T H E REVIEW OF POLITICS, without neglecting the analysis of institutions and techniques, is primarily interested in the philosophical and historical approach to political realities. The articles in T H E REVIEW OF POLITICS are indexed in the International Index to Periodi- cals and the Index of Catholic Periodicals and abstracted in the International Political Science Abstracts. They are abstracted and indexed in ABC POL. SCI. and HISTORICAL ABSTRACTS and SOCIAL SCIENCES INDEX. THE REVIEW OF POLITICS (ISSN 0034-6705) is published quarterly for $25.00 per year in the United States (Individual, $20.00); foreign $28.00 (Individual, $23.00); single copies, $10.00 (domestic) and $11.00 (foreign) by The University of Notre Dame, P.O. Box B, Notre Dame, IN 46556. Second-class postage paid at Notre Dame, IN. POSTMASTER: Send address changes to THE REVIEW OF POLITICS. P.O. Box B, Notre Dame, IN 46556. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 52 29 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500015229 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE REVIEW OF POLITICS Published Quarterly by the University of Notre Dame, Indiana Vol. 53 Summer 1991 No. 3 LEWIS P. HINCHMAN AND SANDRA K. HINCHMAN Existentialism Politicized: Arendt's Debt to Jaspers 435 ROBERT MAYER Hannah Arendt, National Socialism and the Project of Foun- dation 469 THOMAS K. LINDSAY The "God-Like Man" versus the "Best Laws": Politics and Religion in Aristotle's Politics 488 CHARLES LOCKHART American Exceptionalism and Social Security: Complemen- tary Cultural and Structural Contributions to Social Program Development 510 GERHART NIEMEYER On Authority and Alienation: A Meditation 530 Reviews: Glen E. Thurow: THINKING THROUGH THE MODERN EXECUTIVE Review of Harvey C. Mansfield, Jr.'s Taming the Prince: The Ambivalence of Executive Power 547 John Brademas: AMERICA'S SECOND MOST POWERFUL OFFICE Review of Ronald M. Peters, Jr.'s The American Speakership: The Office in Historical Perspective 549 Kent A. Kirwan: REQUISITES OF AMERICAN STATESMANSHIP Review of Robert A. Goldwin's Why Blacks, Women, and Jews Are Not Mentioned in the Constitution and Other Unorthodox Views 551 Alan Gibson: MADISON'S THINKING IN THE LATER YEARS Review of Drew R. McCoy's The Last of the Fathers: James Madison and the Republican Legacy 555 David L. Salvaterra: CATHOLIC CULTURE IN POST-1920 AMERICA Review of Arnold Sparr's To Promote, Defend and Redeem: The Catholic Literary Revival and the Cultural Transformation of American Catholicism, 1920- 1960 559 h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 52 29 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500015229 https://www.cambridge.org/core https://www.cambridge.org/core/terms Gerard Wegemer: POLITICS AND PATERNITY IN RENAISSANCE CULTURE Review of Debra Kuller Shuger's Habits of Thought in the English Renaissance: Religion, Politics, and the Dominant Culture 561 Dante Germino: MACHIAVELLIAN ANTI-MACHIAVELLIANISM? Review of Robert Bireley's The Counter-Reformation Prince: Anti-Machia- vellian or Catholic Statecraft in Early Modem Europe 563 Stephen M. Fallon: BETWEEN HOBBES AND MILTON Review of Conal Condren's George Lawson's Politica and the English Revolu- tion 565 Patrick J . C. Powers: KANT'S PRACTICAL INTENT Review of Richard L. Velkley's Freedom and the End of Reason: On the Moral Foundations of Kant's Critical Philosophy 568 Edward J . Harpham: T H E HUMEAN AND KANTIAN HAYEK Review of Chandran Kukathas's Hayek and Modern Liberalism 571 Kerry H. Whiteside: SOCIAL THEORY AND THE FRENCH EXISTENTIALISTS Review of Sonia Kruks's Situation and Human Existence: Freedom, Subjectivity, and Society 573 Elliot Bartky: Is WAR DEMOCRACY'S SOLE INCAPACITY? Review of Peter T. Manicas's War and Democracy 576 James W. Muller: IMPERIALISM AS THE HIGHEST STAGE OF CIVILIZATION Review of Kirk Emmert's Winston S. Churchill on Empire 580 INSTRUCTIONS T O CONTRIBUTORS All manuscripts should be submitted in QUADRUPLICATE to The Review of Politics, Box B, Notre Dame, IN 46556. If the return of the manuscript is desired, a stamped, self-addressed envelope should be enclosed. All typewritten material should be double-spaced, including notes and quotations; photocopies of a good quality are acceptable. The Review follows the Chicago Manual of Style for standards of citation, punctuation, and other editorial considerations. The normal length of manuscripts published is 25-30 pages. Longer manuscripts will be evaluated in light of the limited printing space available. Since manu- scripts are evaluated anonymously they should not bear the author's name or institutional affiliation. Submissions should be sent with an ABSTRACT of 100-150 words. All correspondence regarding book reviews should be sent to Mr. Walter Nicgorski at the above address. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 52 29 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500015229 https://www.cambridge.org/core https://www.cambridge.org/core/terms Contributors to This Issue SANDRA K. H I N C H M A N is Associate Professor of Govern- ment in St. Lawrence University. L E W I S P . H I N C H M A N is Associate Professor of Government in Clarkson University- Potsdam. R O B E R T M A Y E R is Assistant Professor of Political Science in Loyola University. T H O M A S K . LINDSAY is a member of the Political Science D e p a r t m e n t in the University of Northern Iowa where he teaches political philosophy. CHARLES LOCKHART is Professor of Political Science in Texas Christian University. G E R H A R T NIEMEYER is Professor Emer- itus of Government in the University of Notre D a m e ; he also serves as C a n o n in the Episcopal Cathedral of St. J a m e s in South Bend, Indiana. GLEN E. THUROW is Graduate Dean of Liberal Arts in the Uni- versity of Dallas. JOHN BRADEMAS, before becoming President of New York University, served 22 years as United States Represen- tative in Congress from Indiana's Third Congressional District. KENT A. KIRWAN is a member of the Political Science Department in the University of Nebraska at Omaha. ALAN GIBSON is Adjunct Assistant Professor of Government in the University of Notre Dame. DAVID L. SALVATERRA teaches history in Loras College. GERARD WEGEMER teaches English literature in the University of Dallas. DANTE GERMINO is Professor of Political Science in the University of Virginia. STEPHEN M. FALLON is a member of Notre Dame's Program of Liberal Studies. PATRICK J . C. POWERS teaches politics in Assumption College. EDWARD J . HARPHAM is Associate Professor of Government and Political Economy in the University of Texas at Dallas. KERRY H. WHITESIDE is Associate Professor of Government in Franklin and Marshall College. ELLIOT BARTKY is a member of the Political Science Department in Indiana University-Purdue University at Fort Wayne. JAMES W. MULLER is Associate Professor of Political Science in the University of Alaska, Anchorage. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 52 29 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500015229 https://www.cambridge.org/core https://www.cambridge.org/core/terms THE MAXWELL PRIZES IN EUROPEAN STUDIES International Society for the Study of European Ideas Sponsored by the European Cultural Foundation and History of European Ideas The International Society for the Study of European Ideas (ISSEI) announces the 1991/92 Maxwell Prizes to be awarded for the two best essays in European Studies. They are offered by Robert Maxwell, Publisher, Pergamon Press, the patron of the Society. The 1991/92 prizes will be US$1,000 each. Themes for 1991/92 I: The End of History? II: Language and National Identity RULES * The competition is open to any candidate regardless of age. * The essay must be submitted not later than 31 December 1991. * The essay should be original and of interest to the general reader. No essay will be considered which has previously been published or is being considered for publication elsewhere. * Manuscripts, typed double-spaced on A4 paper, should be submitted preferably in English and follow the guidelines for authors published in History of European Ideas. * The winners will be notified by post prior to the prize being announced. * The decision of the judges will be final. The two winning essays will be published in History of European Ideas. To enter an essay into the competition please send three copies and a short curriculum vitae to: P. Purvey, Secretary, ISSEI, Pergamon Press pic, Headington Hill Hall, Oxford OX3 ()BW,\j.K.h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 52 29 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0034670500015229 https://www.cambridge.org/core https://www.cambridge.org/core/terms 
work_fcfcccidive37cqhw27b3iiyqu	----	The relative difficulty of a subject-generated rule in an attribute identification task RICHARD L. GOITW ALD* and MICHAEL R. SW AI NEt Indiana l'/niversity at South Bend. South Bend. Ind. 46615 Comparisons of attribute identification difficulty were made among a S-generated conceptual rule (double conjunction) and two commonly studied conceptual rules (biconditional and exlusive disjunction). The three rules described identical subsets of stimuli. The double conjunction was the easiest. The other two rules did not differ in difficulty. There were also effects due to practice and the salience of the relevant attributes, but there were no significant interactions among the three variables (rule, practice, attribute salience). Concept attainment may be viewed as a learning task in which S must learn to identify some subset of stimuli. Usually S is expected to fonnulate a rule involving one or more relevant attributes. Haygood & Bourne (1965) have demonstrated the feasibility of analyzing this task into two components: attribute identification, a procedure in which S is told the rule but the relevant attributes are unknown; and nile learning, a procedure in which S is told the critical values of the relevant attributes but the rule is unknown. Usually several different conceptual rules may be used to describe a subset of stimuli. For example, consider the subset (red triangle. green square) of the set of stimuli generated by the two binary attributes of color (red and green) and form (triangle or square). This subset may be described by an exclusive disjunction rule (exemplars of the concept are red or square but not both red and square), by a biconditional rule (red and triangle or not-red and not-triangle) , or by a rule we shall term a double conjunction (red and triangle, green and square). In most attribute identification studies (e.g., Haygood & Bourne, 1965), the critical levels of the relevant attributes are held constant. but the composition of the positive and negative subsets varies across concepts . In the above examples, the relevant attributes are held constant and the composition of the positive and negative subsets remains the same but the critical values of the relevant attributes vary across concepts. It has not yet been determined whether the type of rule will affect the difficulty of attribute identification when the composition of the positive and negative subsets is held constant. One purpose of the present study was to answer this question. Typically , concept attainment studies have used rules based upon a variety of logical connectives between attribute levels , e.g., conjunction, inclusive or exclusive disjunction, conditional, biconditional, etc. However, 'Requests for reprints should be sent to Richard L. Gottwald, Department of Psychology. Indiana University at South Bend South Bend, Ind. 46615. ' tNow at Indiana University at Bloomington. Ind. 47401. Bull. Psychon. Soc ., 1974, Vol. 3 (lA) Gottwald (1971 a, b) examined Ss' protocols in a complete learning task (attributes and rule both unknown), and found that almost all Ss used rules based upon simple affinnations and conjunctions, although other kinds of rules would have been equally correct. Thus, in the example given above, most Ss would be expected to use the double conjunction rule. Indeed, Gottwald (1971 a, b) found that 23 out of 23 Ss did use the double conjunction rule in logically similar concepts. One would expect attribute identification to be easier if the rule was one frequently verbalized by Ss rather than a rule that was rarely verbalized, even though it might be equally correct. However, the fact that Ss use a certain rule does not necessarily mean that that rule is easier than other possible rules. The present study was designed to evaluate the relative difficulties of the double conjunction, biconditional, and exclusive disjunction rules in attribute identification. METHOD Subjects A total of 48 Ss (26 male and 22 female) was drawn from the introductory psychology pool at Indiana University at South Bend . Course credit was given for participation in the experimen t. Stimuli and Concepts The stimuli were schematic drawings of "bugs" which varied on four binary attributes: body shape, spot color, leg number, and antenna type. The relevant attributes were either body shape and spot color or body shape and antenna type. Preliminary work with a free classification task showed that the pair of body shape and spot color was high in salience (used in 40.4% of the classifications) and the pair of body shape and antenna type was moderately low in salience (used in 11.9% of the classifications). The concepts were logically similar to the above example and could be described by either a double conjunction, biconditional , or exclusive disjunction rule. Procedure The S was told that he was in a learning experiment and that his task was to learn to identify a class of bug which was labeled alpha. The S was shown both values of each of the four attributes and he was given one of the three rules as the rule that would identify the alphas. The rule was carefully described to S, and the rule with an example was on a card available to S throughout the experiment. Each S was tested on two attribute identification problems involving only one rule. For one-half of the Ss, body and spots were relevant in the fust problem and body and antenna were relevant in the second. For the other half of the Ss, this order was reversed. A set of 16 stimuli was prepared for each problem. The stimuli were presented to each S in four random orders. The stimuli were in the form of slides, and were back-projected for 8 sec \\;th 1 sec between slides. When a stimulus appeared , S responded verbally and E gave immediate verbal feedback . After S had responded to one order of the set of 16 stimuli, he was asked to \\Tite a complete rule which would identify the alphas. Guessing was encouraged. Each 21 Table 1 Mean Trials to Last Error Order of Learning Conceptual Rule First Second Mean Double Conjunction 58.2 31.2 44.7 Biconditional 85.1 55.6 70.4 Exclusive Disjunction 79.9 74.1 77.0 ~lean 74.4 53.6 rule was examined and, if it was not the correct type of rule, E explained the rule again. This procedure was repeated until S reached a criterion of one perfect classification of the set of 16 stimuli or until S had responded to a total of 160 stimuli. RESULTS AND DISCUSSION Table 1 shows mean trials to criterion (excluding the 16 criterion trials) for the various conditions. The three conceptual rules differed in difficulty, F(2,42) = 3.80, p < .05. The double conjunction was easier than the other two rules, smaller F(l ,42) = 4.98, p < .05, and the exclusive disjunction and biconditional were not Significantly different (F < 1.0). The task was easier when the relevant attributes were high in salience, F(1,42) = 4.18, P < .05. Mean trials to criterion was 54.4 when body shape and spot color were relevant and 73.7 when body shape and antenna type were relevant. There was also a significant practice effect, F(l,42) = 4.83, P < .05. Mean trials to criterion for Problem 1 was 74.4 and for Problem 2, 53.6. None of the interactions was significant (smallest p> .10). These results show that the difficulty of attribute identification is affected by the type of rule even when the composition of the stimulus subsets is held constant. In addition, the S-generated rule, double conjunction was easier than the two commonly studied rules, biconditional and exclusive disjunction. Informal observation suggests that Ss had less trouble 22 understanding the double conjunction than the other two rules when they were first informed about the nature of the rules. However, all Ss were using the correct type of rule by the end of the first problem, and the differences in difficulty were still present in the second problem. Thus, the pattern of results is due to more than initial difficul ty in understanding and probably reflects some inherent differences among the rules. It is not surprising that the biconditional and exclusive disjunction did not differ in difficulty, because previous studies also found no difference in difficulty between the two rules, both in a complete learning task (Neisser & Weene, 1962) and in an attribute identification task using the more conventional methodology (Giambra, 1971; Laughlin, 1968). Gottwald (1971 c) found that the results of a free classification task could be used to predict the salience of attribute pairs in a complete learning task using a double conjunction type of concept. The present results confirm this finding and extend it to the attribute identification task. REFERENCES Giambra, L. M. Selection strategies for eight concept rules with non-exemplar start cards. Journal of Experimental Psychology, 1971, 87, 78-92. Gottwald, R. L. Attribute-response correlations in concept attainment. American Journal of Psychology, 1971a, 84, 425-436. Gottwald, R. L. Effects of response labels in concept attainment. Journal of Experimental Psychology, 1971b, 91, 30-33. Gottwald, R. L. Attribute salience and attribute-response correlations in concept attainment. Paper presented at the meeting of the Eastern Psychological Association, New York, April 1971c. Haygood, R. C., & Bourne, L. E., Jr. Attribute- and rule-learning aspects of conceptual behavior. Psychological Review, 1965, 72, 175-195. Laughlin, P. R. Focusing strategy for eight conceptual rules. Journal of Experimental Psychology, 1968, 77, 661-669. Neisser, U., & We ene, P. Hierarchies in concept attainment. Journal of Experimental Psychology, 1962, 64, 640-645. (Received for publication September 18, 1973.) Bull. Psychon. 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work_gcuvbyz775hvreexzcxs7ike74	----	Spatial and Temporal Regulation of the Nedd4 Family of E3&nbsp;Ubiquitin Ligases through Phospholipid Binding Wednesday, February 6, 2013 595a CORE Metadata, citation and similar papers at core.ac.uk Provided by Elsevier - Publisher Connector distribution of PICK1. To investigate whether the altered cellular distribution results directly from a change in the lipid binding capacities of the AH, we em- ploy a Single Liposome Curvature Sensing (SLiC) assay. We use quantitivative fluorescence microscopy to evaluate the binding of the phospho-mimicking mutants to nanosized liposomes in terms of MC-sensing, lipid affinity and membrane deformation. Intriguingly, we find that this single phospho-mimicking mutation in the AH is sufficient to change the lipid binding capacities of the entire protein, likely causing the altered cellular distribution of the phosphorylated protein seen in the cells. As MC-sensing has been shown to be dependent on the AH of N-BAR proteins in general, we speculate that the finding may apply generally to phospho-regulation of N-BAR proteins. 3065-Pos Board B220 Membrane Penetrating Ability of Ebola Matrix Protein, VP40 Smita P. Soni1, Emmanuel Adu-Gyamfi2, Robert V. Stahelin2,3, Christina Leblang1. 1IU- School of Medicine, South Bend, IN, USA, 2University of Notre Dame, Notre Dame, IN, USA, 3IU-School of Medicine, South Bend, IN, USA. Ebola from the filoviridae family of viruses causes severe and mostly fatal hem- orrhagic fevers in primates and has been listed as a category IV pathogen by the NIH. Viral Protein 40 (VP40), the major matrix protein of Ebola virus, regu- lates the assembly and budding of the virus and alone harbors the ability to form virus-like particles (VLPs) from human cells. We hypothesize that VP40 is a high affinity lipid binding and membrane curvature-inducing protein with specificity for plasma membrane (PM) lipids. This specificity leads to localization of VP40 to the PS-rich inner leaflet of the PM and formation of VLPs. Using fluorescence spectroscopy to investigate VP40 binding and inser- tion within lipid vesicles (POPC:POPS) containing brominated lipids. Because the fluorescence of the tryptophan is variably quenched depending on its dis- tance from the bromine atoms on the lipid acyl chain, a tryptophan introduced into the membrane binding interface was utilized as a probe to detect the depth of membrane penetration of VP40. Results were indicative of VP40’s high af- finity and specificity for PS in a PS-concentration dependent manner demon- strating the robust ability of VP40 to penetrate membranes. Further analysis of VP40 membrane insertion revealed a depth of penetration more than halfway into one monolayer of the membrane. Data also confirmed that VP40 binds with nanomolar affinity to vesicles that recapitulated the PM in comparison to the nuclear membrane. In addition VP40-mutants, which inhibit membrane binding and penetration, obstruct VLP formation and release. Cellular assays confirmed the lipid-binding specificity of VP40 in the PM of different cell lines and also demonstrated that deep membrane penetration is essential for VLP. We predict that these results will elucidate the molecular basis of VP40 induced membrane curvature changes, a prerequisite to the PM deformation required for VLP production. 3066-Pos Board B221 Spatial and Temporal Regulation of the Nedd4 Family of E3 Ubiquitin Ligases through Phospholipid Binding Jordan L. Scott1, Robert V. Stahelin2. 1University of Notre Dame, South Bend, IN, USA, 2Indiana University School of Medicine, South Bend, IN, USA. The Nedd4 family of HECT ubiquitin ligases are essential regulators of cellular polarity, ion channel activity, motility, and inflammatory signaling. HECT fam- ily Ubiquitin ligases employ a catalytic cysteine residue to target cellular sub- strates for mono or poly ubiquitination. The Nedd4 family has nine members each with an N-terminal canonical C2 domain, protein recognition WW do- mains, and a catalytic HECT domain. While several reports in the literature in- dicate which substrates these proteins target, little is known about how their cellular localization and catalytic activity are regulated by their C2 domains. These domains have previously been shown to bind phospholipids and to be re- quired for the localization of some members to the plasma membrane. In our laboratory, we employ surface plasmon resonance (SPR) technology to mea- sure the affinity of proteins for specific lipids in an in vitro environment with a lipid vesicle coated surface. Using SPR, we have investigated the specific lipid binding properties of the Nedd4 family C2 domains to vesicles of specific composition. We find that several Nedd4 family C2 domains bind to phosphoi- nositides with nanomolar affinity. In addition, we have used vesicular sedimen- tation assays and immunological lipid blots to confirm these binding results. We are employing confocal microscopy and fluorescent C2 constructs to deter- mine their cellular localization and to quantitatively determine their diffusion coefficients, oligomerization state in the cytosol and at cellular membranes. Finally, we are using both confocal microscopy and immunoblotting to deter- mine how lipid binding regulates the ubiquitination state of Nedd4 family members. 3067-Pos Board B222 Mode of Action of the Bacterial Thermosensor Desk Involved in Regulating Membrane Fluidity Joost Ballering1, Larisa E. Cybulski2, Martijn C. Koorengevel1, Martin Ulmschneider3, Diego de Mendoza2, J. Antoinette Killian1. 1 Membrane Biochemistry & Biophysics, Bijvoetcenter for Biomolecular Research, Utrecht University, Utrecht, Netherlands, 2 Instituto de Biologı́a Celular y Molecular de Rosario-CONICET, Universidad Nacional de Rosario, Rosario, Argentina, 3Institute of Structural and Molecular Biology Department of of Biological Sciences Birkbeck University of London, London, United Kingdom. The Bacillus subtilis membrane harbors the temperature sensing and signaling protein DesK. At low temperatures it triggers expression of a desaturase, which introduces double bonds into pre-existing phospholipids, thereby regulating membrane fluidity. Recently it was discovered [1] that both sensing and trans- mission of DesK, which has five transmembrane segments, can be captured into one single chimerical transmembrane segment, the so-called ‘minimal sensor’ (DesK-MS). This protein can be functionally reconstituted in lipid bilayers, thus providing an excellent model system to study the molecular details of a biologically important signaling mechanism. Here we used synthetic peptides corresponding to functional and non- functional mutants of the minimal sensor in artificial membranes of phosphati- dylcholines as convenient model systems. We studied the conformational properties, tilt, and exposure at the lipid/water interface at different bilayer thickness and upon varying temperature by using circular dichroism and fluo- rescence studies. Based on these results and on mutational studies, we propose a model for the mode of action of DesK-MS, in which an N-terminal ‘‘sunken buoy’’ motif and a C-terminal hydrophilic motif are crucial for DesK-MS func- tioning. Finally, we explored the possibility of isolating and characterizing DesK-MS in its native membrane in the form of ‘‘native nanodiscs’’ by using copolymers of styrene and maleic acid (SMA). Results of these studies will be presented. [1] Cybulski LE, Martin M, Mansilla MC, Fernandez A, de Mendoza D. Mem- brane thickness cue for cold sensing in a bacterium. Curr Biol. 2010 20(17):1539-44 3068-Pos Board B223 Separation of Timescales for Endophilin Dimerization and Membrane Binding Benjamin R. Capraro, Ken Chang, Zheng Shi, Tingting Wu, Chih-Jung Hsu, Tobias Baumgart. University of Pennsylvania, Philadelphia, PA, USA. The membrane association of endophilin is a pivotal step in clathrin-mediated endocytosis. In this process, the basis for the functional role of endophilin is believed to involve the promotion of membrane curvature, which in turn de- pends on membrane shaping by the dimeric structure of endophilin. Thus, the dynamic nature of endophilin-membrane association and dimerization are functionally important. However, little is known about the timescales and fac- tors determining the kinetics of the interactions involved. To illuminate these aspects, we study the kinetics and equilibria of endophilin N-BAR dimerization and membrane binding. We determine the dimerization equilibrium constant by using subunit exchange FRET. We characterize N-BAR membrane association, under conditions where the dimeric species predominates, by stopped-flow, ob- serving prominent electrostatic sensitivity. Our results suggest that membrane insertion of amphipathic helices rapidly follows association, in a non-rate- limiting manner. Relative to membrane binding, we find that dimerization is governed by far slower kinetics. Thus, monomer-dimer exchange does not con- tribute to the kinetic mechanism of membrane binding. These results under- score a separation of timescales for endophilin dimerization and membrane binding, which may facilitate temporal regulation of functional membrane processes. 3069-Pos Board B224 Structural Changes of Alpha 1-Antitrypsin Under Osmotic Pressure and in the Presence of Lipid Membranes Luis A. Palacio1, Christopher B. Stanley2, Andrew K. Fraser1, Merrell A. Johnson1, Horia I. Petrache1. 1 Indiana University Purdue University Indianapolis, Indianapolis, IN, USA, 2Oak Ridge National Laboratory, Oak Ridge, TN, USA. Alpha 1-Antitrypsin (A1AT) is a glycoprotein that has been shown to have pro- tective roles of lung cells against emphysema, a disease characterized by lung tissue destruction [1]. Most known glycoproteins have been shown to play a role in cellular interactions but the exact role of the glycan chains is still under investigation. Previous electrophysiological measurements show that A1AT has a strong affinity to lipid bilayers perturbing the function of ion channels https://core.ac.uk/display/82803340?utm_source=pdf&utm_medium=banner&utm_campaign=pdf-decoration-v1 Membrane Penetrating Ability of Ebola Matrix Protein, VP40 Spatial and Temporal Regulation of the Nedd4 Family of E3 Ubiquitin Ligases through Phospholipid Binding Mode of Action of the Bacterial Thermosensor Desk Involved in Regulating Membrane Fluidity Separation of Timescales for Endophilin Dimerization and Membrane Binding Structural Changes of Alpha 1-Antitrypsin Under Osmotic Pressure and in the Presence of Lipid Membranes 
work_gds76trpdvbkxg5ln5pxjtcuti	----	BioMed CentralBMC Medical Education ss Open AcceResearch article The influence of regional basic science campuses on medical students' choice of specialty and practice location: a historical cohort study James J Brokaw*1, Christina A Mandzuk2, Michael E Wade3, Dennis W Deal1, Mary T Johnson4, Gary W White5, Jeffrey S Wilson6 and Terrell W Zollinger7 Address: 1Office of Medical Student Affairs, Indiana University School of Medicine, 635 Barnhill Drive, MS-164, Indianapolis, Indiana 46202, USA, 2The EMMES Corporation, Rockville, Maryland, USA, 3Indiana State Department of Health, Indianapolis, Indiana, USA, 4Department of Microbiology and Immunology, Indiana University School of Medicine, Terre Haute, Indiana, USA, 5Department of Anatomy and Cell Biology, Indiana University School of Medicine, Evansville, Indiana, USA, 6Department of Geography, Indiana University-Purdue University, Indianapolis, Indiana USA and 7Bowen Research Center, Indiana University School of Medicine, Indianapolis, Indiana, USA Email: James J Brokaw* - jbrokaw@iupui.edu; Christina A Mandzuk - christina.mandzuk@gmail.com; Michael E Wade - mwade321@comcast.net; Dennis W Deal - ddeal@iupui.edu; Mary T Johnson - johnsomt@iupui.edu; Gary W White - gwhite@usi.edu; Jeffrey S Wilson - jeswilso@iupui.edu; Terrell W Zollinger - tzolling@iupui.edu * Corresponding author Abstract Background: Indiana University School of Medicine (IUSM) employs eight regional basic science campuses, where half of the students complete their first two years of medical school. The other half complete all four years at the main campus in Indianapolis. The authors tested the hypothesis that training at regional campuses influences IUSM students to pursue primary care careers near the regional campuses they attended. Methods: Medical school records for 2,487 graduates (classes of 1988–1997) were matched to the 2003 American Medical Association Physician Masterfile to identify the medical specialty and practice location of each graduate. Multivariate logistic regression was performed to assess the effect of regional campus attendance on students' choice of medical specialty and practice location, while simultaneously adjusting for several covariates thought to affect these career outcomes. Results: Compared to Indianapolis students, those who attended a regional campus were somewhat more likely to be white, have parents with middle class occupations, and score slightly lower on the Medical College Admission Test. Any such differences were adjusted for in the regression models, which predicted that four of the regional campuses were significantly more likely than Indianapolis to produce family practitioners, and that five of the regional campuses were significantly more likely than the others to have former students practicing in the region. When analyzed collectively, attendance at any regional campus was a significant predictor of a primary care practice located outside the Indianapolis metropolitan area. Conclusion: Attending a regional campus for preclinical training appears to increase the likelihood of practicing primary care medicine in local communities. Published: 6 June 2009 BMC Medical Education 2009, 9:29 doi:10.1186/1472-6920-9-29 Received: 2 February 2009 Accepted: 6 June 2009 This article is available from: http://www.biomedcentral.com/1472-6920/9/29 © 2009 Brokaw et al; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Page 1 of 12 (page number not for citation purposes) http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=19500392 http://www.biomedcentral.com/1472-6920/9/29 http://creativecommons.org/licenses/by/2.0 http://www.biomedcentral.com/ http://www.biomedcentral.com/info/about/charter/ BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 Background The proportion of U.S. medical graduates matching into primary care residency programs–internal medicine, fam- ily medicine, and pediatrics–has fallen sharply since 1998 [1]. This trend, coupled with anticipated shortages in the physician workforce [2], have renewed worries among policy-makers of a looming health care crisis resulting from inadequate access to primary care medicine [3]. Of particular concern are the medically underserved rural and inner-city areas, which are likely to suffer even greater shortages of primary care physicians if this negative trend continues [4]. How physicians-in-training choose their medical special- ties and how they decide where to practice medicine are not merely of academic interest. As the nation struggles with ever-greater health care costs, an aging "boomer" generation, and changing ethnic demographics, under- standing the factors that determine the composition and distribution of the physician workforce becomes increas- ingly relevant to the national health care agenda. Con- cerned that a physician shortage will develop over the next few decades, the Association of American Medical Col- leges has called for a 30% increase in medical graduates by 2015 [5]. But simply boosting physician supply will not correct the growing imbalance of primary care practition- ers nor the current mal-distribution of physicians. It is more important to know how to get the right mix of phy- sicians to practice where they are most needed. To accom- plish this goal will require a better understanding of the complex interplay of variables that influence medical stu- dents' career choices. Several factors have been proposed to explain the declin- ing interest in primary care, such as lower remuneration for services provided by primary care physicians com- pared to sub-specialists, increased educational debt for medical students, and the demands of primary care prac- tice [6]. Researchers have found that a perception of "con- trollable lifestyle"–defined as time for leisure, family, or avocational purposes–accounted for most of the variabil- ity in the specialty choice of recent U.S. medical school graduates [7]. Thus, the long and irregular hours necessi- tated by primary care practice are viewed by many stu- dents as a major deterrent in selecting a primary care field. Nevertheless, some students do choose careers in primary care medicine and do choose to practice in medically underserved areas. The influences that favor such choices can be attributed to personal characteristics of the stu- dents [8,9] as well as to educational programs designed to foster interest in primary care practice in rural or inner-city locations [10,11]. Another possible influence on career choice is training at regional campuses, away from the major medical centers [12]. The Indiana University School of Medicine (IUSM) responded to the perceived physician shortage of the late 1960s by establishing regional branch campuses outside the Indianapolis metropolitan area (Figure 1). Half of the matriculating students are assigned to the main campus at Indianapolis, where they complete all four years of medi- cal school. The other half are assigned to one of eight basic science campuses associated with local universities: Bloomington, Evansville, Fort Wayne, Gary, Muncie, South Bend, Terre Haute, and West Lafayette. After finish- ing their preclinical training, these students transfer to Indianapolis to complete their third and fourth years. Although other medical schools employ regional cam- puses for clinical training [12], IUSM is unusual in its reli- ance on regional campuses for basic science training, which offers a novel factor worthy of study. It has been generally assumed, though largely unsubstantiated, that IUSM students who are exposed to the training environ- ments of the regional campuses will be predisposed to eventually return to those regions to practice, and that they will be more inclined to practice primary care medi- cine. Whether this approach to medical education truly influences students to pursue primary care careers in non- metropolitan areas has not been rigorously evaluated. At a time when many of the nation's medical schools are proposing regional campuses as a way to increase the sup- ply of physicians in their states [13], we thought it espe- cially relevant to critically evaluate IUSM's four-decade experience in distributed medical education and assess its effectiveness in providing primary care practitioners to Indiana communities. To this end, we examined a ten- year cohort of IUSM graduates (1988–1997) and deter- mined their medical specialties and practice locations as of 2003. Using multivariate logistic regression, we tested the hypothesis that training at regional basic science cam- puses influences IUSM students to pursue primary care careers near the regional campuses they attended. To the best of our knowledge, this is the first study to systemati- cally analyze the novel factor of preclinical training site on career outcomes. Methods Study population In this historical cohort study, we traced the career out- comes of 2,487 physicians who graduated from IUSM in the decade 1988–1997. Student information from school records was matched with data from the 2003 American Medical Association Physician Masterfile (Medical Mar- keting Service, Inc., Wood Dale, Illinois) to obtain the self-reported medical specialty and practice location of each graduate. When we initiated this study in 2004, the 2003 Masterfile was the most recent data available to match with student records. Assuming six years of post- graduate training thereby fixed 1997 as the upper limit of Page 2 of 12 (page number not for citation purposes) BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 Page 3 of 12 (page number not for citation purposes) The Indiana University statewide system of medical educationFigure 1 The Indiana University statewide system of medical education. There are eight regional basic science campuses located outside the main campus at Indianapolis, where all students receive their clinical training. Half of the matriculating stu- dents complete their first two years of medical school at one of the regional campuses, and then transfer to Indianapolis for their final two years. The other half completes all four years at Indianapolis. The dark lines denote the campus regions used in this study. The socio-demographic characteristics of the counties comprising these regions can be found at: http://www.in.gov/ mylocal/2718.htm. � http://www.in.gov/mylocal/2718.htm http://www.in.gov/mylocal/2718.htm BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 our study decade. We reasoned that by 2003, even the 1997 graduates would likely have completed residency training and settled into practice. In fact, we were able to find practice information in the Masterfile for virtually all of our graduates; only 26 of the 2,513 graduates from this decade were not accounted for in the Masterfile. Accord- ing to the "type of practice" variable in the Masterfile, at least 92% of the study cohort self-reported to be active physicians with "direct patient contact." The research was granted approval by the University's Institutional Review Committee. Campus locations The Indiana University statewide system of medical edu- cation consists of the main campus at Indianapolis and eight regional basic science campuses located at Bloom- ington, Evansville, Fort Wayne, Gary, Muncie, South Bend, Terre Haute, and West Lafayette (Figure 1). The nine cities containing IUSM campuses range in size from 29,000 (West Lafayette) to 786,000 (Indianapolis), and all of the cities other than Indianapolis have populations under 250,000. The racial composition of these commu- nities is predominately white (66.1%–87.0%), with the exception of Gary, which is predominately black (84.0%). The racial composition of the state as a whole is 88.1% white and 9.0% black. The percentage of persons aged 65 and older in these communities ranges from 7.7% to 16.2%, with a mean of 12.3%. The percentage of college- educated persons ranges from 10.1% to 69.7%, with a mean of 28.3%. Additional socio-demographic details about Indiana can be found at: http://www.in.gov/mylo cal/2718.htm. Campus assignment The assignment of students to a regional campus or Indi- anapolis is not random, but is based on a combination of student preference, availability of space, and the School's diversity needs (e.g., equitable gender distribution). When students are notified of their acceptance into medi- cal school, they are asked to rank order their preferred campus assignment. The campus assignment process occurs after acceptance into medical school and has no bearing on the admission decision (e.g., a student cannot enhance his or her chances of admission by expressing a desire to attend a regional campus). Certain categories of accepted students automatically receive their first choice of campus assignment (e.g., early decision applicants), whereas others are not given the option of campus prefer- ence and are assigned strictly on the basis of available space (e.g., late admits taken from the alternate list). A stu- dent who owns a home near a campus or who is married to a spouse employed near a campus will be assigned to that campus if requested. Other special circumstances are occasionally honored when placing a student, but such cases are rare. An analysis of three years of admission data (1995–1997) revealed that 69.8% of the newly matriculated students ranked Indianapolis as their first choice of campus assign- ment. The percentage of students who ranked a regional campus as their first choice ranged from 14.1% to 0.4%, depending on the campus. On average, any particular regional campus was ranked as a first choice by only 3.8% of the matriculating students. The reality is that no regional campus, with the exception of Bloomington, could fill its entering class with students who ranked that campus as their first choice assignment. By necessity, most students are assigned to a regional campus against their wishes and would have preferred Indianapolis. Those assigned to Indianapolis, on the other hand, are invaria- bly there by choice and ranked it first on their list. Histor- ically, 85% of the incoming students receive one of their top three campus choices. According to the 1995–1997 admissions data, in a typical entering class of 16–18 stu- dents at a regional campus (excluding Bloomington), only five or six students would have ranked that regional campus as their first choice assignment. This indicates that a minority of students self-select to attend regional cam- puses other than Bloomington, which tends to be a popu- lar choice simply because it's the flagship campus of Indiana University, where many of our matriculating stu- dents attended college. Campus preference data were not available for the students in this study, but we have no rea- son to suspect their preferences would have been any dif- ferent from those of the 1995–1997 matriculants. At the time the study cohort entered IUSM, the School was admitting 280 students per year and apportioning them as follows: Indianapolis (138), Bloomington (28), Gary (18), Evansville (16), Fort Wayne (16), Muncie (16), South Bend (16), Terre Haute (16), and West Lafayette (16). Dependent variables For each graduate in the dataset, we created two dichoto- mous outcome variables: one to indicate whether or not the graduate was practicing in a primary care specialty (medical specialty choice) and another to indicate whether or not the graduate was practicing in a particular geographical region associated with an IUSM campus (practice location choice). Those graduates who listed family medicine, general internal medicine, or general pediatrics as their practice specialty in the Masterfile were considered primary care physicians (coded as 1 in the dataset), whereas those in other specialties were consid- ered non-primary care physicians (coded as 0 in the data- set). To establish geographical boundaries, we divided the state into nine non-overlapping campus regions, one for each IUSM campus (Figure 1). Each campus region consisted of Page 4 of 12 (page number not for citation purposes) http://www.in.gov/mylocal/2718.htm http://www.in.gov/mylocal/2718.htm BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 the county containing the IUSM campus and a surround- ing cluster of contiguous counties. These campus regions were not defined arbitrarily, but rather represented each campus's recognized sphere of influence with regard to fund-raising, community support, and clinical affilia- tions. With the exception of the Indianapolis region, all of the campus regions contained sizable rural populations ranging from 20.0% to 69.3% of the total regional popu- lation. Depending on the region, the percentage of citi- zens living in Health Professional Shortage Areas (HPSAs) ranged from 7.8% to 23.2%, and the percentage living in Medically Underserved Areas (MUAs) ranged from 6.5% to 44.9%. In seven of the nine regions, the percentage of citizens living in MUAs exceeded 20%, and in two of the regions it exceeded 40%. If a graduate's practice location fell within the boundaries of a given campus region, then that was coded as 1 in the dataset, otherwise 0. Each of the nine campus/practice regions was evaluated separately. Independent variables Variables were selected for inclusion in the logistic regres- sion models if chi-square tests revealed statistically signif- icant associations with one or both of the dependent variables. Most of the independent variables selected for analysis have previously been shown to influence medical students' career choices [8,14]. For each graduate in the dataset, we created a series of dummy variables to indicate which of the nine IUSM cam- puses (campus regions) he/she attended. In the regression models for practice location choice, these variables were specifically coded to reflect the concordance between practice region and campus region. For example, if a grad- uate's practice location fell within the boundaries of the campus region he/she attended, then that was considered practicing in the vicinity of the IUSM campus. In other words, there was a concordance between practice region and campus region (coded as 1 in the dataset). Con- versely, if a graduate's practice location fell outside the boundaries of the campus region he/she attended, then that was considered a discordance between practice region and campus region (coded as 0 in the dataset). Other independent variables in the dataset included age at graduation, sex, race, and socioeconomic status (SES), which was based on the highest-income parent using a modification of the Hollingshead Index of Social Position [15]. Each graduate's self-reported hometown location and its urban influence code were recorded as separate variables. The urban influence code was based on the 1993 U.S. Department of Agriculture classification scale [16]. The year 1993 was chosen because it represented the approximate mid-point of the study decade. Each gradu- ate's composite score on the Medical College Admission Test (MCAT) and his/her academic rank in medical school were converted to z-scores, and the constant 5 was added to each score to eliminate negative numbers. The aca- demic rank was calculated as the equally-weighted average of three parts: the combined 1st and 2nd year grade point average, the score on U.S. Medical Licensing Exam (USMLE) Step 1, and the 3rd year grade point average. This is the same academic rank that is currently reported in the Medical Student Performance Evaluation letters for grad- uating seniors. Each graduate's practice type was deline- ated as being either primary care or non-primary care. For those graduates who completed residency training in Indi- ana, we created variables to indicate the locations of their residency programs. All of the variables expressing geo- graphic location (campus, practice, hometown, and resi- dency) were based on zip codes. If the location of a graduate's hometown or residency program fell within the boundaries of his/her practice region, then that was coded as 1 in the dataset, otherwise 0. With the exception of age at graduation, MCAT score, and academic rank, all of the independent variables were dichotomous. Statistical analysis Univariate analyses (t-test or chi-square) were performed to assess differences in the demographic and academic characteristics of students assigned to the main campus at Indianapolis versus students assigned to the regional cam- puses. Multivariate logistic regression was performed to assess the influence of regional campus attendance on stu- dents' choice of medical specialty and practice location, while simultaneously adjusting for several covariates thought to affect these outcomes. Each outcome (specialty choice and location choice) was evaluated separately. To evaluate medical specialty choice, we included all grad- uates in the dataset, regardless of whether they were prac- ticing in or out of state (N = 2,487). Academic rank was unavailable for 725 graduates (classes of 1988–1990). Eliminating the graduates with missing data elements and those with atypical campus assignments (e.g., repeating students, transfers, etc.) yielded 1,643 cases for analysis. Logistic regression models included the independent var- iables for campus region, age at graduation, sex, race, SES, hometown urban influence code, MCAT score, and aca- demic rank. Two variants of the dependent variable were evaluated in separate regression models: whether or not a graduate was practicing a primary care specialty and, more specifically, whether or not a graduate was practicing fam- ily medicine. To evaluate practice location choice, we excluded from the dataset 1,087 graduates who were practicing outside Indi- ana, because their practice locations were not germane to our hypothesis. Eliminating the graduates with missing Page 5 of 12 (page number not for citation purposes) BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 data elements and those with atypical campus assign- ments yielded 1,294 in-state cases for analysis. Logistic regression models included the independent variables for campus region, age at graduation, sex, race, SES, home- town urban influence code, hometown location, resi- dency location, and practice type. There were nine separate regression models, one for each IUSM campus (campus region). The likelihood of practicing in a given Indiana region–after attending the first two years of med- ical school in that region–was estimated separately for each campus. Additional logistic regression models considered the regional campuses collectively, and evaluated whether attendance at any regional campus was more likely to result in (1) primary care specialty choice and (2) Indiana practice locations outside the Indianapolis metropolitan area. The influence of regional campus attendance on students' choice of medical specialty and practice location was esti- mated by adjusted odds ratios (ORs) with 95% confi- dence intervals. All statistical analyses were performed using SPSS version 14.0 (Chicago, Illinois). Results Cohort demographics Of the 2,487 physicians in the study cohort, 88.1% were white, 66.6% were male, 37.6% were primary care doc- tors, and 54.9% were practicing in Indiana. For the pur- poses of this study, primary care was defined to include family medicine, general internal medicine, and general pediatrics. Campus assignment As shown in Table 1, the students who were assigned to a regional campus for their first two years of medical school differed slightly from those assigned to the main Indiana- polis campus. Compared to Indianapolis students, those who attended a regional campus were somewhat more likely to be white, have parents with middle class occupa- tions, and score marginally lower on the MCAT. However, any such differences between the two student populations were adjusted for in the regression analyses. Medical specialty choice Figure 2 shows the percentage of 1988 to 1997 graduates trained at a regional campus or Indianapolis who, in 2003, were practicing any primary care specialty or family medicine in particular. Of all the graduates who trained at the Evansville campus during the study decade, 44.2% subsequently entered primary care practice and 28.6% subsequently entered family practice. The Bloomington campus produced the lowest percentage of primary care practitioners (33.6%) and family practitioners (11.8%). All of the regional campuses except Bloomington pro- duced a larger percentage of primary care practitioners than did Indianapolis. All of the regional campuses except Bloomington and Gary produced a larger percentage of family practitioners than did Indianapolis. Table 1: Characteristics of Indiana University Medical Students Trained at a Regional Campus Versus Those Trained at the Main Indianapolis Campus, Graduating Classes of 1988–1997* Characteristic Regional Campus (N = 1,211) Indianapolis Campus (N = 1,200) Age at Graduation (mean, SD) 27.7, 3.1 27.7, 3.4 N 1,211 1,200 Sex (% female) 31.6% 33.8% N 1,211 1,200 Race (% non-white)† 8.1% 11.2% N 1,207 1,199 Socioeconomic Status (% middle & lower tier)† 42.5% 35.0% N 1,193 1,182 Hometown Urban Influence Code (% non-metro) 19.2% 15.8% N 1,206 1,187 MCAT Score (mean, SD)†‡ 4.8, 0.95 5.0, 1.0 N 1,204 1,197 Academic Rank (mean, SD)§ 5.0, 0.82 5.0, 0.92 N 853 833 *Of the 2,487 graduates in the study cohort, 76 were excluded because they had attended more than one campus during their preclinical years or because they had transferred into the 3rd year from another school. †Significantly different by two-tailed univariate test, P < 0.005. ‡Because MCAT scores have been scaled differently over the decade, and therefore not comparable across years, the students' scores were converted to z-scores and the constant 5 was added to provide a consistent scale. §Each student's academic rank in medical school was computed as the equally-weighted average of three parts: combined 1st and 2nd year GPA, Step 1 score, and 3rd year GPA. Rankings were converted to z-scores plus the constant 5. Academic rank was unavailable for 725 students (classes of 1988–1990). Page 6 of 12 (page number not for citation purposes) BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 Compared to Indianapolis students, those who attended Evansville or Muncie for the first two years of medical school were 77% and 58%, respectively, more likely to enter primary care practice–controlling for age, sex, race, SES, hometown urban influence code, MCAT score, and academic rank (Additional file 1). Students who attended any regional campus, regardless of location, were 32% more likely to enter primary care practice. Students who attended Evansville, South Bend, Muncie, or Terre Haute were significantly more likely (ORs = 2.43 to 1.74) to enter family practice, as compared to Indiana- polis students (Additional file 1). Students who attended any regional campus, regardless of location, were 41% more likely to enter family practice. Practice location choice Figure 3 shows the percentage of 1988 to 1997 graduates trained at a regional campus or Indianapolis who, in 2003, were practicing in the vicinity of the campus they attended. Each practice region associated with a regional campus had a higher proportion of locally-trained gradu- ates than Indianapolis-trained graduates. For example, of all the graduates who trained at the South Bend campus during the study decade, 39.1% subsequently set up prac- tice in the South Bend region. By contrast, only 6.4% of the Indianapolis-trained graduates set up practice in the South Bend region. Most (59.9%) of the Indianapolis- trained graduates established their practices in the Indian- apolis region. Compared to students from the other regional campuses, those who attended Terre Haute, South Bend, Blooming- ton, West Lafayette, or Evansville for the first two years of medical school were significantly more likely (ORs = 8.07 to 2.20) to return to those campus regions to practice– controlling for age, sex, race, SES, hometown urban influ- ence code, hometown location, and practice type (Addi- Percentage of 1988 to 1997 Indiana University medical graduates trained at a regional campus or Indianapolis who, in 2003, were practicing any primary care specialty or family medicine in particularFigure 2 Percentage of 1988 to 1997 Indiana University medical graduates trained at a regional campus or Indianapolis who, in 2003, were practicing any primary care specialty or family medicine in particular. 0 10 20 30 40 50 Ev an sv ill e M un ci e So ut h Be nd Fo rt W ay ne Te rr e Ha ut e W es t L af ay et te G ar y Bl oo m in gt on In di an ap ol is Campus Region Percent Any Primary Care Specialty Family Medicine Page 7 of 12 (page number not for citation purposes) BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 tional file 2). Students who attended any regional campus, regardless of location, were 34% more likely to establish a practice location outside the Indianapolis region. Terre Haute, South Bend, and Evansville all have family medicine residency programs exclusively. When residency location was included as a covariate in the regression models, attendance at Terre Haute remained a statistically significant predictor of practice location choice, but not attendance at South Bend or Evansville (data not shown). The OR values for Bloomington and West Lafayette, which have no residency programs of any kind, were unchanged. Discussion The results of this study support the hypothesis that train- ing at regional basic science campuses influences IUSM students to pursue primary care careers near the regional campuses they attended. For the graduating classes of 1988–1997, attending a regional campus was a significant predictor of both medical specialty choice and practice location choice in logistic regression models that incorpo- rated several covariates known to influence these career decisions. According to the regression models, four of the regional campuses were significantly more likely than Indianapolis to produce family practitioners, and five of the regional campuses were significantly more likely than the others to have former students practicing in the region. When analyzed collectively, attendance at any regional campus was a significant predictor of a primary care practice located outside the Indianapolis metropoli- tan area. These findings suggest that the regional campus environment during the first two years of medical school predisposes some students to pursue different career paths than those exposed only to academic medical centers. In Percentage of 1988 to 1997 Indiana University medical graduates trained at a regional campus or Indianapolis who, in 2003, were practicing in vicinity of the campus they attendedFigure 3 Percentage of 1988 to 1997 Indiana University medical graduates trained at a regional campus or Indianapolis who, in 2003, were practicing in vicinity of the campus they attended. Data do not include graduates who left Indiana to practice elsewhere. 0 10 20 30 40 50 60 So ut h Be nd Ev an sv ill e Fo rt W ay ne Bl oo m in gt on G ar y M un ci e W es t L af ay et te Te rr e Ha ut e In di an ap ol is Practice Region Percent Trained in Local Campus Trained in Indianapolis Page 8 of 12 (page number not for citation purposes) BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 other words, the preclinical training site can influence stu- dents' career choice independently of other variables. Predicting career decisions in primary care medicine is a complex challenge involving numerous interacting varia- bles. According to the Bland-Meurer Model of medical career decision-making, three principal factors influence specialty choice: (1) student characteristics, (2) medical school characteristics, and (3) students' perceptions of medical specialties [17]. Most studies have focused on the student characteristics that portend a primary care resi- dency choice. Lawson and Hoban [14] reviewed six mul- tivariate studies and found that students who go into primary care tend to be older than their classmates, female, belong to an underserved minority, have parents of lower socioeconomic status, have a rural hometown, lower MCAT scores, lower ratio of educational debt to expected income, and decided their specialty preference before medical school. Where young physicians choose to establish their prac- tices is likewise affected by the personal characteristics they bring as students. Having a rural or small town back- ground seems especially influential. Laven and Wilkinson [8] identified 12 case-control or cohort studies that made quantitative comparisons between rural and urban doc- tors. They found that rural background was associated with rural practice in 10 of the 12 studies, and that stu- dents with a rural background were about twice as likely (OR = 2.0 to 2.5) to establish a rural practice compared to other students. In a previous study of IUSM graduates, Indiana physicians from non-metro hometowns were 4.7 times more likely to choose a non-metro practice location compared to their peers from metro hometowns, adjust- ing for age and sex [9]. The authors concluded that Indi- ana physicians from small hometowns have a strong preference to practice in regions similar to their home- towns if not actually near their hometowns. By including several of these student characteristics as cov- ariates in the regression models, we effectively controlled for their confounding influence on career choice to reveal an independent effect of regional campus attendance. As far as we are aware, no other study has examined the role of regional basic science campuses in this regard. Yet placed in their broader context, our findings are consistent with previous studies of medical students' career deci- sions. A variety of medical school programs designed to foster interest in primary care medicine have been shown to have a beneficial impact on the number of students entering primary care fields, often in medically unders- erved communities [10-12,18-20]. A key factor in the suc- cess of these programs appears to be primary care experiences during training, especially in community- based practice settings. Even experiences as early as the first year of medical school seem to positively impact res- idency choice [19]. However, Rabinowitz et al. [10] noted that students with rural backgrounds and early intentions to enter primary care were almost as likely to become rural primary care physicians as were students with similar characteristics but exposed to additional curricular experi- ences in primary care (e.g., an elective senior-year rural family medicine preceptorship). These authors concluded that a student's background and early career plans are the most important determinants of a career in primary care medicine, but special curricular experiences and other fac- tors can enhance this outcome. In the WWAMI program (acronym for Washington, Wyo- ming, Alaska, Montana, Idaho), students complete the first-year basic science coursework at their home state campus, and then move to the main Seattle campus for their second year. Students complete the 3rd and 4th year clinical rotations at sites of their choosing in the five-state region. Graduates of this program are reported to have higher rates of return to their home states for practice than the national average [21]. Although not directly compara- ble to the IUSM system, the WWAMI program does share certain features (e.g., preclinical training at regional cam- puses) and produces similar outcomes. It is not intuitively obvious why attending a regional cam- pus for the first two years of medical school would be con- ducive to a primary care career. Unlike schools with clinical branch campuses, where 3rd and 4th year students receive much of their clinical training from community physicians [12], the clinical education at IUSM's regional campuses is largely limited to the first- and second-year Introduction to Medicine courses. Nevertheless, according to the regression models, IUSM students who attended Evansville, South Bend, Muncie, or Terre Haute had a dis- proportionate propensity to become family physicians relative to their Indianapolis peers, adjusting for seven covariates known to affect specialty choice. What is it about these four regional campuses that could promote such an outcome? The formal curriculum is unlikely to be responsible because it is essentially the same at all sites. But each regional campus does have its own unique train- ing environment, characterized in part by its network of connections with the local clinical community. This aspect is especially important because IUSM students at the regional campuses tend to have greater exposure to family physicians and other primary care providers than do their 1st and 2nd year counterparts at the Indianapolis campus, who tend to have greater exposure to specialists. Frequent interactions with these physician educators early in medical school may help to shape positive attitudes towards the primary care fields and family medicine in particular. Perhaps the four regional campuses in ques- tion have a greater involvement of family physicians in Page 9 of 12 (page number not for citation purposes) BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 their educational programs than do the other campuses. Further studies will be needed to ascertain whether this possibility or other factors are responsible for the pro- nounced effect on specialty choice. Equally intriguing is the pronounced effect of regional campus attendance on practice location choice. Our regression models predicted that IUSM students who attended Terre Haute, South Bend, Bloomington, West Lafayette, or Evansville were much more likely to return and practice in the surrounding area than were the stu- dents who attended other regional campuses, adjusting for seven influential covariates, including hometown location. The study cohort completed medical school in the decade 1988–1997, which means that graduates would have finished their specialty training and estab- lished their practices in the approximate period 1991– 2003, assuming 3–6 years of postgraduate training. Because the information about medical specialty and practice location was drawn from the 2003 AMA Physi- cian Masterfile, our findings should be viewed as a "snap- shot" of the cohort as it existed in 2003. The state of affairs before or after this year is unknown. However, given the age of the cohort, it is reasonable to assume that most of the graduates were still in their first practice locations in 2003, and that relatively few had moved or changed their specialties. Why would a student who attended a regional campus be drawn back to the area several years later to establish a practice? Proximity to the student's hometown cannot be the reason because hometown location was controlled for in the regression models. Other influences must be responsible. Relatively little is known about how new physicians decide initial practice locations, but in their survey of third-year family medicine residents, Costa et al. [22] found that spousal influence and favorable commu- nity characteristics were the most important determinants of location choice. We speculate that some of the IUSM students who attend regional campuses develop an affin- ity for these smaller communities and the family-friendly lifestyles they engender. As the students become familiar with the local hospitals, physicians, and patients, they come to appreciate what it might be like to practice in the community and envision similar opportunities for them- selves. After graduation, these favorable impressions may influence their choice of practice location. In some cases, a graduate's choice of a particular residency program may signal his or her intention to practice in a given community. For example, it is likely that several of the IUSM graduates who entered family medicine resi- dency programs in South Bend and Evansville had previ- ously decided to establish their practices in those regions. In such instances, residency location choice would be a proxy for practice location choice, which would confound the statistical relationship between independent and dependent variables in the regression models. This may explain why the South Bend and Evansville campuses were no longer significant predictors of practice location choice when residency location was included as a covari- ate. It is also possible that residency training in those two cities had a strong and independent effect on practice location choice, thus obscuring the effect of regional cam- pus training. Study limitations This was an observational study with no provision to ran- domly assign students to a campus. We therefore had to rely on multivariate regression techniques to adjust for any biases that may have resulted from the non-random assignment. No information was available about the stu- dents' campus preferences, so we could not adjust for this variable. In theory, some students may have self-selected to attend certain regional campuses based on their desire to eventually practice primary care medicine in those same regions. In practical terms, however, this seems unlikely to fully account for our findings because rela- tively few entering students self-select to attend any regional campus except Bloomington. Moreover, the fact that a student preferences a regional campus as his/her first choice assignment does not necessarily imply an early career decision. There are a variety of other reasons why a student might preference a particular regional campus, including its association with the student's undergraduate college, its unique learning environment and small class size (e.g., Problem-Based Learning and other non-tradi- tional teaching modalities are offered at some campuses), and economic incentives (e.g., some of the regional cam- puses offer scholarship inducements to attend). Evidence that self-selection is unlikely to explain our results can be seen from the outcomes at specific campuses (Additional files 1 and 2). For example, the Terre Haute campus attracts the fewest students of any regional campus (an average of only one student per year) and yet it produces a disproportionate number of graduates who return to practice family medicine in the area. Conversely, the Gary campus attracts a third of its class (an average of seven stu- dents per year) and yet it does not have a significant impact on the supply of local primary care providers. Despite these observations, we cannot rule out the possi- bility that self-selection may have confounded our find- ings to some degree. No information was available about the students' debt load or their specialty preferences prior to medical school, both of which have been implicated as factors in career decision-making [10,23]. As mentioned previously, the students' clinical experi- ences at certain regional campuses, and the particular kinds of interactions they have with local physicians, may Page 10 of 12 (page number not for citation purposes) BMC Medical Education 2009, 9:29 http://www.biomedcentral.com/1472-6920/9/29 account for much of their predilection toward primary care careers. In our judgment, fully understanding how the clinical experiences at regional campuses differ from those at Indianapolis is key to explaining the campus effect. Our study cohort completed medical school approxi- mately 10–20 years ago, at a time when the economic forces and practice conditions affecting new physicians were somewhat different than they are now. In the inter- vening years, the composition of the IUSM student body has changed as well, with greater ethnic diversity and gen- der balance. How the career decisions of today's medical students are being shaped by their regional campus expe- riences remains to be determined. Other outcomes may manifest in a later cohort of graduates. Finally, IUSM is a large, midwestern medical school with educational tradi- tions and demographic characteristics that may differ sub- stantially from other schools in other locales. Our findings may not generalize to other student populations. Conclusion Regional campus attendance–even for the preclinical years–appears to have lasting influences on the career decisions of IUSM graduates. For reasons yet to be fully explicated, attending a regional basic science campus increases the likelihood of practicing primary care medi- cine, especially family medicine, outside the major metro- politan areas. Many state legislatures and medical schools are currently grappling with the task of expanding the physician workforce in anticipation of future health care demands. Our findings provide empirical evidence sug- gesting that regional campuses might be an effective way to increase the number of primary care physicians in com- munities where they are most needed. Competing interests The authors declare that they have no competing interests. Authors' contributions JJB conceived and designed the study and wrote the draft manuscript. CAM and MEW performed the statistical analyses. DDW and GWW constructed the database of study variables. MTJ provided data about students' regional campus choices. JSW created the map of IUSM campuses. TWZ contributed to the study design and inter- pretation of data and revised the draft manuscript. All authors read and approved the final manuscript. About the authors JJB is an Associate Dean in the Office of Medical Student Affairs, Indiana University School of Medicine, Indianap- olis. CAM is a data manager/protocol monitor for The EMMES Corporation, Rockville, MD. MEW is a syndromic surveillance epidemiologist for the Indiana State Depart- ment of Health, Indianapolis. DWD is the Director of Stu- dent Records in the Office of Medical Student Affairs, Indiana University School of Medicine, Indianapolis. MTJ is an Associate Professor in the Department of Microbiol- ogy and Immunology, Indiana University School of Med- icine, Terre Haute. GWW is a Lecturer in the Department of Anatomy and Cell Biology, Indiana University School of Medicine, Evansville. JSW is an Associate Professor and Chair in the Department of Geography, Indiana Univer- sity-Purdue University, Indianapolis. TWZ is a Professor and Associate Director in the Bowen Research Center, Indiana University School of Medicine, Indianapolis. Additional material Acknowledgements Funding for this study was provided by the Dean's Office of Medical Student Affairs and by the Bowen Research Center, Indiana University School of Medicine, Indianapolis, Indiana. References 1. 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Bunton SA, Sabalis RF, Sabharwal RK, Candler C, Mallon WT: Medical School Expansion: Challenges and Strategies Washington, DC: Associa- tion of American Medical Colleges; 2008. 14. Lawson SR, Hoban JD: Predicting career decisions in primary care medicine: a theoretical analysis. J Contin Educ Health Prof 2003, 23:68-80. 15. Hollingshead AB: Two Factor Index of Social Position New Haven, CT: Yale University; 1957. 16. 1993 Urban Influence Codes [http://www.ers.usda.gov/Data/ UrbanInfluenceCodes/1993/] 17. Bland CJ, Meurer LN, Maldonado G: Determinants of primary care specialty choice: a non-statistical meta-analysis of the literature. Acad Med 1995, 70:620-641. 18. Campos-Outcalt D, Senf J: A longitudinal, national study of the effect of implementing a required third-year family practice clerkship or a department of family medicine on the selec- tion of family medicine by medical students. Acad Med 1999, 74:1016-1020. 19. Grayson MS, Klein M, Franke KB: Impact of a first-year primary care experience on residency choice. J Gen Intern Med 2001, 16:860-863. 20. Rabinowitz HK, Diamond JJ, Markham FW: Medical school pro- grams to increase the rural physician supply: a systematic review and projected impact of widespread replication. Acad Med 2008, 83:235-243. 21. Ramsey PG, Coombs JB, Hunt DD, Marshall SG, Wenrich MD: From concept to culture: the WWAMI program at the University of Washington School of Medicine. Acad Med 2001, 76:765-775. 22. Costa AJ, Schrop SL, McCord G, Gillanders WR: To stay or not to stay: factors influencing family practice residents' choice of initial practice location. Fam Med 1996, 28:214-219. 23. Rosenblatt RA, Andrilla CHA: The impact of U.S. medical stu- dents' debt on their choice of primary care careers: an anal- ysis of data from the 2002 medical school graduation questionnaire. Acad Med 2005, 80:815-819. Pre-publication history The pre-publication history for this paper can be accessed here: http://www.biomedcentral.com/1472-6920/9/29/prepub Page 12 of 12 (page number not for citation purposes) http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=16123457 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=16123457 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=16123457 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=12866326 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=12866326 http://www.ers.usda.gov/Data/UrbanInfluenceCodes/1993/ http://www.ers.usda.gov/Data/UrbanInfluenceCodes/1993/ http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=7612128 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=7612128 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=7612128 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=10498096 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=10498096 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=10498096 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=11903766 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=11903766 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=18316867 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=18316867 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=18316867 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=11500276 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=11500276 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=11500276 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=8900556 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=8900556 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=8900556 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=16123459 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=16123459 http://www.ncbi.nlm.nih.gov/entrez/query.fcgi?cmd=Retrieve&db=PubMed&dopt=Abstract&list_uids=16123459 http://www.biomedcentral.com/1472-6920/9/29/prepub http://www.biomedcentral.com/ http://www.biomedcentral.com/info/publishing_adv.asp http://www.biomedcentral.com/ Abstract Background Methods Results Conclusion Background Methods Study population Campus locations Campus assignment Dependent variables Independent variables Statistical analysis Results Cohort demographics Campus assignment Medical specialty choice Practice location choice Discussion Study limitations Conclusion Competing interests Authors' contributions About the authors Additional material Acknowledgements References Pre-publication history 
work_grreh3gqgvcd3eklwqvftl3jxm	----	A Manuscripts Collecting Venture in the Middle West: Indiana, 1950-1953 By THOMAS P. MARTIN Dunn Loring, Virginia SINCE the advent of the "atomic age," some custodians of thenation's historical manuscripts — sources of American history— have pondered the dangers in Washington, D. C , and other large cities and have considered what might be done to avert or avoid them. Big businessmen have felt similar concern for per- sonnel, records, and papers.1 In this article there may be found a suggestion. In 1948 an officer of Indiana University Library, on hearing that the writer had discovered near Cannelton, Indiana, an important collection of historical manuscripts — some papers of Hamilton Smith in the hands of an heir 2 — asked him whether he could in- duce the owner to place it in the library and could extend his re- searches throughout the State, to build up the library's special collections. The writer was more than ordinarily interested in this suggestion. He had had much experience in such work; he knew how cramped was space in most repositories of materials of national importance and how selective and sporadic the collecting had been. Many important collections had remained unsolicited, some had even been refused by repositories when offered, and some were in the hands of people who were unaware of their value. Here was an opportunity to gather such collections into a university repository in a small town, at a safe distance from large cities, in the region or section of origin. This repository could obtain microfilm reproductions of related collections in the large cities; and historians could use 1 Joseph E. McLean, "Project East River — Survival in the Atomic Age," a review of the 10-vol. report of Project East River, sponsored by the Federal Civil Defense Administration, in Bulletin of the Atomic Scientists, 9:247-252 (Sept. 1953) ; Federal Civil Defense Administration, Critical Target Areas . . . Official List as of July I, IQS3 a n d Annual Report, 1953; Hanson W. Baldwin in New York Times, June 13, 20, 1954; and George E. Cruikshank in Wall Street Journal, June 20, 1954. 2 Mrs. John P. McAdams, a granddaughter, of nearby Hawesville, Ky. 305 D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.17.4.53117467521k6105 by C arnegie M ellon U niversity user on 06 A pril 2021 3o6 T H E AMERICAN ARCHIVIST them in situ for the writing of new history to redress the balance of the old. The writer had been searching at Cannelton, on the eastern edge of the coal field below the falls of the Ohio River, for the records and papers of a steam cotton mill which was established there in 1848 and is still in operation.3 I t was not a mere local affair. I t was the deliberate building of an outpost of the advancing western industrial frontier rivaling William Gregg's new Graniteville cotton mill on the South Carolina Railroad not far from its Hamburg terminal opposite Augusta, Georgia. The Georgia Railroad planned to build from Augusta around the southern Appalachians to connect with railroads of the West and the Northwest. The Hamilton Smith papers of 1847-5J consisted chiefly of Cannelton promotional material; the Cannelton cotton mill office vault was found to con- tain records and papers from 1850 to 1947; and Indiana Univer- sity Library held the only known file of Smith's weekly newspaper, the Cannelton Economist. Smith, an attorney of Louisville, Ken- tucky, was a native of Dover, New Hampshire, graduate of Dart- mouth College, and intimate friend of Salmon P. Chase. Chase's papers, in Washington and Philadelphia, could be microfilmed. For a first combination of originals and reproductions of materials of national importance, this one would be ideal.4 Therefore, with encouragement by Indiana University authori- ties, the writer conceived a full-scale program for collecting manu- scripts of the region or section that Hamilton Smith had called "the central west," mainly west of Ohio. T o enlist the aid of as many interested people as possible, he would, as visiting professor in the department of history, teach a graduate course on manu- scripts, and as library consultant on manuscripts conduct an inquiry for the papers of persons who had influenced sectional and national policies and actions. H e would cooperate rather than engage in unseemly competition with other manuscripts collecting agencies." In the fall of 1950 he began at Bloomington, Indiana, the com- 3 See Indiana chartering acts for Cannelton enterprises, approved Feb. 15, 1848. T h e first organization was under the name of the Cannelton Cotton Mill; the second, soon afterwards, under that of the Indiana Cotton Mill; since 1946 the firm has been Strongwall Mills, Inc., a unit of Bemis Brothers Bag Co., St. Louis, Mo. *See the writer's "Conflicting Cotton Interests at Home and Abroad, 1848-1857," in Journal of Southern History, 7:173-194 (May 1941), and "The Advent of William Gregg and the Graniteville Company," in "Notes and Documents," ibid., 11:389-423 (Aug. 194s) ; Mary G. dimming, Georgia Railroad & Banking Company, 1833-194.5; and Charles M. Wiltse, John C. Calhoun, Sectionalist, 1840-1850, pp. 234-246. Chase had long watched Calhoun closely. 5 The writer's Indiana correspondence and papers, July 1948-June 1950 (ms.), show the origin and development of the planning before he began work in Bloomington. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.17.4.53117467521k6105 by C arnegie M ellon U niversity user on 06 A pril 2021 A MANUSCRIPTS COLLECTING VENTURE 307 pilation of a directory of names of persons whose papers might be desirable: first, those notable in the legislative, executive, and ju- dicial branches of the Government of the United States; next, those prominent in the government of the State; then, leading private citizens in all walks of life; and so on. The directory framework thus set up would serve as a guide. The names of those whose col- lections were desired by professors, graduate students, and others were entered and of course were given first attention. All pertinent information obtainable by interviews with those interested and by supplementary research was included. Then the writer had con- stantly to coordinate his own efforts with those of other interested persons. There were at Indiana University several men, among them the late Lawrence Wheeler, professor of journalism and director of communications, who were rich in local acquaintance, knowledge, and experience in soliciting gifts — Wheeler, in 1951- 52, acquired for the library the papers of the Willkie Clubs of America (Associated), 1940, 65,000 items (66 feet). The consultant felt at times a bit overawed at the apparent strength of Hoosierism — as if he were "a stranger in the midst." On the other hand, he gained confidence from finding that most of the research projects of Indiana professors and graduate students were, like his own, in the economic and social backgrounds of polit- ical history. His early acquisition of the Hamilton Smith papers, 1825-75 (4 feet),6 was interesting to them. By advice and counsel to a graduate student and the owners of the Howard Ship Yards and Dock Co., of Jeffersonville, Indiana, he induced the owners 7 to deposit records and papers, 1846-1942 (430 feet), in the spring of 1951. Soon afterwards came the gift of the Cannelton cotton mill records and papers, 1850-1947 (45 feet).8 These three collec- tions extending over more than a century were naturally considered valuable for many studies in economic, business, technological, social, and political history.9 In June 1951 interested persons formed an Economic and Business History Group, in which laymen and business and professional men and women would participate. The group was an important aid to collecting. On December 7, 6 Mrs. McAdams by inquiry among relatives had considerably enlarged her collec- tion. 7 Mr. and Mrs. James E. Howard, of Jeffersonville, Ind. 8 Gift by Lee Rodman, last president of Indiana Cotton Mill, and A. H. Clark, of Bemts Brothers Bag Co. 8 Wesley C. Mitchell, in his foreword to Shepard B. Clough, A Century of American Life Insurance (1946), writes, "Any business that has rounded out a century can make a genuine contribution to the history of its times if it will let some competent writer use its records candidly." D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.17.4.53117467521k6105 by C arnegie M ellon U niversity user on 06 A pril 2021 308 T H E AMERICAN ARCHIVIST at the thirty-third annual meeting of the Indiana History Confer- ence in Indianapolis, with Joseph Baerncopf, of the George S. Olive Co., presiding, the group presented a well-planned program. I t consisted of articles illustrating the practical use of business rec- ords; a bibliography of articles, brochures, and books on economic and business history recently published, a number of which were displayed; announcements of projects and studies in progress and of the means provided for carrying them on; and descriptive lists of the manuscripts collections available in Indiana repositories.10 The Indiana University Library list, especially processed and pre- pared for use in our own venture, proved effective beyond our hopes and expectations. Eminent business and professional men, of political importance as well, seemed surprised and fascinated. " W e l l ! " exclaimed one, the head of a law firm almost a century old, " I see you have papers of some of my old friends. . . . Let me show you our library and old files. W e are crowded for room." Some of our difficult and prolonged searches were disappointing. A distinguished national political organizer and leader, aged and retired, made no response to our advances. The papers of J. F . D . Lanier, early banker, financier, and railroad promoter, of Madison, Indiana, and the archives of his New York firm — Winslow, Lanier and Co., 1849-1934, founded for the marketing of western rail- road bonds — had disappeared. Yet continuing interest in Lanier's contribution to the history of the West in general and Indiana in particular led eventually to the discovery of the State Bank papers and many of Lanier's letters among the Indiana State Archives collection of auditor's records and papers. These and personal papers of Samuel Merrill, contemporary president of the bank, later given to the Smith Library, are in the State Library. The volumes of Edmund C. Burnett's edition of letters of the members of the Continental Congress, to 1789, had long ago stirred the writer's hope that many more letters and papers of later mem- bers of Congress might be found. H e persistently searched his way into the heart of Hoosierdom. The going was slow, but progress was made. At Danville, Indiana, for example, when probate rec- ords yielded no clues to descendants of James Madison Gregg, Democratic Congressman (1857-59), t n e writer asked Circuit Judge Horace Lincoln Hanna whether he knew any clue. H e did not; but he recalled that his father, John Hanna, a Republican con- temporary who had later served in Congress, left papers. Of these, 10 For announcements and references to programs and sessions of the group, 1951- 53, see Indiana Magazine of History. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.17.4.53117467521k6105 by C arnegie M ellon U niversity user on 06 A pril 2021 A MANUSCRIPTS COLLECTING VENTURE 309 Judge Hanna deposited a selection of 59 items, 1853-79, including letters by Schuyler Colfax. Most of the writer's inquiries had to be initiated by mail. Usual- ly the subjects were taken up in their chronological order. It was thought that community interest in the early subjects would be more easily aroused. The first letter in each case stated simply that the history department and the library were seeking a representative of the family; that the individual's correspondence, diaries, and papers, were wanted for writing the history of Indiana's participa- tion in national affairs; and that any information, suggestions, or help would be appreciated. These letters, with a copy of a general circular enclosed, were addressed to carefully selected people, most of whom were long-time members of State and county historical and pioneer societies. Some answers revealed a sad state of public information and opinion on historical matters: this was the first time any one had asked for the papers; no one had supposed that they would ever be wanted, and it was now too late; or, "none of your business — burned everything before I left Washington." Only a part of the general inquiry for papers of members of Con- gress could be completed. Yet the immediate returns justified the effort. Besides the papers of John Hanna, there were received Mrs. Charles Ward Seabury's collection of the papers of her grandfather, Will Cumback (d. 1905), including an unpublished Lincoln letter, dated June 15, i860, and some Oliver H. P. Morton correspond- ence; papers of the late Congressmen George W. Rauch and Rich- ard N. Elliott; selected papers of the late United States Senator James A. Hemenway, 1906-21 (1 foot);11 and some papers of former Congressman Courtland C. Gillen, 1930-33 (1 foot). Other collections were promised. The attraction of collections in any repository increases with each new acquisition. The full effect of the Indiana inquiry remains to be seen. Such an inquiry should never be given up as not worth while. It should be regularly resumed, especially for the new col- lections which currently become available. Mindful of the dictum of Frederick J. Turner that a large region or section is a congeries of smaller ones, the writer lost no opportu- 11 The burning of a summer house had destroyed the voluminous files, but fortu- nately a selection of interesting items were preserved in the main residence. Of these, George R. Hemenway, son of the Senator, gave i n items, 1906-21, chiefly letters by A. J. Beveridge, N. M. Butler, J. G. Cannon, W. T. Durbin, E. H. Gary, J. P. Good- rich, Will H. Hays, Frank O. Lowden, Joseph Medill McCormick, H. S. New, Tom Taggart, and John W. Weeks. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.17.4.53117467521k6105 by C arnegie M ellon U niversity user on 06 A pril 2021 310 T H E AMERICAN ARCHIVIST nity to probe the smaller ones of "the central West" for some of their characteristic historical source materials. In mid-September 1951, he called on Circuit Judge George W . Long, Democrat, of Columbus, Indiana, for suggestions. Judge Long recounted re- markable developments of that section in his time and advised an interview with J. Irwin Miller, Republican. (Democrats and Re- publicans have a way of living together — not in mere "co-exist- e n c e " — in Indiana.) M r . Miller, son of Hugh T . Miller, some- time professor at Butler University and banker in Columbus, had studied history in Germany and at Oxford University, in England. His grandfather Joseph I. Irwin (d. 1910) had been merchant, banker, and promoter of turnpikes, "traction" (interurban) and steam railways, and industries. His uncle, Will Irwin (d. 1943) had made a national reputation as financier and promoter. J . Irwin Miller, reticent about himself and his family, talked of the achievements of others and suggested visits to certain old- timers. H e was much interested in "community" history and in comparative studies on a large scale. H e hoped that someone would write a history of the Columbus community. The writer, however, inquired about family and business papers of the Irwin-Miller- Sweeney group and obtained permission to examine those in M r . Miller's care. Some of the papers were lent to the university li- brary. Later M r . Miller agreed to facilitate the writing of a his- tory of the Cummins Engine Co., manufacturers of the Clessie Cummins diesel engines for automobiles and trucks. H e agreed to suggest to the company that it give a candidate for the doctoral degree access to records and papers and pay his travel expenses, including those of a trip to California to interview Clessie Cum- mins. M r . Miller thought that there were other companies in Columbus who might have their histories written. Responses elsewhere were similar. In northern "lake shore" Indiana, at South Bend, the Oliver family and H . Gail Davis were generous in making available diaries, papers, and writings for a history of T h e Oliver Chilled Plow Co. T h e Oliver Corporation of Chicago gave additional materials to the university library. From the Vigo County Historical Society, in western Indiana, came the transfer of a large collection of electric railway papers, both city and interurban, known as the Russell B. Harrison collection. At Evansville, Indiana, the writer found the John E . Iglehart col- lections of early family business correspondence and of the South- western Indiana Historical Society correspondence and papers, ca. 1922-33, including correspondence with the late Frederick Jackson D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.17.4.53117467521k6105 by C arnegie M ellon U niversity user on 06 A pril 2021 A MANUSCRIPTS COLLECTING VENTURE 311 Turner, which he has permissions to use. A French Lick Springs Hotel request for the writing of its history resulted in gifts and loans of relevant materials and led to a general survey of manu- scripts and newspapers in south central Indiana. Raymond Stout, of Paoli, kindly permitted examination and detailed listing of the Quaker records, 1913 to recent dates, and of newspaper files in his care. Incidentally Mr. Stout suggested a visit to Dr. Arthur F. Bent- ley, author of works on political science, mathematics, and philoso- phy. As a result, Dr. and Mrs. Bentley gave selections of the Kerlin family papers (6 feet), and of Dr. Bentley's correspondence and papers (109 feet), not yet open to public use. Mrs. Bentley, formerly of Indianapolis, graciously mentioned the writer's mission to her friends, among them Susan McWhirter Ostrom, who with her two sisters and her brother gave to the library the large and valuable collection of the late Mrs. Felix T. McWhirter's papers relating to many State and national women's organizations, in- cluding the Federation of Women's Clubs (23 feet). From Indian- apolis came also William P. Hapgood's Columbia Conserve Co. archive, 1910-May, 1953 (150 feet), including records of an inter- esting employee-ownership venture.12 Then, in response to an inquiry which someone had forwarded to the proper person, a call came from C. W. ("Mickey") McCarty, editor of the Indianapolis News and a trustee of Indiana University. He arranged a conference with Adelaide Fairbanks Causey, the only surviving member of the family of Charles W. Fairbanks, United States Senator and Vice President; and she sent her magnificent collection of the Fairbanks and related papers of more than half a century (126 feet) to the university library. For some time they will be closed to the public. The inflow of manuscripts requested continues naturally. In the spring of 1954 Mrs. W. Stewart La Rue of Indianapolis, about to move into a new house, asked the university library to take over the Ralston papers, those of her father, Samuel M. Ralston, 1886-1925 ("at least a ton and a half"), and some papers of her mother, late Democratic National Committee member for Indiana. The papers of Governor and United States Senator Ralston are reported to be complete. Senator Ralston, as all readers of American history recall, was author of the law which authorized publication of the Territorial Papers of the United States. 1 2 On solicitation by C. K. Byrd, associate director of Indiana University Libraries. The writer, as consultant, supervised the "follow-up" for comprehensive selection and final transfer to the library. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.17.4.53117467521k6105 by C arnegie M ellon U niversity user on 06 A pril 2021 312 T H E AMERICAN ARCHIVIST Much has been omitted from this report on "Operation Manu- scripts." T h e writer trusts, however, that enough has been written to encourage and facilitate similar efforts elsewhere in this atomic age to gather and to preserve manuscripts and copies of materials of national historical importance. Indiana alone, during 3 years of consistent effort, has yielded well over 600 linear shelf feet of manuscripts of high average quality and utility. Of the 48 States, one would expect few to yield less and enough others more to main- tain the average of 600 each, or a total of 38,800 feet. This in turn would induce much copying of irreplaceable manuscript treas- ures in the 70 "critical attack areas," and would bring about the construction of repositories in safe places in the country for emer- gency housing of those treasures. W h a t State can afford not to do what Indiana has done ? The Nation's Standard Paper For Permanent Records H I M M HECdDMD BYRON WESTON CO. LINEN ing satisfaction in bound or loose- RECORD has been tested and ap- leaf records, documents and simi- proved by generations of public lar usages. For other records, se- and business record keepers. Made lect the right paper for any pur- wholly of new white cotton and pose from the complete Weston linen clippings, it possesses to the line of rag content ledger, bond highest degree the strength, rul- and index papers. Write for com- ing, writing, handling and eras- plete information, ing qualities essential for endur- BYRON WESTON COMPANY • DALTON • MASSACHUSETTS Makers of Papers for Public and Business Records — Since 7563 D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.17.4.53117467521k6105 by C arnegie M ellon U niversity user on 06 A pril 2021 
work_gyv6wlfktzhy5bfpsbbogkxhlm	----	Investigating the Molecular Basis of cPLA2&alpha; Membrane Bending Tuesday, February 5, 2013 363a The N-terminal domain of huntingtin (Htt17), located immediately upstream of the decisive polyglutamine tract, strongly influences important properties of this large protein and thereby the development of Huntington’s disease. Htt17 markedly increases polyglutamine aggregation rates and huntingtin’s interactions with biological membranes. Here, an ensemble of low-energy conformations of the protein domain was identified by solution NMR in inter- facial environments, and the structure was further refined using solid-state NMR spectroscopy on oriented phospholipid bilayers. The pronounced structural transitions of Htt17 upon membrane-association result in an in- plane aligned a-helical conformation from K6 to F17. The membrane binding of Htt17 and the resulting permeability were quantitatively analyzed and are strongly dependent on lipid composition, whereas the helical tilt angle (~77 degrees) is nearly constant in all membranes investigated. The structure and lipid interactions of Htt17 have pivotal implications for membrane- anchoring and functional properties of hun- tingtin and concomitantly the development of the disease. The Figure shows the solid-state NMR ori- entational restraints from three 15N and one 2H labelled sites (A) and the resulting alignment of the solution NMR structure in the lipid bilayer (B). 1859-Plat Investigating the Mechanism by which Bcl-xL Regulates Ceramide Channels Kai-Ti Chang, Justin Wang, Marco Colombini. University of Maryland, College Park, MD, USA. The level of ceramide, a sphingolipid, increases in mitochondria early in apoptosis resulting in the formation of ceramide channels. These channels are involved in the release of intermembrane space proteins, such as cyto- chrome c, into the cytosol. This release is a crucial and irreversible step in the apoptotic process. Formation of ceramide channels is inhibited by Bcl-xL, an antiapoptotic protein. Insights into the molecular basis for this regulation were obtained in a study of ceramide analogs (Perera, M. N. et al., Biochem. J. 445, 81, 2012). The results indicated that the effectiveness of Bcl-xL is very sensitive to changes in the hydrophobic regions of the ceramide channel. Furthermore, inhibitors (ABT- 737, ABT-263 and antimycin A) that specifically bind to the hydrophobic groove of Bcl-xL interfere with this function of Bcl-xL. These results imply that the hydrophobic groove is important for Bcl-xL to inhibit channel formation or dissemble the channel. We have demonstrated direct binding of a ceramide molecule to Bcl-xL by a fluorescent ceramide competition technique. In addition, site-directed muta- genesis at a single residue in multiple locations in the hydrophobic groove has resulted in a reduction of the inhibitory action of Bcl-xL. These results support the conclusion that Bcl-xL regulates the ceramide channel through the hydrophobic pocket. This same feature is critical to the regulation of proapoptotic Bcl-2 family proteins, thus it inhibits comprehensively all the pro-apoptotic processes of the cell. (supported by NSF grant MCB- 1023008) 1860-Plat Elucidating the Molecular Details of Phosphatidylserine Membrane Recognition in Immune Response Gregory T. Tietjen1, Chiu-Hao Chen2, James Crooks1, Ernesto Vargas1, Kathleen Cao1, Charles Heffern1, Binhua Lin1, Mati Meron1, Benoit Roux1, Mark Schlossman1, Erin Adams1, Ka Yee Lee1. 1University of Chicago, Chicago, IL, USA, 2University of Illinois at Chicago, Chicago, IL, USA. The immune system recognizes a vast array of chemical signatures as anti- gens although historically most research has focused more exclusively on protein/protein recognition. More recently it has been appreciated that lipid membranes can also provide important immunological signals as demon- strated in both phosphatidylserine (PS) recognition in apoptotic cell clearance and transient PS exposure in T Cell activation. Despite the clear immunolog- ical importance of PS exposure and recognition, there remain very few molecular details regarding the mechanisms of PS membrane recognition. Even more fundamentally, it remains unclear if all PS exposing membranes are immunologically equal or if there exists a sensitivity to additional mem- brane properties beyond simply the presence or absence of PS. To address this gap in our understanding we have made use of a novel combination of biophysical and biochemical techniques to elucidate the molecular mecha- nisms by which Tim4 (an immune related PS receptor) recognizes PS con- taining membranes. Tryptophan fluorescence binding assays have revealed that Tim4 binding is sensitive to membrane PS composition suggesting that there is more to the story than a single PS to single protein interaction. By utilizing a combination of x ray reflectivity measurements to determine membrane bound protein orientation and depth of penetration, as well as molecular dynamics simulations to support the experimental results, we have developed a protein/membrane binding model that provides structural evidence to explain the unique complexities of Tim4 mediated PS membrane recognition. Most significantly, these results provide a standard against which other immunologically related PS receptors can be compared, thereby allow- ing us to begin to address the more fundamental question of just how impor- tant lipid membrane recognition is for our bodies’ immunological defense mechanisms. 1861-Plat Investigating the Molecular Basis of cPLA2a Membrane Bending Katherine E. Ward1, James P. Ropa1, Emmanuel Adu-Gyamfi1, Robert V. Stahelin1,2. 1 University of Notre Dame, South Bend, IN, USA, 2 Indiana University School of Medicine at South Bend, South Bend, IN, USA. Signal transduction mediates disease through key molecular targets that initiate signaling networks. As protein-lipid interactions have been exam- ined in the literature, their role in cellular signaling has become more prev- alent as lipid-binding proteins have become high impact drug targets in cancer, inflammation and viral egress. One such target, termed cytosolic phospholipase A2 a (cPLA2a), has been shown to play a key role in the production of the inflammatory mediators prostaglandins and leukotrienes. A novel function of the protein was recently discovered in our lab showing cPLA2a bends zwitterionic membranes using model membranes, a process that is mediated by cPLA2a’s ability to deeply penetrate membranes. Others in the field have reported cPLA2a to participate in Fc mediated phagocytosis, intra-Golgi trafficking and endosomal trafficking which fur- ther supports cPLA2a’s ability to bend membranes in biological processes. In addition, direct evidence has been reported using siRNA showing that cPLA2a induced vesiculation in cells. These results translate into our cellular system as cells transfected with eGFP-cPLA2a form cytoplasmic vesicular structures. We have preliminary evidence showing cPLA2a membrane bending is mediated by oligomerization. The origin of oligomer- ization is currently under further investigation using both in vitro and cellular techniques. 1862-Plat Probing for p-Cation Interactions in the Binding of B. Thuringiensis Phosphatidylinositol-Specific Phospholipase C Phosphatidylcholine-Rich Vesicles Tao He1, Boqian Yang2, Cedric Grauffel3, Nathalie Reuter3, Anne Gershenson2, Mary F. Roberts1. 1 Boston College, Chestnut Hill, MA, USA, 2 University of Massachusetts, Amherst, MA, USA, 3University of Bergen, Bergen, Norway. Bacillus thuringiensis phosphatidylinositol specific phospholipase C (PI-PLC) binds tightly to phosphatidylcholine (PC)-rich vesicles. A possible mecha- nism for tight binding to PC interfaces involves tyrosine p / choline cation complexes. With this in mind, we have mutated surface tyrosine residues (Y86A, Y88A, Y204S, Y246A, Y247A, Y248A, Y251A), located on the bar- rel rim and in two helices of this (ab)-barrel protein, to assess their contri- bution to vesicle binding. None of these mutations significantly alter the rate of PI cleavage in vesicles, as long as the PI concentration is > 4 mM. However, binding to PC-containing vesicles, as measured by fluorescence correlation spectroscopy, showed a loss of affinity. The loss-of-Tyr mutant proteins fall into two classes: (i) those where Kd(mut)/Kd(WT) < 5 (Y86A, Y247A) and (ii) those where the ratio of mutant Kd to that of the WT was 100-300 (Y88A, Y204S, Y246A, Y248A, Y251A). With the excep- tion of Y204S/Y251A the effects of the mutations appear to be additive, We also attempted to enhance interactions with PC by introducing new Tyr or Trp residues on the surface, but these mutations either reduced membrane af- finity or left it unchanged. Apparently, more specific interactions are needed to enhance binding. Estimating DDG for these Tyr/PC interactions from the apparent Kd values, we find that the free energy associated with Tyr86 and Tyr247 is ~ 4 kJ/mol, comparable to the value predicted by the Wimley- White scale. In contrast, removal of the other surface Tyr is linked to a higher energy cost: 10-13 kJ/mol towards pure PC vesicles. These higher energies Investigating the Mechanism by which Bcl-xL Regulates Ceramide Channels Elucidating the Molecular Details of Phosphatidylserine Membrane Recognition in Immune Response Investigating the Molecular Basis of cPLA2α Membrane Bending Probing for π-Cation Interactions in the Binding of B. Thuringiensis Phosphatidylinositol-Specific Phospholipase C Phosphat ... 
work_gzmotdwcfbdvxgtuvxavs2qz3e	----	Women's Wage Work: A Conference on New Directions for Research International Labor and Working Class History Number 21, Spring 1982, pp. 93-94 Women's Wage Work: A Conference on New Directions for Research Susan Hirsch Northwestern University On October 9 and 10, 1981 a group of researchers and educators from the Midwest gathered at Northwestern University for a conference on "Women's Wage Work." Northwestern's Program on Women sponsored the conference to bring together scholars, policymakers, and activists from a variety of disciplines and viewpoints to discuss major issues of women's wage work and to create an agenda for new research. Participants from the fields of education, history, indus- trial relations, sociology, and psychology addressed the questions of the dynamics of the sexual division of labor, the class structure of women's work, and the rela- tionship of work and home. Three papers presenting or evaluating new research on major female occupa- tions in the United States—clerical work, nursing and teaching—formed the basis for discussing these issues. In "The Mutability of the Sexual Division of Labor: The Transformation of Clerical Work," Susan Hirsch, an historian at the Program on Women, noted that most research on this topic has been shaped by narrow con- ceptions of the supply of and demand for labor. In particular scholars picture technological change or proletarianization as causing feminization of the office, ignoring the larger context in which proletarianization of the factory and office oc- cured simultaneously, the one remaining an arena for men's work, the other be- coming one for women's. Hirsch suggested that further research on why feminiza- tion occurred in the office but not the factory could lead to a better understanding of the mutually supporting interaction of patriarchy and capitalism. In her com- ments, Judith Wittner, sociologist at Loyola University of Chicago, noted that the current wave of automation in the office reinforces the divisions of men's and women's office jobs by further degrading women's work. Tim Diamond, a sociologist at Northwestern, examined the relationship of class and racial differences in the current transformation of nursing in "The Nursing Labor Force: Professionalization or Proletarianization." Diamond noted that administrators blame nurses for the "nursing shortage," which is caused by mushrooming demand, and they pit professionalized RNs—predominantly white h tt p s: // d o i.o rg /1 0. 10 17 /S 01 47 54 79 00 00 75 84 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 27 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0147547900007584 https://www.cambridge.org/core https://www.cambridge.org/core/terms 94 ILWCH, 21, Spring 1982 and U.S.-born—against an ever growing number of LPNs and nurses' aides—non- white and often from third-world countries. The concept of a shortage has become the rationale for proletarianization and for the exploitation of nurses' aides, who can be paid less than subsistence wages because they live in families with other low-wage earners or which qualify for welfare. Family structure and government policy thus provide a subsidy for capitalist enterprises. Kathleen Phillips, an edu- cational psychologist at the University of Wisconsin-Parkside, commented that re- searchers need to examine women's subjective experience, how they name their oppression, in order to understand the impact of male capitalist and racist hegemo- nies in such instances as the current transformation of nursing. In "Kitchens and Classrooms: Connecting Home and School in the Lives of Women Teachers," Dee Spencer Hall, a sociologist at Central Missouri State Uni- versity, challenged the validity of the role concept in analyzing the behavior of workers. Noting that a role analysis perspective presumes that people compartmentalize their lives, she discussed how the work and home experiences of female teachers constantly interpenetrate. Commentator Lynne Miller, Assistant Principal of Riley High School, South Bend, Indiana, added that this analysis applies to male teachers as well, and that this refusal to compartmentalize one's life can form the basis for teachers' organization against oppressive working con- ditions. In a final session, presenters and participants discussed the implications of the issues raised in all three sessions for interdisciplinary research and for efforts to improve the lives of women wage workers. h tt p s: // d o i.o rg /1 0. 10 17 /S 01 47 54 79 00 00 75 84 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 27 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. https://doi.org/10.1017/S0147547900007584 https://www.cambridge.org/core https://www.cambridge.org/core/terms 
work_hsvfqbgcfvbahmij4xlhzzucfm	----	Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Sunday, February 16, 2014 91a 483-Pos Board B238 Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X- Ray Scattering, Neutron Scattering, CD Spectroscopy and MD Simula- tions Kiyotaka Akabori1, Bradley W. Treece1, Michael S. Jablin1, John F. Nagle1, Brian Maranville2, Kun Huang3, Angel E. Garcia3, Stephanie Tristram- Nagle1. 1 Biological Physics Group, Physics Dept., Carnegie Mellon University, Pittsburgh, PA, USA, 2NIST Center for Neutron Research, Gaithersburg, MD, USA, 3Department of Physics and Astronomy, Rensselaer Polytechnic Institute, Troy, NY, USA. In an effort to understand membrane translocation of a cell-penetrating peptide, interactions of HIV-1 Tat peptide (GRKKRRQRRRPPQ) with DOPC, DOPC/ DOPE, DOPC/DOPS, and nuclear membrane mimics were investigated using low- and wide-angle x-ray scattering (LAXS and WAXS), neutron scattering, and circular dichroism (CD) spectroscopy. The diffuse scattering analysis applied to LAXS collected at CHESS revealed that Tat-membrane interactions reduce the membrane thickness by ~1 Å. In DOPC and DOPC/DOPE mem- branes, the position of Tat was found to transition from the vicinity of the glycerol-carbonyl headgroup to the phosphate headgroup as Tat mole fraction was increased from 0.009 to 0.06. The area per lipid for DOPC and DOPC/ DOPE membranes increased by ~2 Å2 at the highest Tat mole fraction. The membrane bending modulus was found to decrease by roughly a factor of 2 at the highest Tat mole fraction except for the nuclear mimic. The chain- orientational order parameter, Sxray, calculated from WAXS and corrected for mosaic spread, showed Tat slightly disordered chains. Neutron scattering collected at NIST from fully hydrated samples consisting of DOPC:DOPE (3:1) membranes and Tat at 0.06 mole fraction showed a prominent, broad peak corresponding to a Tat-membrane correlation of ~100 Å. The secondary structure of Tat calculated from CD spectra using DichroWEB was found to be the same in pure water as in lipid thin films and primarily consisted of b-sheet and random coil with small helical content. Our findings are consistent with the results from MD simulations by Herce and Garcia, which suggested that Tat in- teracts with phosphate headgroups across the bilayer, facilitating the formation of pores. The ensemble of configurations obtained from a new MD simulation allows visualization of Tat/membrane interactions. Funded by GM44976, GM86801, DMR-0936384(CHESS), and DOE(NIST). 484-Pos Board B239 A Systematic Study of Phase Changes Induced by Trans-Membrane Pep- tide Gramicidin-A in Multi-Component Lipid Membranes Ebrahim Hassan-Zadeh, Juyang Huang. Physics, Texas Tech University, Lubbock, TX, USA. What are the effects of proteins on lipid membrane domains? In order to answer this question, we systematically investigated the phase changes induced by trans-membrane peptide gramicidin-A in 16:0-18:2PC(PLPC)/ di18:0PC(DSPC)/cholesterol and 16:0-18:2PC/di16:0PC(DPPC)/cholesterol lipid bilayers. Quaternary giant unilamellar vesicles (GUV) were prepared us- ing our recently developed Damp-Film method. The phase boundaries of liquid-ordered and liquid-disordered (LoþLd) coexisting region as well as the critical points were determined using video fluorescence microscopy. Within the phase coexisting regions, thermodynamic tie-lines were determined using a fluorescence assay. Our results show that adding 1 mol% of gramicidin produces significant and complex phase changes to the lipid bilayers: at some lipid compositions, gramicidin can induce lipid domains; at others, gramicidin completely abolish the phase separation; even if the phase separation is pre- served, gramicidin significantly alters the lipid compositions of membrane do- mains and tie-lines. In the biological relevant critical region, these changes could be quite dramatic. We also measured gramicidin-A partition coefficients between coexisting LoþLd lipid phases. Away from the critical point, the co- efficient is close to 2, indicating that gramicidin slightly prefers the disordered Ld lipid domains with smaller bilayer thickness. However, the partition coeffi- cient continuously changes with lipid composition. Near the critical point, the partition coefficient approaches to the theoretical value of 1. 485-Pos Board B240 Physical Properties of Model Membranes Containing Pope and Phytos- terol Ya-Wei Hsueh, Yen-Chun Chen. Dept. of Physics, National Central University, Jung-li, Taiwan. We have studied the effect of phytosterol on the physical properties of 1-palmi- toyl-2-oleoyl-sn-glycero-3-phosphoethanolamine (POPE) multilamellar vesi- cles using deuterium nuclear magnetic resonance ( 2 H NMR). The sn-1 chain of POPE is deuterium labeled. The NMR spectra were taken as a function of temperature and phytosterol concentration. The order of POPE-d31 mem- branes, measured through the spectral first moment, is almost not affected by the addition of phytosterol in the gel phase, while it increases with phytosterol concentration in the liquid-crystalline phase. A significant difference in the ability of phytosterol to disorder the gel-phase and to order the liquid-phase POPE membranes is observed. This finding differs from those observed in POPE/chol and other lipid/sterol systems. Furthermore, the temperature- composition phase diagram will be discussed. 486-Pos Board B241 Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Edwin Li, Christopher Moll, Bernadette Eichman, Jessica King. Biology, Saint Joseph’s University, Philadelphia, PA, USA. Overexpression of the membrane protein mucin 1 (MUC1) has been linked to 75% of all human solid tumor cancers, including 90% of breast carcinomas. In cancer cells, MUC1-MUC1 homodimerization has been associated with cell migration and adhesion. Furthermore, this interaction is necessary for forming complexes with growth factor receptors and targeting to the nucleus, where MUC1 can interact with effector proteins regulating gene expression. Thus, un- derstanding how MUC1 forms homodimers is essential for developing novel therapeutic strategies to block its oncogenic effects. A recent study has shown that the membrane proximal CQC motif promotes dimerization under oxidizing conditions, suggesting that the motif may act as a redox switch in response to changes of cytosolic oxidant levels. Aside from these few studies focusing on the CQC motif, very little is known regarding the mechanism of MUC1 homo- dimerization. Currently, we are using the ToxR and AraTM assays to investi- gate if the transmembrane domain, without the cytosolic CQC motif, is able to dimerize by itself. We are also measuring if the dimerization propensity of the TMD changes with the membrane proximal CQC motif. The two assays allow us to compare the dimerization propensity when the CQC motif is in reducing and oxidizing environments. 487-Pos Board B242 Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Katherine E. Ward1, James P. Ropa1, Robert V. Stahelin1,2. 1Chemistry and Biochemistry, University of Notre Dame, South Bend, IN, USA, 2Biochemistry and Molecular Biology, Indiana University School of Medicine-South Bend, South Bend, IN, USA. Lipid membranes play a critical role in cellular signaling through selective protein-lipid interactions. The membrane composition of organelles often drives specific proteins to localize in cells. Lipid binding proteins, including those harboring BAR and ENTH domains, have been shown to shape biological membranes into vesicles necessary to transport cargo across the membrane. Recently, we observed that the calcium-dependent enzyme cytosolic phospho- lipase A2 (cPLA2), bends model membranes through its N-terminal C2 domain, which is dependent upon its membrane penetration (Ward et al. JLR, 2012). Thus, in addition to its role in generating arachidonic acid from membrane phospholipids, this enzyme may have a role in regulating membrane curvature changes. This hypothesis is supported by roles for cPLA2 described in the liter- ature including intra-Golgi trafficking, Golgi tubulation, Golgi vesiculation and Fc-receptor-mediated phagocytosis. We found that membrane bending by cPLA2 translated into A549 and HeLa cells, supporting the physiological rele- vance of our earlier findings. Thus, we sought to characterize the molecular forces driving cPLA2-dependent membrane bending in vitro and in cells. Using a variety of mCherry and mEGFP protein chimeras, we investigated the hy- pothesis that cPLA2 oligomerizes on membranes with a series of correlation spectroscopy experiments. These results show that cPLA2 forms large protein oligomers on cytoplasmic vesicles using number and brightness analysis and with an in vitro crosslinking assay. Taken together, using a variety of biophys- ical methods, we have consistently found cPLA2 to oligomerize through its C2 domain in vitro and in cells. 488-Pos Board B243 Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein- Sucrose Mixtures Zachariah I. Strango, Caleb W. Reese, Christopher J. Ver Hoef, Paul E. Harper. Department of Physics and Astronomy, Calvin College, Grand Rapids, MI, USA. Sugars play key roles in the biology, yet much remains unknown about their interactions with lipids. In particular, we examine the effect of different con- centrations of sucrose-water solutions on the cubic - inverted hexagonal transi- tion in monoolein. Using DSC (differential scanning calorimetry), we ramp the temperature up and down through the transition and measure the ramp-rate Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X-Ray Scattering, Neutron Scattering, CD Spectroscopy and MD ... A Systematic Study of Phase Changes Induced by Trans-Membrane Peptide Gramicidin-A in Multi-Component Lipid Membranes Physical Properties of Model Membranes Containing Pope and Phytosterol Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein-Sucrose Mixtures 
work_hzlys6qgondsrbg3yk6qi5vmyy	----	192 American Archivist / Vol. 50 / Spring 1987 Description and Reference in the Age of Automation AVRA MICHELSON Abstract: This article is a report of the results of a survey conducted in 1986 to deter- mine the effects of descriptive practice on retrieval capabilities of archive and manu- script materials described in bibliographic utilities. Forty repositories inputting into RLIN AMC were surveyed on (1) standardization in the choice and construction of headings, (2) levels of authority control, and (3) treatment of out-of-scope materials. Massive inconsistency in descriptive practice was found. The author makes five recom- mendations to correct inconsistency in the file and the retrieval difficulties that result. About the author: Avra Michelson assists in the development of the archives catalog of the Smith- sonian Institution Bibliographic Information System (SIBIS). She received an M.A. in American Studies from the State University of New York at Buffalo (1976) and a M.L.S. with a specializa- tion in archives administration from the University of Michigan (1983). This article was written as a product of the author's participation in the 1986 Research Fellow- ship Program for Study of Modern Archives administered by the Bentley Historical Library, Uni- versity of Michigan, and funded by the Andrew W. Mellon Foundation and the Research Division of the National Endowment for the Humanities, a federal agency. The author thanks Francis X. Blouin and William Wallachfor assistance beyond the call of duty; Paul Conway, Lisa Weber, and members of the RLG Task Force on Archives and Special Collections for comments on meth- odology and research design; David Blair and Frank Boles for assistance in research analysis; and David Bearman for patience, support, and careful readings of countless drafts. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 Description and Reference 193 DURING THE PAST DECADE, the desire to share information on archival holdings in an automated environment emerged near the top of the archival profession's agen- da. Although there were a variety of op- tions, many repositories determined par- ticipation in bibliographic utilities to be the most viable method for information exchange. David Bearman's 1981 report on the work of NISTF (National Infor- mation Systems Task Force) outlined more than a dozen possible prototypes for information sharing.1 The choice to automate through bibliographic utilities represented merely one option that of- fered the archival community distinct benefits. First, it provided a way to inte- grate archival and manuscript collections with other types of material in library cat- alogs, offering repositories whose mother institutions were RLIN or OCLC mem- bers both a vehicle for greater local visi- bility and the promise of wider use. Se- cond, participation in bibliographic utili- ties offered improved local and network- wide subject access to holdings. Third, and not incidentally, bibliographic utili- ties rapidly introduced many archives to automation. Information sharing through bibliographic networks, thus, al- lowed archivists to mainstream materials into library catalogs, exchange informa- tion on holdings with other archives, and begin the automation process within re- positories. I n f o r m a t i o n sharing through bibliographic utilities involved tradeoffs, however; joining these systems meant adopting system standards, which led to some fairly predictable problems for ar- chival repositories. For example, because there were few archival descriptive stan- dards suitable for an automated environ- ment, repositories, in order to automate quickly, had little recourse but to accept the library conventions used by biblio- graphic utilities—such as Anglo- American Cataloging Rules, second edi- tion (AACR2), Library of Congress Sub- ject Headings (LCSH), and the Library of Congress Name Authority File (LCNAF). As a result, library cataloging largely supplanted customary archival de- scription in preparing the automated re- cord at this early stage of archivists' work. Resolving tensions between exist- ing local practice, the needs of a system, and the requirements of a group of users is a complicated matter. Because a num- ber of archives have participated in bibli- ographic utilities for several years, a body of data exists that permits evaluation of the status of information sharing within the profession, the implications of the use of library standards for archival retrieval, and the steps that can be taken to im- prove network access to descriptions of archival collections. The actual performance of national networks in providing access to archival and manuscript holdings has never been tested. Various elements influence searching and system-wide retrieval capa- bilities in automated bibliographic net- works, including format design, system architecture, the application of stan- dards, and the compatibility of standards with particular formats of material. The research discussed below examined the variant descriptive practices of the forty repositories inputting into the Research Library Group's (RLG) Research Library Information Network (RLIN) Archival and Manuscript Control (AMC) file in 1986. By surveying these repositories, it was possible to evaluate the extent to which lack of uniform descriptive prac- tices complicates accessing information 'David Bearman, "Towards National Information Systems for Archives and Manuscript Repositories: Al- ternative Models; First Working Paper on Scenarios for Multi-Institutional Exchange and their Implications for the Profession," unpublished, 20 August 1981. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 194 American Archivist / Spring 1987 within a data base. The survey included questions on three types of practices: (1) standardization in the choice and con- struction of headings, (2) levels of au- thority control, and (3) treatment of out- of-scope materials (i.e., holdings that are outside a repository's topical, geographi- cal, or chronological collecting policy guidelines). Thirty-six of the forty reposi- tories actively inputting into RLIN AMC responded to the survey, representing 88 percent of the records in the data base. Network environments rely on the use of standard conventions to facilitate in- formation retrieval. Because computers are unforgivingly literal, the degree to which cooperating repositories can agree or "converge" on what they put into the system directly affects what they can get out of it. Although standard conventions guide their work, archivists are far from achieving standard practice. Extreme in- consistency in describing materials is the key problem facing archival reference in the age of automation. Archivists are in- consistent in both how they describe and in what they describe. Resolving these discrepancies will profoundly affect the ability of the reference archivist to re- spond to user queries. This article will re- port inconsistencies found in the RLIN AMC data base, examine the implica- tions of these inconsistencies, and suggest methods for improving retrieval in auto- mated bibliographic networks. The first area of inconsistency appears in the assignment of topical index terms. Previous information retrieval studies have shown a positive relationship be- tween interindexer consistency and retrieval effectiveness; that is, the more convergence in cooperating repositories' choices of index terms, the greater the likelihood of retrieving relevant materials from the data base.2 In this study, inter- indexer consistency among those input- ting into RLIN AMC was measured by asking all repositories to assign topical in- dex terms to the same three descriptions of collections, using their own descriptive procedures (see Appendix A). Consisten- cy was calculated by determining the total number of different terms selected to de- scribe each collection in ratio to the num- ber of terms selected by all repositories. An unrealistically high level of conver- gence might be expected, because survey respondents performed this exercise with the equivalent of an identical card catalog description in hand, preventing many of the opportunities for divergence that arise in drafting descriptions from the be- ginning. The findings, however, contradicted initial expectations. In the first of three descriptions, the Carter family of Indi- ana, 21 indexing repositories assigned 162 different access points to this collection (see Appendix A).3 No term was assigned by all indexers, resulting in an indexing consistency rate of zero. Even when terms were reduced through truncation to their most global representation, such as WOM#N or INDIANA^ (which would result in an unwieldly number of hits if searched as such), interindexer consisten- cy still equaled zero; there was not one term, collapsed to its most generic root, that was chosen by all repositories to de- scribe this collection. The other two collections included an even more extreme bias toward interin- dexer convergence. Each repository was asked to describe one collection—either !William S. Cooper, "Is Interindexer Consistency a Hobgoblin?" American Documentation, no. 20 (July 1969): 276 'Although thirty-six repositories responded to the survey, not all repositories answered every survey ques- tion. When less than thirty-six repositories responded to a particular question, the number of responses has been supplied in the text. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 Description and Reference 195 record group or a manuscript collection —that represented its predominant hold- ings (see Appendix A). This self-selection should have resulted in overrepresented consistency, because convergence de- pended on the agreement of a few reposi- tories indexing familiar materials. Again, however, there was no consistency. The extreme lack of consistency in the assign- ment of topical index terms constitutes the major finding of this study. Survey analysis reveals that reposito- ries avoid certain kinds of topical terms, further complicating network-wide ac- cess. Terms identifying "occupations" and "conferences or meetings" tend to be used significantly less often than other points of entry. Respondents indicate that 19 percent of records are not as- signed occupation index terms even when appropriate. Twenty-two percent of re- cords are not assigned conference or meetings index terms. Although the per- centage is slightly higher for the latter, the absence of occupation terms poses the more serious problem because occupa- tion terms permit searches related to a particular activity (e.g., teaching, nurs- ing, publishing). The ability to search by activity-related terms is central to archi- val retrieval, yet survey reports indicate that search queries using occupation terms will result in a significant number of misses. Considerable nonconformity also ap- pears in the preferred level of specificity in choosing topical terms. For example, some respondents described a trip by rail to Florida as "Voyages and travel," while others termed it "Railroad travel— United States." Records documenting the sale of public lands in Indiana might be "Indiana—Government property" or "Land titles—Registration and transfer —Indiana." The eighteen repositories that entered 61 percent of the records surveyed favored narrow terms. Seven re- spondents, representing 13 percent of the records surveyed, favored broad terms. The other seven repositories, representing 25 percent of the records surveyed, used both types of terms. Although survey re- sponses indicate that repositories are much more apt to assign specific terms rather than broad terms when creating records, irregular practice in this area cre- ates further retrieval difficulties. Lack of uniformity in the choice and construction of topical index terms is compounded by a second inconsistency, inadequacies in RLIN's syndetic struc- ture. Syndetic structure is the linking mechanisms used with groups of words or phrases in an information system.4 An authority file that uses " s e e " and "see also" references is the most commonly found syndetic structure in library cata- logs. Authority control files are the key mechanism for ensuring consistency within bibliographic catalogs by distin- guishing names, showing relationships (among variant forms of names, parent bodies, and earlier to later names), and documenting decisions. Such files there- by promote consistency in the subsequent determination of relationships and identi- fication of headings.5 RLIN AMC users use the Library of Congress Name Authority File (LCNAF) for system-wide authority control for 'Ritvars Bregzis, "The Syndetic Structure of the Catalog," Authority Control: The Key to Tomorrow's Catalog, Proceedings of the 1979 Library and Information Technology Association Institutes, ed. Mary W. Ghikas (Phoenix, Az: Oryx Press, 1982), 26. 'David R. McDonald, "Data Dictionaries, Authority Control, and Online Catalogs: A New Perspective," - Journal of Academic Librarianship 11, no. 4 (1985): 219. An authority file distinguishes two persons with the same name who were alive at approximately the same time by indicating that one was a biologist and one a molecular scientist, or by providing place of birth, names of publications, or other differentiating informa- tion. Similarly, an authority file leads one from Samuel Clemens to Mark Twain or indicates that the Atomic Bomb Casualty Commission has been known by at least five other names. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 196 American Archivist / Spring 1987 personal names and corporate entries. The respondents reported searching from 0 to 100 percent of their personal and cor- porate name terms in the LCNAF, with an overall average of 90 percent. Al- though most RLIN AMC users regularly search the LCNAF, their terms are not apt to appear in the file because it con- tains names associated with published works. Only 36 percent of the index terms entered into RLIN AMC have been searched and found in the LCNAF; as a result, approximately two-thirds of re- spondents' personal and corporate name index terms have been entered into the system with no network-wide authority control. This lack of rigorous system- wide authority control significantly com- promises access capabilities. The survey results likewise indicate an alarming lack of authority control on the local level. Nearly one-half of the records input by surveyed repositories relied ex- clusively on the LCNAF and/or the RLIN AMC file for authority control of personal and corporate names. These re- positories maintained no separate local authority file, but instead used RLIN AMC in that capacity. For many reposi- tories, using RLIN AMC in this way ap- pears a reasonable accommodation to the costs of automation. Maintaining an au- thority file is extremely labor intensive.6 RLIN AMC, however, is a catalog, not an authority file. It is not designed nor in- tended to alleviate inconsistency and pro- vides no comprehensive mechanism for linking variant forms of headings, distin- guishing names, and documenting deci- sions. Reliance on a catalog for authority control ultimately harms retrieval. If two-thirds of the names entered are not screened for system-wide consistency and there is inadequate control of one-half of the respondents' RLIN AMC records, in- consistency is surely epidemic. The third area of inconsistency con- cerns the descriptive treatment of out-of- scope material. The extent to which such materials are assigned access points is sig- nificant because the ability to share infor- mation on these holdings constitutes a key benefit of national networks. Net- work members, however, stand divided in their willingness to make out-of-scope materials accessible through the AMC file. Nine repositories, representing one- half of the records surveyed, reported that their indexing of out-of-scope mate- rials was inferior to their indexing of core holdings. In many cases, these materials are insufficiently described in finding aids and thus must be reprocessed to permit better access, tremendously taxing a re- pository's available resources. Determin- ing the appropriate balance between local priorities and network demands is auto- mation's key challenge for the profes- sion. With respect to out-of-scope mate- rials, survey results indicate that RLIN AMC repositories currently tend to favor local priorities. Providing network-wide access to in- formation in bibliographic utilities is complicated, because the use of standard conventions has not yet produced a stan- dard practice. But to achieve effective re- trieval, data bases require convergence on what is entered. Determining the most cost-effective use of a file characterized by massive inconsistency in subject head- ings, authority control, and description of holdings presents formidable challeng- es for the reference archivist. There is, however, reason to persevere, as biblio- graphic automation offers archivists a 'One Library of Congress cataloger estimates that 50 percent of LC's descriptive catalogers' staff time is spent exclusively on name authorities. See Lucia J. Rather, "Authority Systems at the Library of Congress," Authority Control: The Key to Tomorrow's Catalog, 158. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 Description and Reference 197 significant tool and an extraordinary cat- alyst for professional growth and devel- opment. The strategies adopted to im- prove data input and retrieval must be well researched and wisely selected. Based on this study, five corrective ap- proaches are recommended, some quick- ly accomplished and others long-term in nature. First, measures should be taken to up- grade indexing. This is not to suggest that all archivists require basic instruction in subject cataloging. Indeed, repositories usually chose very appropriate, although different, terms in completing the survey. Although the zero consistency among this survey's respondents is extreme, all stud- ies on retrieval have found some inconsis- tency.7 Retrieval experiments report con- siderable disparity even when the same indexer performs an identical exercise at two different times.8 Thus, information retrieval scientists have concluded that substantial interindexer inconsistency forms the rule rather than the exception.9 Information scientists hesitate to gen- eralize about rates of consistency that can be reasonably attained. They do, how- ever, point to factors such as the degree of vocabulary control, the subject of ma- terials indexed, and the conditions under which indexing is performed, as elements that affect indexing quality.10 A consis- tency rate of zero is unacceptable, how- ever, regardless of limitations. Yet con- centrating the profession's efforts exclu- sively on upgrading indexing is no solu- tion. Archivists can best address this pro- blem by creating network users' groups whose purpose is to determine common use, promote adherence to conventions, provide needed training, and monitor participants' practice. Agreeing to agree is the prerequisite to achieving consisten- cy. As a second step, the inconsistency re- lated to the use of LCSH, an orderless controlled vocabulary, must be reduced. The library community has criticized LC subject headings for many years, citing problems with terminology, form and structure, complexity and size, currency and prejudices, and the use of Cutter's rule of specific entry.'' Despite its adop- tion of rules to guide subject term selec- tion, Library of Congress practice has wavered seriously on adherence to estab- lished principles.12 LCSH were adopted for use with automated systems in spite of a lack of consensus within the library community. As one observer remarked, using LC subject headings for computer access with MARC makes MARC "rath- er like a modern jet plane powered by a late nineteenth-century model of a steam engine; the thing might possibly move or even fly, but it will soon be prone to acci- dents, unreliable, and above all, the 'David C. Blair, "Indeterminacy in the Subject Access to Documentation," Information Processing and Management 22, no. 2 (1986): 230. 'Frances I. Hurwitz, " A Study of Indexer Consistency," American Documentation, no. 20 (January 1969): 92-93. 'See for instance William S. Cooper, "Is Interindexer Consistency a Hobgoblin?" 268; Pranas Zunde and Margaret E. Dexter, "Indexing Consistency and Quality," American Documentation, no. 20 (July 1969): 259; Blair, "Indeterminacy in the Subject Access to Documentation," 220; and Michael R. Middleton, " A Com- parison of Indexing Consistency and Coverage in the AEI, ERIC and APAIS Data Bases," Behavioral and Social Sciences Librarian 3 (Summer 1984): 140. '"Middleton, "Comparison of Indexing Consistency and Coverage," 140. 1' Pauline A Cochrane, Critical Views of Library of Congress Subject Headings: A Bibliographic and Biblio- metric Essay; and an Analysis of Vocabulary Control in the Library of Congress List of Subject Headings (Syracuse, N.Y.: Eric Clearinghouse on Information Resources, Syracuse University, 1981). 12See Richard S. Angell, "Library of Congress Subject Headings—Review and Forecast," Subject Retrieval in the Seventies: New Directions, Proceedings of an International Symposium held at the Center of Adult Education, University of Maryland, College Park, 14-15 May 1971, ed. Hans Weelisch and Thomas D. Wilson (Westport, Ct: Greenwood Publishing, 1972), 148-49 and 153; and Cochrane, Critical Views. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 198 American Archivist / Spring 1987 streamlined features of the fuselage will be wasted because of the slow speed at- tained."13 Both economic and political realities, however, make serious consideration of revamping LC subject headings unfeasi- ble. Thesaurus construction is prohibi- tively expensive. Development time for a small specialized thesaurus can require up to three years. Studies estimate that a small-scale thesaurus of only 2,500 terms would require two full-time staff six months to complete.14 The creation of a subject-controlled vocabulary or thesau- rus designed for use with bibliographic utilities and appropriate to archival and manuscript materials would entail thou- sands of terms and call for the input of countless subject specialists as well as the development of a sophisticated mecha- nism for continual administration, up- date, and change. Further, nearly all na- tional, academic, and public libraries in the United States, and many such librar- ies abroad use LCSH.15 The overhaul of LCSH would require either complete ar- chival detachment from the library com- munity or a commitment from innumera- ble archivists, librarians, administrators, resource allocators, and the bibliographic utilities to transform LCSH. Archivists are not in a position to inaugurate either change. Topical term selection, while currently inconsistent, is nevertheless not random; some terms are chosen more than others. Providing on-line access to LC subject headings with a running count of each heading's use within AMC would pro- mote greater consistency in term selec- tion. Archivists could use this file when creating index terms and, where choices exist, select the heading most often used in the data base. Because archival term selection is original and seldom deriva- tive, archivists have a greater need than librarians to know the extent to which headings are used within a system. Incor- porating information on heading-use pat- terns into the term selection process ulti- mately should lead to greater conver- gence. RLG plans to provide online ac- cess to LCSH in RLIN, but current plans do not include provision for reporting on the use of terms.16 Augmenting the syndetic support avail- able on RLIN AMC offers a third way to improve access. The authority file pro- vides the foundation of the automated li- brary system.17 It is the primary tool used throughout the data processing industry to maintain consistency within data bases.18 The need for authority control when automating in a cooperative net- work has been firmly documented. While archivists might argue about the high costs of implementing authority control, they cannot ignore the greater costs asso- ciated with excessive searching or failed retrieval. Archival participation in the Library of Congress's Name Authority Cooperative (NACO) offers a beginning. Qualified RLIN AMC users will soon be able to contribute to the LC Name Authority File through NACO, which permits li- braries throughout the country " t o pro- vide their own local name authority data to be included in the LC automated name authority file and made available as a 13Hans Wellisch, "Subject Retrieval in the Seventies—Methods, Problems, Prospects," Subject Retrieval in the Seventies: New Directions, 15. '"State Historical Society of Wisconsin Archives Division MSAGP Subject Access Position paper, unpub- lished, ca. 1980, 5. "Wellisch, "Subject Retrieval in the Seventies," 16. "Conversation with Ed Glazier of RLG, 28 July 1986. "Initial Considerations for a Nationwide Database, prepared by Edwin J. Buchinski, ed. and revd. Henriette D. Avram and Sally McCallum, Network Planning Paper (Washington, D.C.: Library of Congress, 1978), 1. "McDonald, "Data Dictionaries," 222. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 Description and Reference 199 whole."19 Attention also must be devoted to developing local authority files. In the age of automation, providing access to materials necessarily includes the cost of developing substantial syndetic systems.20 As a fourth route to greater access, ar- chivists should direct resources to devel- oping an archival science of searching. Some may consider the term "science of searching" an overstatement. Results of this survey suggest, however, that suc- cessful retrieval of primary source mate- rials from bibliographic utilities requires systematic data gathering, analysis, and testing. Additional research especially is needed because the process of providing access in RLIN AMC to primary materi- als differs in three ways from that of pro- viding access to books. First, archival records describe hetero- geneous collections that require many more index terms than those used to de- scribe monographs. The average number of index terms assigned to records by the survey respondents was thirteen; the av- erage number assigned to books by the Library of Congress is 3.21 Retrieval specialists have discovered that "infor- mation systems do not scale up. That is, retrieval strategies that work well on small systems do not necessarily work well on larger systems."22 The greater number of access points created for ar- chival and manuscript collections, there- fore, significantly affects retrieval. Sec- ond, archival retrieval is complicated by less adequate authority control and the tendency toward less convergence of terms because archival cataloging is pri- marily original and seldom derivative. Consequently, greater inconsistency characterizes the file. Third, the expectations of library and archival users differ, which creates con- flicting demands on the system. The re- trieval of some relevant citations, either books or journal articles, normally satis- fies most library patrons. Scholars using primary source materials, however, are more likely to expect an exhaustive listing of the relevant collections. Complete in- formation on their topic then allows them to develop a research strategy. Two dif- ferent kinds of retrieval are involved: the library patron needs precision retrieval; the scholar, recall retrieval. Precision and recall are the most widely used measures of retrieval effectiveness. Precision asses- ses how well a system retrieves only rele- vant documents, or the probability that a retrieved document will prove relevant. Users who want a few relevant citations are served best by high-precision retriev- al. Recall, on the other hand, measures how well a system retrieves all relevant documents, or the probability that a doc- ument relevant in any degree will be re- trieved. An inverse relationship exists be- tween a system's ability to be precise and its ability to be exhaustive. This only "Suzanne L. Liggett, "The Name Authority Co-op Project at the Library of Congress," Crossroads, Pro- ceedings of the First National Conference of the Library and Information Science Association, 17-21 Septem- ber 1983, Baltimore, Md., ed. Michael Gorman (Chicago: American Library Association, ca. 1984), 121. !0Little has been written on archival authority systems. The work of David Bearman, Max Evans, and Richard Szary comprises current thinking and deserves wide reading within the profession. See Richard V. Szary, "Expanding the Role of Authority Files in the Archival Context," paper presented at the annual meet- ing of the Society of American Archivists, Austin, Texas, 1 November 1985; Max J. Evans, "Authority Con- trol: An Alternative to the Record Group Concept," American Archivist 49 (Summer 1986): 249-61; David Bearman and Richard Szary, "Beyond Authorized Headings: Authorities as Reference Files in a Multi- Disciplinary Setting," paper delivered at ARLIS/NA Conference on Authority Control, 10 February 1986. An online archival authority system is currently under development for the archives catalog of the Smithsoni- an Institution Bibliographic Information System. 2'Sally McCallum, "Evolution of Authority Control for a National Network," Authority Control: The Key to Tomorrow's Catalog, 56. "David C. Blair and M. E. Maron, "An Evaluation of Retrieval Effectiveness for a Full-Test Document- Retrieval System," Computing Practices 28 (March 1985): 298. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 200 American Archivist / Spring 1987 known " l a w " of information retrieval performance presents the key stumbling block archivists will encounter when transferring library retrieval methods to an archival setting.23 Searching strategies devised for libraries cannot necessarily serve as models for archives. Instead, concentrated research leading to the de- velopment of search strategies for pri- mary source materials is needed. As a beginning, RLIN AMC users might maintain a record of research ques- tions searched in AMC, the nature of each query (precision or recall), the search strategies employed, the search query statements, and the search results. The goal would be to collect sufficient data in order to identify successful pat- terns that might guide the searching of ar- chival data bases. Precision requests probably will be quite perfunctory; the system can readily provide some relevant items for most searches. Recall retrieval, however, is apt to be more complicated. To retrieve all relevant network material, archivists must conduct repeated search- es, using all related and synonymous terms in countless combinations until rel- evant records are no longer retrieved. Re- call searches, therefore, inevitably entail considerable computer time and retrieve many irrelevant items.24 Consequently, archivists should not hold unrealistic ex- pectations of the system. They must com- pare the most effective types of search strategies with different types of inquiries to provide cost-effective, efficient service to users. Retrieval research should result in a set of model searches or prototypes that are particularly effective for archival materials. By identifying searching as es- sential to enhancing retrieval, archivists will build on the existing strength of the reference archivist as expert intermediary between users and materials. Fifth, to improve access to archival and manuscript collections in biblio- graphic utilities, archivists must come to terms with the treatment of out-of-scope materials. Research has shown that RLIN AMC members usually did not adequate- ly describe these holdings. The benefits of participation in a national network will only increase through cooperation in this area. Network participants should agree to share full information on out-of-scope materials processed in the future, and they should seek outside funding to up- grade access to those out-of-scope mate- rials already entered into the data base in order to correct the existing file. In conclusion, the research discussed above has shown (1) that the use of stan- dard conventions has not yet produced a standard practice among archivists; (2) that the lack of consistency in archival practice impedes the ability to access in- formation; (3) that attaining consistency within bibliographic utilities will be diffi- cult to achieve; and (4) that the resolution of these problems requires research, allo- cation of resources, and a willingness to balance local priorities with those of the network. Automating through bibliographic utilities entails numerous compromises for archival and manuscript repositories. An awareness of the intrinsic limitations should temper unrealistic expectations of these systems. Adopting library stan- dards used with bibliographic utilities cre- ates problems in providing access to ar- chival holdings. But automating through this route also offers advantages. In addi- tion to mainstreaming primary source materials into the library research com- "See Karen Sparck Jones, ed., Information Retrieval Experiment (London: Butterworth and Co., 1981), 2; M.H. Heine, "The Inverse Relationship of Recall and Precision in Terras of the Swets' Model," Journal of Documentation, no. 29 (1973): 81; and Cyril W. Cleverdon, "On the Inverse Relationship of Recall and Pre- cision," Journal of Documentation, no. 28 (1972): 199. "Elizabeth D. Barraclough, "Opportunities for Testing with Online Systems," Information Retrieval Ex- periment, 129. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 Description and Reference 201 munity and enhancing access to archival tion. The knowledge gained from partici- holdings, this process can provide an ef- pation in this process will prepare ar- fective way to gain needed education in chivists to undertake the tasks needed to information systems, challenge archivists create a new generation of information to begin transforming internal practices, systems more authentic to archival re- and encourage the development of a trieval. body of users expert in archival automa- Appendix A: Questionnaire and terms selected by surveyed repositories to describe collections. Below you will find three hypothetical descriptions of collections. Assuming the infor- mation is complete, please create RLIN AMC records, on paper, for 2 of these collec- tions, following the internal conventions of your repository. Please send me descrip- tions formatted on your own worksheets or whatever your repository normally uses to create a record. For the purposes of this exercise, complete only the bibliographic fixed and variable fields, not the archival control segment, and do not conduct any authority work on personal or corporate names (the information supplied is assumed to be cor- rect). Be sure to create index terms (6XX & 7XX fields) in accordance with standard practice within your repository. Assume, however, that your repository is located in the state of Indiana, and has state history as its collecting theme. Question: To be Completed by all Repositories 1. Carter family of Indiana 3 linear feet Papers, 1815-1950 and 1967, of the Carter family of Muncie and South Bend, Indiana. Contain papers of Mark Carter, Muncie businessman and postmaster, concerning banking, milling, and railroads, and includes letters from his son Leonard, concerning his studies in the 1840s at Indiana University and Brown University, travels in Europe, and his participation in the Dred Scott slavery case; papers of his wife, Rose Vaill Carter, local teacher and woman's rights advocate, relating in part to the Civil War, her interest in the cause of coeducation and suffrage for women and her involvement in the First Presbyterian Church of Muncie; papers of their son, Leonard, attorney and regent of Indiana University, 1883-1884, concerning business matters, family affairs, post- Civil War politics in Virginia, and his campaign for Indiana state supreme court justice in 1885, and his work on the board of regents, particularly as relates to the School of Medicine at Indiana University; papers of Leonard's son, Mark Carter, South Bend at- torney and Grand Master of the Knights of Templar in the United States, largely con- cerning freemasonry activities, but also including Indiana University student notebook, 1877, of course taught by Charles K. Mathews, and scrapbook, 1875-1876, of universi- ty life; papers, 1916-1932 of Leonard's daughter, Maria Carter Murray, South Bend physician, concerning her work as a settlement house reformer and on behalf of the re- productive rights of women; papers of Mark's son, Abbott Carter, concerning his inter- est in political issues, 1936-1946, as reflected in correspondence with the state's con- gressional delegation, and letters, 1967, from his grandson, Allan, concerning opposi- tion to the Vietnam war and the draft at Indiana University; and related papers of other family members, notably the Halsey family of Missouri. D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 202 American Archivist / Spring 1987 Charles K. Mathews, 1835-1902 Abbott Carter, 1887-1968 Leonard Carter, 1823-1894 Maria Carter Murray, 1856-1938 Mark Carter, 1796-1882 Mark Carter, 1857-1943 Rose Vaill Carter, 1797-1876 Allan Carter, 1949- Terms assigned by repositories for the Carter family of Indiana: Abortion—Moral and ethical aspects (1) Banks and banking (3) Banks and banking—Indiana (1) Banks and banking—Indiana — Muncie (2) Banks and banking—Muncie (Ind.) (1) Banks and banking—19th century (1) Birth control (2) Birth control—Indiana — South Bend (1) Birth control—Moral and ethical aspects (1) Birth control—Law and legislation (1) Business (1) Business records (2) Businessmen (3) Businessmen—Indiana (2) Businessmen—Indiana—Muncie (1) Churches—Indiana—Muncie (1) Coeducation (4) Coeducation—Indiana (1) Coeducation—19th century (1) College students (1) College students—Indiana (1) College students—Indiana—Political activity (1) Correspondence (2) Education (1) Education, Higher—Providence (R.I.) (1) Electioneering—Indiana (1) Elections — Indiana—1885 (1) Elections and election campaigns—Indiana (1) Essays (1) Europe (2) Europe—Description and travel (5) Europe—Description and travel—1800-1918 (2) Family—Indiana (1) Family—Missouri (1) Family papers (1) Family records (1) Feminists (1) D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 Description and Reference 203 Flour and feed trade (1) Freemasonry (3) Freemasonry—United States (1) Freemasons (2) Freemasons—United States (1) Indiana (2) Indiana—Commerce (1) Indiana—History (4) Indiana—History—Civil War, 1861-1865 (3) Indiana—History, local (1) Indiana—Industries (1) Indiana—Muncie (2) Indiana—Politics and government (7) Indiana—Politics and government—19th century (1) Indiana—Politics and government—1865-1950 (1) Indiana—Politics and government—1929-1938 (1) Indiana—Politics and government—1939-1945 (1) Indiana—Social conditions (1) Indiana—South Bend (2) Lawyers (4) Lawyers—Indiana (3) Letters (2) Letters—19th century—Indiana (1) Letters—20th century—Indiana (1) Medicine (1) Medicine—Indiana—South Bend (1) Medicine—Study and teaching (1) Military service, compulsory (1) Military service, compulsory—Draft resisters (1) Military service, compulsory—Public opinion (1) Military service, compulsory—United States—Draft resisters (1) Milling—19th century (1) Mills and mill-work (1) Mills and millwork—Indiana—Muncie (1) Mills and mill-work—Muncie (Ind.) (1) Missouri (2) Missouri—History—Sources (1) Muncie (Ind.) (8) Muncie (Ind.)—Churches (1) Muncie (Ind.)—Commerce (1) Muncie (Ind.)—History (2) Muncie (Ind.)—Industries (1) Muncie (Ind.)—Manufactures (1) Muncie (Ind.)—Social life and customs (1) Notebooks (4) Notebooks—19th century (1) Physicians (4) Physicians—Indiana—South Bend (1) D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 204 American Archivist / Spring 1987 Political letter writing—20th century—Indiana (1) Politicians (1) Politics, Practical (1) Postal service—Indiana—Postmasters (1) Postal service—Muncie (Ind.) (1) Railroads (1) Railroads—Indiana (5) Railroads—Muncie (Ind.) (1) Railroads—19th century (1) Reconstruction—Virginia (1) Reformers (1) Scrapbooks (8) Scrapbooks—19th century (1) Settlement houses—Reform (1) Settlements, social (1) Slavery (2) Slavery—Anti-slavery movements (1) Slavery—Law and legislation—United States (1) Slavery—Legal status, laws, etc. (1) Slavery—United States (3) Slavery—United States—Law and legislation (1) Slavery—United States—Legal Status of slaves in free states (3) Slavery in the United States—Indiana (1) Slavery in the United States—Law and legislation (1) Slavery in the United States—Legal Status of slaves in free states (1) Social reformers (1) Social reformers—History—Indiana (1) Social reformers—Indiana—Muncie (1) Social science (1) Social settlements (4) Social settlements—Indiana—South Bend (2) South Bend (Ind.)—Social life and customs (1) South Bend—Social conditions (1) South Bend (Ind.)—History (2) South Bend (Ind.)—Benevolent and moral institutions and societies (1) South Bend (Ind.) (6) Student movements (1) Students—Indiana—Political activity (1) Teachers (2) Teachers—Indiana—Muncie (1) Travel (1) Travel—Europe (1) United States (1) United States—History—1849-1877 (1) United States—History—Civil War, 1861-1865 (9) United States—History—Civil War, 1861-1865—Women's work (1) United States—History—Vietnamese conflict—1961-1975—Public opinion (1) Universities and colleges—Indiana (2) D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 Description and Reference 205 Universities and colleges—19th century (1) Universities and colleges—Rhode Island (1) Vietnamese conflict—1961-1975 (4) Vietnamese conflict, 1961-1975—Draft resisters—Indiana (2) Vietnamese conflict, 1961-1975—Protest movements (7) Vietnamese conflict, 1961-1975—Public opinion (1) Virginia (1) Virginia—History—1865-1950 (1) Virginia—Politics and government (4) Virginia—Politics and government—1865-1950 (3) Voyages and travel—Europe—19th century (1) Woman—Rights of women (1) Woman—Suffrage (2) Women—Education (2) Women—Suffrage (8) Women—Suffrage—19th century (1) Women—Suffrage—United States (1) Women in church work (1) Women physicians (3) Women physicians—Indiana (2) Women social reformers (1) Women teachers (1) Women's rights (10) Women's rights—19th century (2) Women's rights—20th century (1) Women's rights—Indiana (3) Women's rights—United States (1) Question: Create a Record for Either #2 or #3 Below (use whichever description most closely resembles the collections found in your repository). 2. Indiana. State Land Office 207 volumes and 3 linear feet. Records, ca. 1818-1924 and 1944-1946, of the Indiana State Land Office; contain plat and tract books containing the record of the survey and sale of public lands in Indiana, 1818-1920; surveys of lumber on state-owned land, 1890-1919; records of lands owned by the Indiana Harbor Belt Railroad, including taxes paid on these lands, 1879-1915; and record of plats and notes on the surveying of the state road between Muncie and South Bend; also, records pertaining to the policy concerning suburban development and the sale of state lands. Terms assigned by repositories for the Indiana State Land Office: Administrative agencies—Indiana (1) Cities and towns—Indiana—Growth (1) Forests and forestry—Indiana—Mensuration (1) D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 206 American Archivist / Spring 1987 Indiana (1) Indiana—Forest policy (1) Indiana—Government property (1) Indiana—History (1) Indiana—Public lands (4) Indiana—Surveys (1) Land—Indiana—Taxation (1) Land grants—Indiana (2) Land subdivision—Indiana (1) Land titles—Registration and transfer—Indiana (1) Land use (1) Land use—Indiana (1) Land use—Planning (1) Maps (1) Notes (1) Patents (1) Plats (3) Plats—19th century (1) Plats—20th century (1) Public lands (1) Public records—Indiana—State Land Office (1) Real estate development (1) Real property (1) Real property, exchange of (1) Real property—Indiana (1) Real property—Indiana—Maps (1) Real property—Maps (1) Real property tax—Indiana (1) Roads—Indiana—Surveying (2) Surveying—Public lands (1) Surveying—Public lands—Indiana (1) Surveys (Land) (2) Surveys—19th century (1) Surveys—20th century (1) Tracts (1) 3. Philip Slater diaries, 1840-1847, 1854-1858, 1885, and 1887-1888. 5 volumes Farmer in Vernal Township, Monroe County, Indiana. Description of farm life in New York and his settlement in Monroe County, Indiana; also diary of his son Edwin, 1887-1888, recording farm and church activities, local affairs, the gubernatorial elec- tion of 1888, and weather; and diary of his daughter Grace describing a trip by rail to Florida. Philip Slater, 1828-1902 Edwin Slater, 1852-1935 Grace Slater, 1877-1956 D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 Description and Reference 207 Terms assigned by repositories to the Slater diaries: Agriculture (1) Agriculture—Indiana (1) Agriculture—Indiana — Monroe County (1) Agriculture—New York (State) (2) Agriculture—Social aspects—Indiana—Monroe County (1) Agriculture—Social aspects—New York (State) (1) Churches—Indiana—Vernal (1) Churches—Monroe County (Ind.) (1) Diaries (6) Diaries—19th century (1) Elections—Indiana (1) Elections—Indiana—1888 (1) Family records (1) Farm life (1) Farm life—Indiana (6) Farm life—Indiana—Monroe County (1) Farm life—Monroe County—Indiana (1) Farm life—New York (State) (7) Farmers (3) Farmers—Indiana—Monroe County (2) Farmers—New York (1) Farms—Indiana—Monroe County (1) Farms—New York (State) (1) Florida—Description and travel (4) Florida—Description and travel—1865-1950 (1) Governors—Indiana (1) Indiana (1) Indiana—Governors—Election (1) Indiana—Governors—Election, 1888 (1) Indiana—History (2) Indiana—Monroe County (1) Indiana—Politics and government (3) Indiana—Politics and government—19th century (1) Indiana—Politics and government—1865-1950 (1) Indiana—Religious life and customs (1) Indiana—Social life and customs (1) Journals (1) Monroe County (Ind.) (3) Monroe County (Ind.)—Climate (1) Monroe County (Ind.)—History (3) Monroe County (Ind.)—Social conditions (1) Monroe County (Ind.)—Social life and customs (2) Monroe County (Ind.)—Vernal Township—History (1) New York (1) New York (State) (1) New York (State)—History—1865—Indiana—History (1) D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 208 American Archivist / Spring 1987 Railroad travel (1) Railroad travel—United States (5) Rural families (1) United States (1) United States—Description and travel (1) United States—Description and travel—1865-1900 (1) Vernal (Ind.)—Social life and customs (2) Voyages and travel (1) Weather (1) Weather—Monroe County (Ind.) (1) Women—Diaries (1) D ow nloaded from http://m eridian.allenpress.com /doi/pdf/10.17723/aarc.50.2.j889j531t25g1401 by C arnegie M ellon U niversity user on 06 A pril 2021 
work_i7aey5pfrncvzjg2hj37o4pcfq	----	PII: 0315-0860(86)90096-0 282 MEETINGS HM 13 Workshop ijber die Begriffsentwicklung in der babylonischen Mathematik (3rd Workshop on Concept Development in Babylonian Mathematics) Berlin, December 9-13, 1985 The following papers were presented and discussed: F. ROCHBERGHALTON (Notre Dame University, South Bend, Indiana): Linear Methods in Babylonian Astronomy H. HUNGER (Universitiit Wien): The Edition of the Astronomical Series “mul- apin’ ’ H. J. NISSEN/P. DAMEROW/R. ENGLUND (Freie Universitiit BerlinlMax-Planck- Institut fur Bildungsforschung Berlin): The Systems of Number Signs in the Archaic Texts from Uruk P. DAMEROWIR. ENGLUND (Max-Planck-Institut fur Bildungsforschung Berlin1 Freie Universitiit Berlin): Protoelamite Systems of Number Signs R. ENGLUND (Freie Universitdt Berlin): Time Notations in Mesopotamia from the Archaic Texts from Uruk until the Third Dynasty from Ur (circa 3000-2000’ B.C.) M. POWELL (Northern Illinois University, De Kalb, Illinois): The Development of Metrological Systems in Mesopotamia J. H@YRUP (Roskilde University Centre, Roskilde, Denmark): The Continuation of the Babylonian Mathematical Tradition in the Islamic Middle Ages J. FRIBERG/P. DAMEROW (Chalmers Tekniska Kogskola, Giiteborgs Universitet, Giiteborg, SwedenlMax-Planck-Institut fir Bildungsforschung Berlin): Newly Edited Mathematical Texts from Ancient Babylonia and New Solu- tions for Old Problems in Babylonian Mathematical Texts J. HBYRUPIS. UNGURU/T. KRISCHERIA. SZABO (Roskilde University Centre, Roskilde, Denmark1 University of Tel AvivlFreie Universitiit Berlin1 Universi- tiit Budapest): Babylonian Influence in Greek and Arabic Mathematics The Workshop was organized by P. Damerow, Max-Planck-Institut fur Bildungsforschung Berlin, Hans J. Nissen, Seminar fur Vorderasiatische Alter- tumskunde der Freien Universittit Berlin, and J. Renger, Seminar fur Altorienta- lische Philologie der Freien Universitat Berlin. For further information please contact the organizers: Freie Universitat Berlin Bitterstr. 8-12 D-1000 Berlin 33 Federal Republic of Germany 
work_jxjznefvb5aelmbkiej4gd5fga	----	1390 INTERSTATE COMMERCE COMMISSION REPORT OF THE DIRECTOR OF THE BUREAU OF SAFETY IN RE IN­ VESTIGATION OF AN ACCIDENT TflHICH OCCURRED ON THE CHICAGO, SOUTH SHORE AND SOUTH BEND RAILROAD AT PARSONS, ILL., ON JANUARY 1, 1938 March. 13, 1928. To the Commission: On January 1, 1938, there was a rear-end col­ lision between two passenger trains on the Chicago, South Shore and South Bend Railroad at Parsons, 111., resulting in the death of 1 employee and the injury of 48 passengers. This accident was investigated m conjunction with a representative of the Comneroe Commission of Illinois. Location and method of operation This accident occurred on that part of the rail­ road extending between Chicago, 111., and Gary, Ind., a distance of 30.8 miles, m the immediate vicinity of the point of accident this is a double-track electric line, over which trains are operated by tine-table and train orders, no Tabck-signal system oeinn in use. Under a tine- table rule, trains moving m the seme direction axe re­ quired to keep at least three minutes apart, except m closing up at stations. The accident occurred about 900 feet east of 130th Street, near the station at Parsons, a suburb of Chicago; approaching this point from the west the track is tangent for more tnan 1 mile, followed by a 3° curve to the left about 1,900 feet m length, the acci­ dent occurring on this curve at a point about 1,600 feet from its western end. The grade is level. Except for a line of poles on the inside of the curve, the view approach­ ing Parsons is unobstructed for a distance of about 3,000 feet, although from that distance it can not be definitely determined upon which track a train is standing. KD tele­ graph office, of the Michigan Central Railroad, is located just south of the tracks of the Chicago South Shore end South Bend Railroad and about 100 feet east of the western end of the curve on which the accident occurred. The weather was clear and cold at the time of the accident, which occurred at about 3.05 p.m. Description Eastbound first-class passenger t r a m No. 17 con­ sisted of motor 13 and trailer 203, botn of steel construc­ tion, and was m charge of Conductor Farquhar m d Motorman Powers. It left Randolph Street, Chicago, at 2 p.m , on time, but after proceeding a short distance it was de­ layed by motor trouble and assistance was requested, the trouble cleared up before assistance arrived, however, and the t r a m proceeded. It left Kensington, 2.2 mil as from Parsons, at 3 p.m., 37 minutes late, was flagged in the immediate vicinity of KD telegraph office, and then moved ahead and was brought to a stop a short distance h e m n d train No. 71, the motor of m i e n had become disabled while standing at the station at Parsons. Eastbound second-cla.ss passenger train No. 73 consisted of motors 10, 14 and 102, all of steal construc­ tion, end was m charge of Conductor Ritchie and. Mo to m a n Stafford; motors 10 and 14 had been sent oat for the purpose of assisting trams Nos. 71 and 17. T r a m No. 73 departed from Kensington at 3.02 p.m., eight minutes late end only two minutes behind tramNo. 17, passed the flagman of that t r a m , and collided witn tne rear end of trean No. 17 while traveling at a speed variously estimated to have been be­ tween 15 and 50 miles per hour. T r a m No. 17 was driven ahead and into tne rear of t r a m No. 71, the rear end of the trailer of t m in No. 17 coming to rest about 375 feat m advance of There it was standing when the accident occurred, separated from the head end of t r ^ m No. 73 by a distance of .proximately 150 feet. The last pair of wheels of the rear truck of the trailer m t r a m No. 17 were the only wheels to b e d=- r rile A. Motor 10 m t r a m No. 73 had its front vestibule demolished and the motor caught fire, this tram 1 as moved back to Kensington, in an endeavor to have the fire es- tmguishod, but all of the motor was consumed ™ith tne exception of its steel framework. Many of the seats m the first two trams were torn loose, the rear vestibule of the trailer was demolished and the cars were other­ wise damaged. The enployee killed was the motoman of t r a m No. 73. - 3 * Sumr/'ary of evidence Conductor Guyer, of t r a m Ho. 71, 3 .ad ho had relieved Oollectoi Clou,0h o^ + lre du oy of flag-mg, on account of the extreme cold, m d Collector Clough tnen went to KD telegraph of "ice to get vweim. Jfucn h'un Ho. 17 approached, Conductor Guyor flogged it fron a point near the western end of the curve, the t r u n slowed donn and Conductor Guyer and Collector Glougn hoarded it and rode on it until it was brougnt to a stop a feu- foot be­ hind t r a m No. 71. It was the intention to have t m i n No. 17 couple to the reai of t r a m No. 71 out befoie tnis could be done Conductm Gayer heara tne motornawn of tr u n No. 73 sound the vnistla, apparently for the crossing at 130th Street. Conductor Guyer tron walked across tne track and saw train No. 73 m e n IT. C '.IO vitnm sight, moving at a speed, of about 45 or 50 miles per hour. Realising that a collision T ras imminent, he shouted a warning of danger, tne accident occurring shortly after­ wards, at w m c u t m e the speed of t r i m No. 73 nr is about 40 miles per hour. Conductor Guyer further stated that when he gave the naming of danger he saw Collector Payne, of t r a m No, 17, who nad gone back to flag, about a pole length east of 130th Street, but he did not hear tne motorman of t r a m No. 73 answer the flagging signals of Collector Payne, and he was not able to say whotner the air brakes on t r a m No. 73 v/er"1 ^pnlicd. Conductor Guyer estimated that t r a m No. 17 had only been standing a minute or so when tno accident occurred. Collector Clougn, of train No, 71, s t a t e d tnat wnen train No. 17 was flagged by Conductor Guya^ he went out of KD telegraph office and boarded the rear end of the first car, and that Collector Payne, of train No. 17, got off about half-way betwem 130th Street and Po^oae, \ hile train No. 17 was m motion, and started back to flag. Collector Clough d m not iienr the motorman of tr a n No. 73 sound any whistle signal when it approached, being in between trains Nos. 71 and 17 preparatory to coupling them together, Motorman Powers, of t r a m No. 17 c u d that his t r a m was proceeding at a speed of about 45 or 50 rules per hour when it vis flagged m the vicinity of KD telegraph office and that he slowed down and picked up Conductor Guyer :nd Collector Clougn, of t r a m No. 71, and continued around the curve at a speed of between 10 and 15 miles per hour. On reaenmg a point about tnree mole lengtns from the rear of t r a m No. 71, while t r i m No. 17 win still in motion; Motorman Powers whistled out a flag and. then brought tram Wo. 17 to a stor about 5 feet benind t r a m No. 71. Motor- man Powers tnen got dogn &n £hc ground and started ahead to find Mo to m a n Fr^5/^rt1rjino:0pr^o(»odpd only about half the distance between the motonsen's compartments oi the tuo trains wher ho heard Conductor GS-uyex snout a warning of danger, Liotorman Powers turned around and sa 7 t r a m No. 73 coming around the curve at a speed of about 40 miles per hour, close to 1 3 0 m Street, at which ctae Collector Payne was giving stop signals iron a point just east of 130th Street. He tnought the accident occurr­ ed not more thmr one and one-half minutes after trait No. 17 had been brought to a stop. Motorman Powers furtner stated tnat the air brakes on m s train had been tested at the Randolph Street terminal and that ne could 1.01 c onto] a m ^s to the ;vay m ^ n c n they ope ranted on tnis trio any -lore than that ice and sno^ on the brake sh->es did not permit the taking of any extra c h o i c e s , Motorman Powers also snid tnat he could not t3ll whether the air brakes were applied on train No. 73 prior to the accident, he did not hear any squeaking of the brakes at that trie, but he could sec that tne speed oi tno t r a m had been checked to so.ie ex cent, estimating it to have been aoout 15 ales ncr hour at the ci.ne of the accident. After the accident Motorman Foyers went back as far 1 s 120th Street, lookin^ at the rails, but he said that tnere was no indication of the Y/heols navrng been sliding. Conductor Farquhar, of t r i m Uo. 17, thought his t r a m left Kensington at 2.57 p.m., and said that when n e a r m g Parsons a. flag wis whistled out and Collector Payne dropped, off and started back to flig before his t r a m came to ^ stop. Just after tne t i a m stopped Conductor G-uyer, of train No. 71, shouted a warning of danger and Conductor Farquhar, /ho tnen vas standing on the station platform, looked back and saw Collector Payne going Dock as rapidly as possible, .vnile tiain No.73 had about reached the v<estern end of the curve, traveling at a speed of about 50 miles per hour; Collector Payne was then just east of 130th Street, giving stop signals with his flag. Conductor Farqunar heard t r a m No. 73 whistle for the street crossing but did not heanr the stop signals answered, and said that he die. not think there was any groat reduction in tno speed of train No. 73 pri'r to the occurrence of the accident, about one minute after his own t r a m had come to a. stop. -5- It further atpooared from Conductor Farquuar's ot:te~ents that while at Kensington he was informed thct train Nc. 71 was disabled at Parsons, he gave tnis inforratian to Motor- nan Fowers but said he did m t inform Collector Payne because he iftras not positive t r a m No. 71 would be found at Parsons, Collector Payno, of train Ho. 17, knew that t r a m No. 73 v/as following his own t r a m closely, having flagged it at Kensington. After hie t r u m departed from Kensington, he took up two tickets from gajsengers who had gottenon at that point and ne said he tnen went back to the rear one- opened the door and trap, and placad his flagging equipment consisting of flag, fusee anl torpedoes, on the floor. The t r a m reduced speed when approaching Parsons and on look­ ing ahead Collectoi Payne noticed that the flagman of some other t r a m was b a m g wicked up by his own train.Tne spe^d then was increased, but shortly afterwards, while tr m No. 17 was traveling at a speed of between 10 and 15 mules per Imur, he heard the nn to m a n sound the ;hi3tle sigr 1 call­ ing for flag protection and he at once got off and started back towards t r a m No. 73. Collector Payne s^id thnt nis own train proceeded tnree polc-lengtna fro I w.icre nc got. off and that he had gone back ab m t two additional pole- lengths, the poles being spacec1 100 feet apart on t.iG curve, when kc saw t r a m 73. He continued running to ,n rds t r a m Uo,73 until it vr>s close to him and tnen stepped off the track, on the notorrren'• side, continuing t^ - lve stop signals from a point just east of 150th Street crossing end about 750 feat from the rear of his 0,711 train.Collector Payne said that ho saw a part of Ifotor an Stafford's hcr-d through that part of tne window fnr which the frost had been cleaned off, a space about 4 x 6 lncues m size, and that tne notorrian was looking toward the couth. Collector Payne said that am t r a m JM>. 73 crossed ISOtn Street tne notorman turned around and saw hi 1, and he thought the motoman looked as if he were frig-tened. When t r a m N^. 73 passed h m , at a speea of about 45 iiles por iou.r, there 7iras no indication that the air brakes had been applied. Conductor Ritchie, of t r a m No. 73, stated that just as his t r a m was about to leave Randolph Street as a one-car t r a m he was notified that t ;o more rioters were to be coupled to the train, due to the fact that tr. m No. 17 u s disabled at 12th Street and train N^. 71 wa, disubl, 1 at Kensington; tne two extra motors were to be used to assist tlmse t r a m s provided tney die" not bec^e onorative -6- before train No. 73 readied the1-. Conductor Ritchie said that he notified llotormnn Stafford to the situation. Approaching 12th Street, Conductor Ritchie sav tr m No. 17 pulling tut and he therefore went forward to the motor- man's compartment ard called Motor-un Stafford's attention to tha fact that t r u n Ho. 17 was going and m conversation with the motorman it wan a g n v d tn^t t r ^ m No. 17 probably would shove trim No. 71 into clou. After departing from Kensington at about 3.03 p.m. tha t r a m proceeded at the normal speed, about 40 or 45 miles per hour, he neard the whistle sounded for 130th Street and tne first intimation he had of anytnmg firong was wnon ho felt a service applica­ tion of the air-brakes as tne train approacted prisons. His train then ;ao about at 130tu Street, and on looking out on the left sida of the cai in win ion ne was riding, ho saw a train standing on the curve but could not defmicoly deter­ mine u.icther it was t r a m Wo. 17 or a t i a m standing on tne westbound tr^ck; the accident occurred about 10 seconds after the air brakes had been applied, at wtucn time tne speed was about 40 miles per hour. Conductor Ritcme furtner stated that the brakes on t r a m No. 7 3 were tested at Randolph Street and tnat ill station stops down to and in­ cluding Kensington were made perfectly, and as far as he kne^ the air brakes functioned properly. It also rp .eared from nis statements tiat wren ne was m the motorman1 o compartment at Kensington he noticed tint the lndo^s were covereu witn frost and flat a small sp^ce had bean cleared of frost m crdar to enable the motorman to see ahead. The state ants of Collector Miller, of t i a m No. 73, brotgnt out nothm- additional of 1 iportmcc. Operator Ward, of the Michigan Centr 1 Railroad, on duty at KD telegraph office, stated that Tt;cn Conductor Guy or was picked up by t r a m No. 17, Collector Payne looked out from the rear end of that train but thtt tha collector dia not get off ind go back to flag until t r a m No. 17 had stopped m back nf t r a m No. 71. Tie collector taen started back to flag, and Operator Ward said that ne rent oack be­ tween three and four pole-lengtns and gave step signals to the motorman of train No. 73, which signals the operator said were acknowledged. Apparently tne brakes were applied at the same t m e , but the sp^ed of t r a m No. 73 appeared to have been reduced only to a slignt extent prior to the accident, and Operatoi Ward expressed tne opinion that tho wheels were sliding. Sngmeer of C^i Equipment Otis stated tnat tne air-brake equipment cn the motor c:rs is connncted. to the nastcr-cortrollor handle by means of a Pilot valve m such a /ay that should the operator's nand be re ioved fror tne master-controller nandle, the handle will auto ictically go to tne raised position, causing tha power to be chut off and the air brakes to bo applied m emergency. _ 7 - Conclusions Tins ao iiclenc vss caused by the failure of Con­ ductor Farcuhur and Collector Payne, of train No. 17, to afford proper protection to tlie rod end of their t r a m , u n c i by the ih i lure of Llotormnn St if fori, of train No. 73, to m a m t a m a proper watch of the track ahead of nis train. Both Conduced Farquhar and Collector P vyne .[new tnat t r a m jJc. 73 was behind their traa n at Kensington, and in view of the fact that no block-signal system was m use in the vicinity of tne point of accident and that following nave ie.it c weie required under the rules to be spaced only tnrei minutes ap L rt, it was obviously necessary that ColleCuOi P vyne leave 1ms t r a m and go back as quickly as he could m ord°r to provide such protection a,j was pos­ sible und a r tne existing opoimting con lit ions. Collector Pgync, however, di'1 not get off wncn the train reduced speed for tho purpose nf picking up tne flagnma of the pre­ ceding train, but according tc nis own statement he renam­ ed on tne tr.in until it had nearly reached tne p o u t at v.hich the accident afterwards oceuired, at wnich time a whistle signal w 1 s sounded for hir to protect tne train and he then got off and started back to flag. In viow of the high rates of speed "t wnich these trains are operated, the close headway permitted, the m e t that he knew train No. 73 was immediately b e n m d his train, and tne weather coiditions existing which resulted m windows being covared nth frost so as to interfere materially with the vteT, it was incumbent on Collector Payne to exercise unusual diligence m order to provide protection for nis train. Ho.a. he gotten off when his t i m m reduced speed for the ourpose of picking up the flagman of tne train she id, he could bmve gone o~ck far enough to hove provided enmole flag protection. The Michigan Central operator, however, s a m that Collector Payne did not get off until his t r m n had come to a stop at the point whore tuo "•ccidont occurred, if this actually wis the case tnen the failure of Collector Payne to use due diligence was even more pronounced. Conductor Faiqifnat knew that his train was apt to bo delayed at Pearsons, and he also knew that Collector P_nyne had not had a, great deal of experience; these circumstances should nave prompted m m to be particularly careful about warning Collector Payne to get off at tne point where tne flagman of the preceding tram was picxea up. He was primarily resnonsiole for tne protection of his t r a m and under all the circumstances it is policved he is equally at fault with Collector Payne. http://ie.it -3- JJo definite reason could be ascertained for the failure of Motorman Stafford to bring .us train to a stop in time to prevent the accident. All the evidence indi­ cated that the air brakes on the t m i n were m good work] i" order, while the view around the cuive was such that ne could have cecn tho two traina ahead for a distance of aVrnt 2,000 f ce t,although he could not then nave de­ termined on v,hion track those trams were standing. On the other hand, however, the evidence indicated that the ifficdo1 s on tne ends of the cais were covered witn frost, interfermg witn the viev, and tnat Motorman Stafford apparently had he d to dhar away tnis frost from a small space on nis window so as to enable him to have a view of the trick ane d of his tram. To what extent this condition prevented him from seeing the flagmm of train No. 17, or the re~r end of the t r : m itself, is a matter of conjecture, tent the fact iamunns tin.t if ha found his view was natcriully obscured ho should heave reduced spe^d accordingly. In eitner event, it seems clca.r tnat he d i d nit realize that theic was danger of an accident until within a comparatively snort distance of the re~r end of t r a m . 17, and it was than too late to avert the accident. Had an a de quanta block-signal system been m ase on this line, this accid-nt prooably would not nave occurred, an adequate automatic t r a m stop or t r a m control device vould nave prevented it. None of the employees I voiced had been or/duty m violation of any of tne provisions of the hours of ser­ vice lav, che motor lan a.nd co id-wctor of tr. m lib. 73 had be-ni on duty but 51 minutes aftar hawing been off duty more thhi 17 nours. Collector Payne was employed on July 1, 1927, \hile all of tne other employees involved nad been m tne service for periods ranging fra^ 1 year and 7 months to more than 19 yetrc. Respectfully suomitted, 7. P. BORLAND, Director, file:///hile 
work_k32x2icujfdkthosbvrmlwn2lq	----	doi:10.1016/S0315-0860(03)00088-0 Historia Mathematica 30 (2003) 552–553 www.elsevier.com/locate/hm Notes on contributors Niccolo Guicciardini holds a degree in physics and a degree in philosophy (both from the University of Milan). He wrote a Ph.D. thesis on the Newtonian fluxional method under the supervision of Ivor Grattan-Guinness. He is associate professor of history of science at the University of Siena. He is the author of The Development of Newtonian Calculus in Britain, 1700–1800 (Cambridge UP, 1989) and of Reading the Principia: The Debate on Newton’s Mathematical Methods for Natural Philosophy from 1687 to 1736 (Cambridge UP, 1999). He has also written an introduction to Newton titled Newton: Un Filosofo della Natura e il Sistema del Mondo (Le Scienze, 1998, German translation for Spektrum der Wissenschaft, 1999, French translation for Pour la Science, 2003). He is editing two volumes of Johann Bernoulli’s writings against the British mathematicians (for Birkhäuser) and is working on David Gregory’s commentary to Newton’s Principia. Professor Herman Erlichson is at the College of Staten Island of the City University of New York. His current research field is the history of physics. A recent publication is “Kelvin and the Absolute Temperature Scale,” European Journal of Physics 22 (2001) 325–328. Michael Nauenberg is a professor of physics, emeritus, at the University of California, Santa Cruz, where he has taught during the past 34 years. His research interests are in physics, astronomy, and in the history of these fields. In collaboration with Professor R. Dalitz he edited The Foundations of Newtonian Scholarship (World Scientific, 2000), and more recently with J.B. Brackenridge he contributed the article on “Curvature in Newton’s Dynamics” for the Cambridge Companion to Newton, edited by I.B. Cohen and G. Smith (Cambridge Univ. Press, 2002). Currently, he is working on an article on Hooke’s contributions to the development of dynamics which will appear in a volume celebrating his tricentenary in 2003. Dominique Tournès is professor of mathematics at the Institut Universitaire de Formation des Maîtres, Reunion Island (Reunion Island is a small French island located in the Indian Ocean, near Madagascar). His research interests are the theory of differential equations and the history of numerical and graphical methods of calculation. He has recently published papers in the Revue d’Histoire des Mathématiques. Steven N. Shore has recently moved permanently to the former academic posting of an earlier physical scientist, as professor ordinario in astrophysics at the Dipartimento di Fisica “Enrico Fermi,” Università di Pisa. He is also on leave from Indiana University South Bend and is affliliated with the Osservatorio Astrofisico di Arcetri. In astrophysics, he works on spectroscopy, astrophysical hydrodynamics (especially turbulence), star formation and galactic evolution, and novae. In the history of science, his work centers on pedagogical issues and history of physics and astronomy. He is author 0315-0860/2003 Published by Elsevier Inc. doi:10.1016/S0315-0860(03)00088-0 http://www.elsevier.com/locate/hm Notes on contributors / Historia Mathematica 30 (2003) 552–553 553 of seven entries in the forthcoming Biographical Encyclopedia of Astronomers (ed. T. Hocking, Kluwer) and the recent book The Tapestry of Modern Astrophysics (2003, John Wiley). Dr. Michiyo Nakane teaches mathematics and the history of mathematics as a part-time lecturer at Seijo University and Rikyyo University in Tokyo, Japan. Her major interests are the history of mechanics and mathematical analysis in the 19th century. She works with Craig Fraser and recently published The Early History of Hamilton–Jacobi Dynamics 1834–1837 (Centaurus, 2002, Vol. 44, pp. 161–227) with him. She also organized the Japanese translation of Victor Katz’s book A History of Mathematics, which will be published in 2004. Gregory H. Moore is professor of mathematics at McMaster University, where he is editing volume 5 of Bertrand Russell’s Collected Papers. He has published numerous articles on the history of mathematical logic and of set theory, including a 2002 article in this journal on Hilbert and the infinite. At present he is working on the emergence of the modern concept of curve and on the interdisciplinary role of the infinite (in mathematics, philosophy, physics, and theology) over many centuries. Henk J.M. Bos (born 1940) is professor of history of mathematics at the University of Utrecht, the Netherlands. His research interests are in early modern analysis and geometry; he published a monograph, Redefining Geometrical Exactness: Descartes’ Transformation of the Early Modern Concept of Construction with Springer-Verlag in 2001. Henk Bos is editor, together with Jed Buchwald, of the Archive for History of Exact Sciences. Notes on contributors 
work_kqwmdh645zdslniu47n3xprcia	----	wp-p1m-38.ebi.ac.uk Params is empty 404 sys_1000 exception wp-p1m-38.ebi.ac.uk no 221331431 Params is empty 221331431 exception Params is empty 2021/04/06-03:12:25 if (typeof jQuery === "undefined") document.write('[script type="text/javascript" src="/corehtml/pmc/jig/1.14.8/js/jig.min.js"][/script]'.replace(/\[/g,String.fromCharCode(60)).replace(/\]/g,String.fromCharCode(62))); // // // window.name="mainwindow"; .pmc-wm {background:transparent repeat-y top left;background-image:url(/corehtml/pmc/pmcgifs/wm-nobrand.png);background-size: auto, contain} .print-view{display:block} Page not available Reason: The web page address (URL) that you used may be incorrect. Message ID: 221331431 (wp-p1m-38.ebi.ac.uk) Time: 2021/04/06 03:12:25 If you need further help, please send an email to PMC. Include the information from the box above in your message. Otherwise, click on one of the following links to continue using PMC: Search the complete PMC archive. Browse the contents of a specific journal in PMC. Find a specific article by its citation (journal, date, volume, first page, author or article title). http://europepmc.org/abstract/MED/ 
work_kxgcswa3ebeh3afp6ekm5eemmi	----	Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Sunday, February 16, 2014 91a 483-Pos Board B238 Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X- Ray Scattering, Neutron Scattering, CD Spectroscopy and MD Simula- tions Kiyotaka Akabori1, Bradley W. Treece1, Michael S. Jablin1, John F. Nagle1, Brian Maranville2, Kun Huang3, Angel E. Garcia3, Stephanie Tristram- Nagle1. 1 Biological Physics Group, Physics Dept., Carnegie Mellon University, Pittsburgh, PA, USA, 2NIST Center for Neutron Research, Gaithersburg, MD, USA, 3Department of Physics and Astronomy, Rensselaer Polytechnic Institute, Troy, NY, USA. In an effort to understand membrane translocation of a cell-penetrating peptide, interactions of HIV-1 Tat peptide (GRKKRRQRRRPPQ) with DOPC, DOPC/ DOPE, DOPC/DOPS, and nuclear membrane mimics were investigated using low- and wide-angle x-ray scattering (LAXS and WAXS), neutron scattering, and circular dichroism (CD) spectroscopy. The diffuse scattering analysis applied to LAXS collected at CHESS revealed that Tat-membrane interactions reduce the membrane thickness by ~1 Å. In DOPC and DOPC/DOPE mem- branes, the position of Tat was found to transition from the vicinity of the glycerol-carbonyl headgroup to the phosphate headgroup as Tat mole fraction was increased from 0.009 to 0.06. The area per lipid for DOPC and DOPC/ DOPE membranes increased by ~2 Å2 at the highest Tat mole fraction. The membrane bending modulus was found to decrease by roughly a factor of 2 at the highest Tat mole fraction except for the nuclear mimic. The chain- orientational order parameter, Sxray, calculated from WAXS and corrected for mosaic spread, showed Tat slightly disordered chains. Neutron scattering collected at NIST from fully hydrated samples consisting of DOPC:DOPE (3:1) membranes and Tat at 0.06 mole fraction showed a prominent, broad peak corresponding to a Tat-membrane correlation of ~100 Å. The secondary structure of Tat calculated from CD spectra using DichroWEB was found to be the same in pure water as in lipid thin films and primarily consisted of b-sheet and random coil with small helical content. Our findings are consistent with the results from MD simulations by Herce and Garcia, which suggested that Tat in- teracts with phosphate headgroups across the bilayer, facilitating the formation of pores. The ensemble of configurations obtained from a new MD simulation allows visualization of Tat/membrane interactions. Funded by GM44976, GM86801, DMR-0936384(CHESS), and DOE(NIST). 484-Pos Board B239 A Systematic Study of Phase Changes Induced by Trans-Membrane Pep- tide Gramicidin-A in Multi-Component Lipid Membranes Ebrahim Hassan-Zadeh, Juyang Huang. Physics, Texas Tech University, Lubbock, TX, USA. What are the effects of proteins on lipid membrane domains? In order to answer this question, we systematically investigated the phase changes induced by trans-membrane peptide gramicidin-A in 16:0-18:2PC(PLPC)/ di18:0PC(DSPC)/cholesterol and 16:0-18:2PC/di16:0PC(DPPC)/cholesterol lipid bilayers. Quaternary giant unilamellar vesicles (GUV) were prepared us- ing our recently developed Damp-Film method. The phase boundaries of liquid-ordered and liquid-disordered (LoþLd) coexisting region as well as the critical points were determined using video fluorescence microscopy. Within the phase coexisting regions, thermodynamic tie-lines were determined using a fluorescence assay. Our results show that adding 1 mol% of gramicidin produces significant and complex phase changes to the lipid bilayers: at some lipid compositions, gramicidin can induce lipid domains; at others, gramicidin completely abolish the phase separation; even if the phase separation is pre- served, gramicidin significantly alters the lipid compositions of membrane do- mains and tie-lines. In the biological relevant critical region, these changes could be quite dramatic. We also measured gramicidin-A partition coefficients between coexisting LoþLd lipid phases. Away from the critical point, the co- efficient is close to 2, indicating that gramicidin slightly prefers the disordered Ld lipid domains with smaller bilayer thickness. However, the partition coeffi- cient continuously changes with lipid composition. Near the critical point, the partition coefficient approaches to the theoretical value of 1. 485-Pos Board B240 Physical Properties of Model Membranes Containing Pope and Phytos- terol Ya-Wei Hsueh, Yen-Chun Chen. Dept. of Physics, National Central University, Jung-li, Taiwan. We have studied the effect of phytosterol on the physical properties of 1-palmi- toyl-2-oleoyl-sn-glycero-3-phosphoethanolamine (POPE) multilamellar vesi- cles using deuterium nuclear magnetic resonance ( 2 H NMR). The sn-1 chain of POPE is deuterium labeled. The NMR spectra were taken as a function of temperature and phytosterol concentration. The order of POPE-d31 mem- branes, measured through the spectral first moment, is almost not affected by the addition of phytosterol in the gel phase, while it increases with phytosterol concentration in the liquid-crystalline phase. A significant difference in the ability of phytosterol to disorder the gel-phase and to order the liquid-phase POPE membranes is observed. This finding differs from those observed in POPE/chol and other lipid/sterol systems. Furthermore, the temperature- composition phase diagram will be discussed. 486-Pos Board B241 Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Edwin Li, Christopher Moll, Bernadette Eichman, Jessica King. Biology, Saint Joseph’s University, Philadelphia, PA, USA. Overexpression of the membrane protein mucin 1 (MUC1) has been linked to 75% of all human solid tumor cancers, including 90% of breast carcinomas. In cancer cells, MUC1-MUC1 homodimerization has been associated with cell migration and adhesion. Furthermore, this interaction is necessary for forming complexes with growth factor receptors and targeting to the nucleus, where MUC1 can interact with effector proteins regulating gene expression. Thus, un- derstanding how MUC1 forms homodimers is essential for developing novel therapeutic strategies to block its oncogenic effects. A recent study has shown that the membrane proximal CQC motif promotes dimerization under oxidizing conditions, suggesting that the motif may act as a redox switch in response to changes of cytosolic oxidant levels. Aside from these few studies focusing on the CQC motif, very little is known regarding the mechanism of MUC1 homo- dimerization. Currently, we are using the ToxR and AraTM assays to investi- gate if the transmembrane domain, without the cytosolic CQC motif, is able to dimerize by itself. We are also measuring if the dimerization propensity of the TMD changes with the membrane proximal CQC motif. The two assays allow us to compare the dimerization propensity when the CQC motif is in reducing and oxidizing environments. 487-Pos Board B242 Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Katherine E. Ward1, James P. Ropa1, Robert V. Stahelin1,2. 1Chemistry and Biochemistry, University of Notre Dame, South Bend, IN, USA, 2Biochemistry and Molecular Biology, Indiana University School of Medicine-South Bend, South Bend, IN, USA. Lipid membranes play a critical role in cellular signaling through selective protein-lipid interactions. The membrane composition of organelles often drives specific proteins to localize in cells. Lipid binding proteins, including those harboring BAR and ENTH domains, have been shown to shape biological membranes into vesicles necessary to transport cargo across the membrane. Recently, we observed that the calcium-dependent enzyme cytosolic phospho- lipase A2 (cPLA2), bends model membranes through its N-terminal C2 domain, which is dependent upon its membrane penetration (Ward et al. JLR, 2012). Thus, in addition to its role in generating arachidonic acid from membrane phospholipids, this enzyme may have a role in regulating membrane curvature changes. This hypothesis is supported by roles for cPLA2 described in the liter- ature including intra-Golgi trafficking, Golgi tubulation, Golgi vesiculation and Fc-receptor-mediated phagocytosis. We found that membrane bending by cPLA2 translated into A549 and HeLa cells, supporting the physiological rele- vance of our earlier findings. Thus, we sought to characterize the molecular forces driving cPLA2-dependent membrane bending in vitro and in cells. Using a variety of mCherry and mEGFP protein chimeras, we investigated the hy- pothesis that cPLA2 oligomerizes on membranes with a series of correlation spectroscopy experiments. These results show that cPLA2 forms large protein oligomers on cytoplasmic vesicles using number and brightness analysis and with an in vitro crosslinking assay. Taken together, using a variety of biophys- ical methods, we have consistently found cPLA2 to oligomerize through its C2 domain in vitro and in cells. 488-Pos Board B243 Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein- Sucrose Mixtures Zachariah I. Strango, Caleb W. Reese, Christopher J. Ver Hoef, Paul E. Harper. Department of Physics and Astronomy, Calvin College, Grand Rapids, MI, USA. Sugars play key roles in the biology, yet much remains unknown about their interactions with lipids. In particular, we examine the effect of different con- centrations of sucrose-water solutions on the cubic - inverted hexagonal transi- tion in monoolein. Using DSC (differential scanning calorimetry), we ramp the temperature up and down through the transition and measure the ramp-rate Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X-Ray Scattering, Neutron Scattering, CD Spectroscopy and MD ... A Systematic Study of Phase Changes Induced by Trans-Membrane Peptide Gramicidin-A in Multi-Component Lipid Membranes Physical Properties of Model Membranes Containing Pope and Phytosterol Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein-Sucrose Mixtures 
work_lckykitmvvh6nclid3edyblxj4	----	73 Salter-Harris classification (Cooperman et al, 1980; Rang, 1983). The second and most important reason for reporting this case is to draw attention to the dangers of weight-lifting by school children. Both weight-lifting and, more especially weight-training, are becoming increasingly popular at schools. However both schools and sports clubs forbid unsupervised weight-lifting and insist on the accompanying presence of "spotters" at all times. Should parents purchase such sports equipment in order that their children may further pursue these activities at home it is the parents' responsibility both to educate them and to supervise them in its use at all times. ACKNOWLEDGEMENT We would like to thank Mr. Jack Lewis (Head of Physical Education Department, Cardiff High School) for his advice during the preparation of this report. References Cooperman, D. R., Spiegal, P. G. and Laros, G. S., 1980 'Tibial fractures involving the ankle joint in children: The so-called triplane epiphyseal fracture". J.Bone Joint Surg.(Am.) 60A: 1040-1050. Rang, M. (Ed.), 1983 "Injuries of the epiphysis, growth plate, and the perichondral ring". Children's Fractures. 2nd Edition. J. B. Lippincott Co., Philadelphia. BOOK REVIEW Title: DEATH IN THE LOCKER ROOM Author: Bob Goldman Publisher: Icarus Press, South Bend, Indiana. 1984 Price: $19.95 Cloth bound ISBN 0-89651-155-3 Death in the Locker Room was written following seven years research by an American biologist who saw to of his friends die as a result of taking anabolic steroids. His research took the form of reading all the available text books, research articles and journals, together with interviews with athletes, coaches, physicians and researchers. He describes how anabolics are taken, who takes them, why and what kind of side effects occur. He also deals with the philosophical aspect as to how athletes feel about taking drugs. He defines two groups of drugs, the restorative (therapeutic) and the ergogenic. He defines three types of sports physicians, those who give both groups of drugs, those who prescribe restorative drugs only and those who prescribe nothing while an athlete competes. He points out the grey areas between the therapeutic (restorative drugs), and the ergogenic group but does not answer the question as to where the line shall be drawn. He does however give useful recommendations to any physician involved with treating athletes. The book is a personal statement that drugs, especially anabolics, have no place in sport and is best kept in a library as a reference. It is liberally illustrated and includes about 1,000 references. P. L. Thomas o n A p ril 5 , 2 0 2 1 b y g u e st. P ro te cte d b y co p yrig h t. h ttp ://b jsm .b m j.co m / B r J S p o rts M e d : first p u b lish e d a s 1 0 .1 1 3 6 /b jsm .2 0 .2 .7 3 o n 1 Ju n e 1 9 8 6 . D o w n lo a d e d fro m http://bjsm.bmj.com/ 
work_m6gego4cbbcb5b3cxp56daouam	----	Killing the Serpent Speedily: Governor Morton, General Hascall, and the Suppression of the Democratic Press i n Indiana, 1863 Discussions of the phenomenon of federal government suppression of the press during the Civil War constitute a substantial body ofliterature. Histori- ans have recognized that the unique stresses and strains on civil government induced by war resulted in extraordinary measures taken by government leaders to limit the speech of individuals and groups that openly criticized the ways in which the war was being waged. Some of these measures stretched legal and constitutional boundaries; others broke them outright. Historians have focused their attention on the thoughts and actions of President Abraham Lincoln in analyzing the phenomenon. In the course ofthe war, Lincoln took steps to crack down on speech critical of his administration and his handling of the war effort. However, while doing so, he attempted to reassure his crit- ics that the measures taken were merely temporary, meant only to carry the nation through the emergency. "Must I shoot a simple-minded soldier boy who deserted," he famously asked, "while I must not touch a hair of a wily agitator who induces him to desert?"' A few historians have taken him to task, pointing to his ignoring the First Amendment or his attempts to trump it with new powers granted by Congress. Lincoln created dangerous precedents for subsequent executives to follow. But most historians have been assuaged by I would like to thank the IUPUI Office for Professional Development for a Grant-in-Aid for Research in 2002. 1. Abraham Lincoln to Erastus Corning et al., June 12,1863, in Roy P. Basler, ed., The Col- lected Works ofAbraham Lincoln, vol. 6 (New Brunswick, N.J.: Rutgers Univ. Press, 1953). 266. Civil War History,Vol. LII No. 1 O 2006 by The Kent State University Press 42 C I V I L W A R H I S T O R Y Lincoln's words and looked beyond the deeds of his administration. They have argued that in the North under Lincoln's leadership, no concerted, official policy of governmental interference with the press existed.' In making their arguments, historians have turned to certain well-known examples of press suppression. Most commonly noted are the shutting down of the Chicago Times in June 1863 and the closures ofthe New York World and New York Journal of Commerce in May 1864. One historian has deemed them the "most famous cases of newspaper suppression" during the war. Another historian has described the Chicago Times incident as the "most dramatic" such episode during the rebellion. Both statements are probably true. Both cases involved big-city newspapers with large circulations. The newspapers involved boasted some regional and national influence. The efforts to shut them down drew widespread attention." Frequently overshadowed in these discussions of the suppression of the press is the attempt by Brig. Gen. Milo S. Hascall to muzzle the Democratic newspapers of Indiana in the spring of 1863. Hascall's efforts are not unknown to historians; many have alluded to the case.4 Nonetheless, these accounts, 2. For a negative assessment of Lincoln, see Jeffery A. Smith, War and Press Freedom: The Problem of Prerogative Power (New York: Oxford Univ. Press, 1999), 99. For analyses arguing the lack of systematic press restrictions, see James G. Randall, "The Newspaper Problem in its Bearing Upon Military Secrecy during the Civil bVar,"Arnerican Historical Review 23 (Jan. 1918): 322-23; Mark E. Neely Jr., TIze Union Divided: Party Conflict i n the Civil War North (Cambridge, Mass.: Harvard Univ. Press, zooz), 89; Frank Luther Mott, American ]ournalism: A History, 1690-1960,3d ed. (New York: Macmillan, 1962), 358. 3. John F. Marszalek, Sherman's Other War: The General and the Civil M'ar Press (Kent, Ohio: Kent State Univ. Press, 1999), 17; William E. Huntziker, The Popular Press, 1833-1865 (Westport, Conn.: Greenwood, 1999), 124. The best account of the suppression of the Chicago Times is Craig D. Tenney, "To Suppress o r Not to Suppress: Abraham Lincoln and the Chicago Times," Civil War History 27, no. 3 (1981): 248-59. A recent work o n the suppression of the New York World and New Yorklournal of Commerce argues that the Lincoln administration's subtle control of the telegraph wire services allowed it to control press coverage to a significant degree. See Menahem Blondheim,"'Public Sentiment is Everything': The Union's Public Communications Strategy and the Bogus Proclamation of 1864,"Journal ofAmerican History 89, no. 3 (Dec. 2002): 869-99. Other significant works that discuss the suppression of the press during the Civil War include James G. Randall, Corlstitutional Problems Under Lincoln, rev. ed. (Urbana: Univ. of Illinois Press, 1951); Mark E. Neely Jr., T h e Fate ofliberty: Abraham Lincoln and Civil Liberties (New York: Oxford Univ. Press, 1991); and John C. Nerone, Violence Against the Press: Policing the Public Sphere in U.S. History (New York: Oxford Univ. Press, 1994). 4. See, for example, Robert S. Harper, Lincoln and thcPress (New York: McGraw-Hill, 1951), 251-54; Kenneth M. Stampp, Indiana Politics During the Civil War (Bloomington: Indiana Univ. Press, 1978, reprint of 1949 edition), 198-202; Emma Lou Thornbrough, Indiana in the Civil War Ern: The History of Indiana, Volzrnie 111 (Indianapolis: Indiana Historical Society, 1965), 204-5; Lorna Lutes Sylvester, "Oliver P. Morton and Hoosier Politics during the Civil Suppression of the Democratic Press i n Indiana, 1863 43 usually based on the small handful of documents published in the official War Department War of the Rebellion series relating to the episode, paint cursory, incomplete pictures of the Indiana events, omit important details, obscure important facts, and overlook the scale of the Union general's as- sault on the Democratic press. Perhaps the fact that no big city newspapers of large circulation were directly involved has convinced historians that the episode does not warrant additional attention. Indeed, all the directly affected Indiana newspapers were small-town papers with small circulations. But new research into federal and state archives, private manuscripts, and other over- looked sources shows important elements in play. First, the scale of Hascall's effort was larger than previously understood, being more widespread and affecting more newspapers than previously known. Furthermore, this new research points to understanding Hascall's effort to be a systematic assault on opposition voices, a policy meant to control antigovernment speech in Indiana. These elements of scale and impact may alter our current notion that federal authority failed to achieve significant control over the opposition press at any time during the war. More significantly, the episode allows an examination of two generally overlooked dynamics, those of federal-state relations and relations between state government and U.S. Army leadership during the war. Regarding the former, William Hesseltine's classic account of Lincoln's control over the Northern state governors during the war has led historians to underplay or dismiss the important interactions between the president, his administration, and the state leaders who played such an important role in the Northern war effort to suppress the rebellion. In Hesseltine's view, the "shrewd prairie lawyer" outwitted the "cajoled, conciliated, and controlled" state executives and came to dominate them in the course of affecting revolutionary change in the relationship between state and federal governments. In particular, the historian portrayed Lincoln as calmly reassuring an "hysterical" Governor War" (Ph.D. diss., Indiana University, 1968); Frank L. Klement, Dark Lanterns: Secret Political Societies, Conspiracies, and Treason Trials in the Civil War (Baton Rouge: Louisiana State Univ. Press, 1984), 96; Jon Paul Dilts, "Testing Siebert's Proposition in Civil War Indiana," Journalism Quarterly 63 (1986): 365-68; Jeffery A. Smith, War and Press Freedom, 116-17. See also Craig D. Tenney, "Major General A. E. Burnside and the First Amendment: A Case Study of Civil War Freedom of Expression" (Ph.D. diss., Indiana University, 1977), off., a good study of the Hascall episode. However, Tenney failed to take into full consideration the essential role of Governor Oliver P. Morton. G. R. Tredway, Den~ocratic Opposition to the Lincoln Administration in Indiana, Indiana Historical Collections, vol. 48 (Indianapolis: Indiana Historical Bureau, 1973), 26-27, recognized the Hascall episode to be a n official policy of press restrictions. 44 C I V I L W A R H I S T O R Y Morton whenever the Indiana executive "begged" for federal assistance. This theme showing Lincoln's purported domination of Morton is echoed by other^.^ It might be well to reassess the relationship between the federal executive and the state executives during the war, especially those governors who shared Republican Party leadership with Lincoln, in those cases when the state leaders were the driving forces in setting and implementing national policy. Regarding the second dynamic, that of state government and Army relations, the historical literature is largely limited to biographical studies of individual generals wherein their disputes with the Northern war governors in the course of the war are almost parenthetically addressed, if addressed at all. State governors disappear from the picture. The Hascall effort to suppress opposition newspapers in Indiana also reveals that none of the leading actors expressed or displayed reservations about systematic efforts to control press speech. Historians have often ac- knowledged serious abuses of constitutionally protected liberties during the rebellion. However, scholars generally assert that Lincoln and his administra- tion showed "remarkable restraint" during a period of national crisis, and that the administration carefully avoided abuse of power. The examination of the Hascall episode will serve to shift the credit for adroit handling of a clumsy but serious attack on political speech by military authorities, an ad- junct of the federal government, from the Lincoln administration to a state executive driven by reasons having more to do with partisan politics than concerns about civil l i b e r t i e ~ . ~ The dangerously contentious 1863 session of the Democratic-controlled Indiana General Assembly had recently adjourned. During the session, Democratic Party leaders, energized and confident after significant victo- ries in the elections of October 1862 had succeeded in selecting two new United States senators, Thomas A. Hendricks and David Turpie. However, Republican legislators, working closely with Republican governor Oliver P. 5. William B. Hesseltine, Lincoln and the War Governors (New York: Alfred A. Knopf, 1948), vi, 5-6, 42, 153, 210, 240. See also Allen Nevins, The War for the Union (New York: Charles Scribner's Sons, 1959-60), 5:347 and 6:391,392. See Stephen E.Towne,"Scorched Earth o r Fertile Ground? Indiana in the Civil War, 1861-1865," in Robert M. Taylor, ed., 777e State of Indiana History 2000: Papers Presented a t the Indiana Historical Society's Grand Opening (Indianapolis: Indiana Historical Society, 2001), 397-415. 6. Phillip Shaw Paludan, The PresideiicyofA6raham Lincoln (Lawrence: Univ. Press of Kansas, 1994),78, and William E. Gienapp, Abraham Lincoltz and Civil War America: A Biography (New York: Oxford Univ. Press, 2002), 192; Mark E. Neely Jr., The Last Best Hope of Earth: Abraham Lincoln and the Promise ofAinerica (Cambridge, Mass.: Harvard Univ. Press, 1993), 134-39. Suppression of the Democratic Press i n Indiana, 1863 45 Morton, fought off Democratic efforts to pass legislation to wrest wartime powers from the governor and vest them in a Democratic-controlled com- mittee. Republican legislators slipped away from the Statehouse and bolted the state, denying Democrats the requisite quorum. No state budget bill passed the legislature. The legislative session adjourned, and Democrats were confident that they could force Governor Morton to call a special session in order to fund state government. But to all parties' surprise, Morton did not recall the Assembly. Rather, he raised funds from the War Department, Republican-controlled county governments, and private bankers in New York. Morton's shrewd but extralegal methods allowed him to keep state government running without Democratic interference.' Indiana's Republican state government leaders relaxed briefly. In their private communications, Morton and his staff expressed confidence that events were finally under their control.' Conditions were not altogether rosy. Violent clashes, riots, and a growing undercurrent of resistance to the recently enacted federal conscription law pointed to difficulties in the state. But Morton banked on cooperation with amenable military commanders to assist him. Brig. Gen. Horatio G. Wright commanded the U.S. Army's Department of the Ohio, which included Indiana. The governor found he could get what he wanted from Wright. In March 1863, Wright appointed Brig. Gen. Henry B. Carrington to command the District of Indiana. Car- rington, a political creature ofTreasury Secretary Salmon P. Chase from the latter's term as governor of Ohio, had been assigned to Indiana in August 1862 as chief recruiting and mustering officer. In that position, Carrington worked efficiently to organize and train Indiana's volunteer troops. He also accumulated troops to combat apprehended uprisings, and developed an effective spy network that kept Morton and the Lincoln administration 7. O n the 1863 Indiana General Assembly, see Stampp, Indiana Politics During the Civil War, 158-85; LornaLutes Sylvester,"Oliver P. Morton and the Indiana Legislature of 1863:'in Robert G. Barrows, ed., Their Infinite Variety: Essays on Indiana Politicians, Indiana Historical Collec- tions, vol. 53 (Indianapolis: Indiana Historical Bureau, 1981), 123-54; and Justin E. Walsh, T h e Centennial History of the Indiana General Assembly, 1816-1987 (Indianapolis: Select Committee on the Centennial History of the Indiana General Assembly, 1987). 8. See two identical letters of Oliver P. Morton to Abraham Lincoln and Edwin M. Stanton, Mar. 6,1863, Adjutant General of Indiana Records, box L516 022627, Indiana State Archives, Indiana Commission o n Public Records, Indianapolis (hereafter cited as Indiana State Archives). See also Laz Noble to Allen Hamilton, Apr. 2,1863, in the Allen Hamilton Papers, Indiana Divi- sion, Indiana State Library, Indianapolis; W. R. Holloway to Morton, Mar. 30,1863, and Apr. 8, 1863, in Governor Oliver P. Morton Telegraphic Correspondence (hereafter cited as OPMTC), vol. lo, 182 and 196, respectively, Indiana State Archives. 46 C I V I L W A R H I S T O R Y informed of antigovernment activities in the state. The new appointment as district commander solidified the ties between state executive and the army. In sum, the officer developed a close partnership with or ton? However, on March 25, Wright was relieved of his command by Maj. Gen. Ambrose E. Burnside on orders from the War Department. The shelved former commander of the Army of the Potomac, Burnside was sent west to departmental headquarters in Cincinnati, Ohio, with instructions from General-in-Chief Maj. Gen. Henry W. Halleck in Washington to gather troops to invade eastern ~ennessee." Burnside also received instructions to prepare to repel an invasion of Kentucky, maintain the occupation of much of the state, and send reinforcements from his department to Maj. Gen. William S. Rosecrans and Maj. Gen. Ulysses S. Grant, whose forces faced hostile rebel armies in Tennessee and near Vicksburg, Mississippi, respec- tively. To do all these things, Burnside needed troops. A dutiful officer, he complied with orders and quickly took steps to determine how many troops were available in his department. Burnside wired Indianapolis the day of his arrival to inquire of troop strength in Indiana. The governor was on a trip to the east, but his private secretary replied with an accounting of troops in Indianapolis. The governor, being apprised of the inquiry, wired from Har- risburg, Pennsylvania, to Carrington to send no force out of the state. "Not a man can be spared," he wrote. During the coming months, Burnside and Morton would continue to spar over troop levels in 1ndiana.I' Another issue that divided Morton and Burnside was the army com- mander's General Orders number 38, issued April 13, 1863, announcing strict military punishment for any persons who voiced opposition to the government in Washington and sympathy for the rebels in the South. Born of the army's frustration with widespread anti-war sentiments in the North, Burnside's order stated, among other things, that military forces would be employed to regulate speech and publication by Northern civilians in his department. "It must be distinctly understood," stated Burnside in his order, 9. For basic information o n Carrington, see Catherine McKeen,"Henry Beebee Carrington: A Soldier's Tale" (Ph.D. diss., State University of New York at Stony Brook, 1998). lo. William Marvel, Burnside (Chapel Hill: Univ. of North Carolina Press, i991), 222-28. 11. Burnside to Morton, Mar. 25, 1863, OPMTC, volume 16, 159, Indiana State Archives; Holloway to Burnside, Mar. 25, 1863, Record Group 94, General's Papers, General Ambrose E. Burnside Papers, box 6, National Archives and Records Administration, Washington, D.C. (hereafter cited as Burnside Papers); Morton to Carrington, Mar. 25,1863, Carrington Family Papers, box 1, Manuscripts and Archives, Yale University Library, New Haven (hereafter cited as Carrington Papers). Slrppression of t h e Democratic Press i n Indiana, 1863 47 "that treason expressed o r implied will not be tolerated." In explaining his policy, Burnside elsewhere affirmed his belief in the subordination of the military to civilian authorities; nonetheless, he believed that the military was "invested with a little more power [than civilian government] in suppress- ing anything like treason, and acts that tend to create dissention."12 General Orders No. 38 was a declaration of the army's intention to intervene into civil and political affairs in areas not under martial law. The order's publi- cation provoked rebukes from Democratic newspapers in the department, including Indiana. But Republican newspapers welcomed the measure that threatened dire consequences for Democratic utterance against the Lincoln administration. Intoned one Indiana Republican newspaper, "The furious storm of invective and abuse [has] ceased as if by magic." Publicly, in the immediate aftermath of the announcement, Morton remained silent. Efforts to arrange a meeting with Burnside in the following days failed.'" Burnside upset Morton's plans significantly yet again. Shortly after Burn- side assumed command in Cincinnati, the general received a broad hint from Halleck in Washington that Secretary of War Edwin M. Stanton believed Carrington was not a fit officer to command in Indiana, owing his rank and place "entirely to political influence." Burnside wired Stanton that he would investigate Carrington's fitness and "relieve him if he is found deficient." Stanton replied that the "department has no disposition to remove General Carrington, o r interfere with his command, unless you should find it nec- e ~ s a r y . " ' ~ O n April 20, in the aftermath of serious and bloody incidents in 12. Marvel, Burnside, 231-32; for Burnside's explanation of his policy, see Cincinnati Daily Commercial, Apr. 20,1863. 13. Seymour Times, Apr. 30,1863. See Burnside t o Morton, Apr. 20,1863, and subsequent messages of Apr. 21, 1863, in Ambrose E. Burnside Collection, Box 1, Letterbook number 1, Rhode Island Historical Society, Providence (hereafter cited as Burnside Collection). 14. Halleck to Burnside, Mar. 30, 1863, Burnside to Stanton, Apr. 6, 1863, and Stanton to Burnside, Apr. 6,1863, in The War ofthe Rebellion: A Compilation ofthe Oficial Records ofthe Union and Confederate Armies, ser. 1, vol. 23, pt. 2,193-94,216-17 (hereafter cited as OR). A few weeks previous to the above exchange, Robert Dale Owen,an important intermediary between Morton and Washington, D.C., leaders, had reported o n a n interview he had with Secretary Stanton that casts doubt o n Halleck's assertion. Owen wrote that StantonMthinks very highly of Col. Carrington, and says he shall remain where he is, to aid you."Owen expressed Stanton's confidence in Carrington in the context of reporting his views of the Northwest Confederacy plot, a conspiracy planned by pro-rebel groups i n the states of Ohio, Indiana, a n d Illinois, and earnestly believed by Morton, Carrington, and Owen. Wrote Owen, "Stanton fully believes in the plot to reconstruct leaving New England out; he feels sure it cannot succeed. In my judg- ment he does not fully appreciate the imminence of the danger." See Owen to Morton, Feb. 13,1863, in Governor Oliver P. Morton Papers, Indiana State Archives. 48 C I V I L W A R H I S T O R Y Brown and Hendricks counties in Indiana, Carrington wired Burnside a message that was alarmist in tone and content. Burnside replied the next day with a patronizing telegram and revealed his ignorance of the existing close working relationship between Carrington and Morton. "There is no cause for alarm," he wrote. "Haste and indiscretion in the exercise of military force often creates trouble. Consult fully with Governor Morton who is thoroughly posted in the state affairs and will prove a good adviser." Carrington replied, "Rely upon my prudence. I entertain no alarm but wish to anticipate sharp issues." But the next day Burnside sent Carrington word that he was relieved of his command in Indiana immediately and was to report to headquarters in Cincinnati. There, Carrington later reported, Burnside told him that he "disapproved my policy saying-'that the radical defect was nzy use of the Grand Jury and civil Courts, and that the Military Commission should have been used only."' Brig. Gen. Milo S. Hascall was appointed in his stead.15 News of Hascall's appointment reached Governor Morton while he was in Madison, Indiana, on the Ohio River. Morton immediately wired Burnside a curt message: "I have just learned [of] the removal of Carrington and regret it much. It is a blow to the Union cause in Indiana in my judgement. Will occasion great dissatisfaction among Union men and rejoicing among the rebels. Look well to your advisers in this matter, my dear General. They are misleading you." Morton traveled back to Indianapolis and immediately began to organize a campaign to retain Carrington, his right-hand military man. Burnside arranged to go to Indianapolis to confer with the governor two days after the new appointment. While there, he gave a speech reiterat- ing his agreement with military subordination to civil authority. Despite a barrage of advice from Morton and other Republican leaders in Indianapolis, Burnside remained firm. Carrington was reassigned to c level and.'^ 15. Carrington to Burnside, Apr. 20,1863, box 6, Burnside Papers; Burnside to Carrington, Apr. 21,1863, box I, Carrington Papers; Burnside to Carrington, Apr. 22,1863, Letterbook num- ber 1, Burnside Collection; Burnside to Hascall, Apr. 22,1863, Letterbook number I, Burnside Collection. Burnside thought the troubles Carrington reported serious enough to cite them in a telegram to Halleck, explaining why he had not yet gone to the front: "They will in all prob- ability delay me here for some days.'' Burnside to Halleck, Apr. 20, 1863, Letterbook number 1, Burnside Collection. Carrington to Salmon P. Chase, May 26,1863, in John Niven, ed., The Salmoi? I! Chase Papers, bolunze 4, Correspondence, Apr., 1863-1864 (Kent, Ohio: Kent State Univ. Press, 1997), 42-46. 16. W. H. H. Terrell to Morton, Apr. 22,1863, and Morton to Terrell, same date, OPMTC, vol. lo, 218-19; Burnside to Morton, Apr. 22,1863, OPMTC, vol. 16,179, Indiana State Archives; Morton to Burnside, Apr. 22,1863, box 7, Burnside Papers; Indianapolis Daily Evening Gazette, Apr. 25,1863; Indianapolis Daily State Sentinel, Apr. 25,1863. Burnside replied to Morton that he was "not following the advice of any one in removing Carrington-in fact n o one has recom- Suppression of t h e D e m o c r a t i c Press i n Indiana, 1863 49 Born in New York State in 1829, Milo S. Hascall had resided in Goshen, Indiana, since 1847 and graduated from the United States Military Academy at West Point in 1852. H e served briefly in the regular army before resigning his commission and returning to Indiana, where he was active in business, law, and Republican politics. At the beginning of the war, Hascall served in the western Virginia campaign, was commissioned Colonel ofthe q t h Indiana Volunteer Infantry regiment, and appointed Brigadier General of Volunteers in the spring of 1862. He participated in the Shiloh and Corinth campaigns, as well as the "retrograde" march in pursuit of rebel General Braxton Bragg through Tennessee and Kentucky in Maj. Gen. Don Carlos Buell's army. Hascall distinguished himself for cool leadership in the bloody battle of Stones River in Tennessee in December 1862-January 1863. Often in poor health, Hascall was assigned by Maj. Gen. William S. Rosecrans to superintend the roundup of thousands of deserters and stragglers from the Army of the Cum- berland in the winter of 1863. His headquarters were in ~ n d i a n a ~ o l i s . " General Hascall took command of the District of Indiana in Indianapolis immediately on April 22,1863, and walked into the middle of a serious power struggle. Morton and Burnside vied for the upper hand in how to deal with antiwar sentiment and resistance to government in Indiana. Hascall enjoyed the confidence of his commander, who appreciated his fighting record. But his relations with Governor Morton were poor. The governor placed no trust in the young general. First, Hascall was ignorant of Carrington's spy organization, an important weapon in the governor's arsenal in controlling mended it."This statement ignored Halleck's original suggestion to Burnside. See Burnside to Morton, Apr. 22,1863, Letterbook number I, Burnside Collection. 17. For information o n Milo Hascall, see Stephen E. Towne, ed.,"West Point Letters of Milo S. Hascall, 1848-1850," bzdiana Magazine of History 90 (Sept. 1994): 278-94. General Rosecrans wrote in a letter to Governor Morton that "General Hascall is not able to stand field service during this inclement season,"and that Hascall was under orders to "consult with you and oth- ers as to the best mode of effecting object and report to me the results." Rosecrans to Morton, Feb. 16,1863, Adjutant General of Indiana Records, box A4017 024j96, folder 18, Indiana State Archives. Hascall and Rosecrans had served together in the regular U.S. Army in the early 1850s. Hascall's postwar memoirs of his service point to a run-in with Rosecrans after Stones River. According to this account, Rosecrans failed to inspire confidence in the army owing t o his Roman Catholic faith and possessing an inflated ego. Hascall states that he applied for a transfer out of Rosecrans's command due to his lack of confidence in his leadership. Expecting to be placed under arrest for insubordination, Hascall was instead sent north with the comment from his commander that he could not be spared. See Milo S. Hascall, Personal Recollections a i d Experiences Concerning the Battle o f Stone River (Goshen, Ind., 1899), qff. Hascall was officially transferred to Burnside's Department of the Ohio o n May 12,1863. See O R , ser. I, vol. 23, pt. 2,326. 50 C I V I L W A R H I S T O R Y the antiwar Democracy. Second, unlike Carrington, the new commander followed orders promptly in dispatching troops in Indiana to the front. Third, Hascall agreed with Burnside in the efficacy of military intervention to quell civil disturbance and civilian resistance to the war effort. On April 25, Morton successfully persuaded the generals not to send a military expedi- tion to Brown County, instead sending a bipartisan deputation to investigate and report on the situation. In Morton's view, the situation was too peril- ous to leave to injudicious military officers. He again requested the return of General Carrington to Indianapolis: "He is in possession of information important for me to have." Morton pressed further for Carrington's prompt return, writing again to Burnside that he was planning to go to Washington but could not go until Carrington arrived. "I shall feel much embarrassed in leaving the state with a new man here." To a Republican colleague, he wrote, "Carrington has been removed, and a new man appointed who knows but little about the ~ t a t e . " ' ~ On Saturday, April 25, three days after his appointment, Hascall issued his own proclamation addressing political speech and publication, General Orders No. 9. His order served as an amplification of General Orders No. 38, specially tailored for Indiana. The general was charged, he wrote, with enforcing General Orders No. 38 in the state. He noted that "unmistakable evidence reached him that the provisions of this Order have been and are being, violated in various parts of the State." Newspapers and public speakers had "led astray" "well meaning men" to violate the order. They "will there- fore be held to the most rigid accountability. . . . All newspapers and public speakers that counsel or encourage resistance to the Conscription Act, or any other law of Congress passed as a war measure, or that endeavor to bring the war policy of the Government into disrepute, will be considered as having violated the Order above alluded to, and treated accordingly." Concluding, Hascall added, "The country will have to be saved or lost during the time this Administration remains in power, and therefore he who is factiously and actively opposed to the war policy of the Administration, is as much opposed to his Government." The order appeared in Indianapolis' chief Republican 18. See Laz Noble to Hascall, Apr. 23,1863, Adjutant General's Letterbook number 2, page 79, Adjutant General of Indiana Records, Indiana State Archives; two telegrams of Morton to Burnside, Apr. 25, 1863, box 7, Burnside Papers; Morton to Jesse J. Brown, Apr. 29,1863, OP- MTC, vol. lo, 234, Indiana State Archives; Hascall to Burnside, Apr. 26,1863, box 7, Burnside Papers. Burnside allowed Carrington to return to Indianapolis temporarily. The Indianapolis Daily Journal of Apr. 28,1863, reported that "General Carrington is also in the city o n military business connected with the affairs of Indiana." Suppression of the Democratic Press i n Indiana, 1863 51 newspaper, the primary organ of the party in the state, on the following Monday, April 27. That day Hascall wrote to his superior in Cincinnati that "I have issued a General order today which I think will do good and will meet your hearty approbation. I think it is practical and can be carried out. . . . I will send you tomorrow a copy of the order I have issued and would like to know whether it meets your approbation." Burnside wired him on April 29 that his letter with the text of the order was "very s a t i s f a c t ~ r ~ . " ' ~ As General Orders No. 9 began to disseminate around the state and began to appear in both Republican and Democratic newspapers, strong howls of protest emitted from Democratic speakers and the Democratic press. Examin- ing General Orders No. 38 and General Orders No. 9 together, many editors wondered what might be considered treasonable under the broad heading of bringing the war policy of the Lincoln administration into disrepute. "We are unable to say exactly what this language means," wrote the Goshen Democrat, the Democratic newspaper in Hascall's hometown. Others wondered what ! Burnside and Hascall meant by "implied treason." The Indianapolis Daily State Sentinel, the organ of the state Democratic party, noted, "There is no such crime as 'implied treason."' The editor of the Evansville Weekly Gazette remarked that "it now seems that it is [as] dangerous [to voice doubts about administration policies] as it is impossible for anybody to determine what a military officer may choose to embrace under the name of 'implied treason.'. . . We suggest that some military lawyer. . . should spare the time. . . to give us a few instances of 'implied trea~on."'~' Hascall acted promptly to arrest Democratic newspaper editors and stop their presses to demonstrate the meaning ofhis military order. The first editor arrested was Daniel E. VanValkenburgh of the Plymouth Weekly Democrat. VanValkenburgh had ridiculed General Orders No. 9 at length in his edi- tion of April 30. Noting its "imperial style," the editor condemned "its total disregard of civil law and the rights of citizens in loyal districts." He launched into a barrage of personal abuse of Hascall, calling him a "country politician" and braying donkey "who has no more rightful authority over the people of Indiana than our town marshal." Having been sent a copy of the newspaper by the editor of Plymouth's Republican newspaper, Hascall dispatched troops to the northern Indiana town on May 4. The offending editor was arrested, 19. Indianapolis Dailylournal, Apr. 27,1863; Hascall to Burnside, Apr. 27,1863, box 7, Burnside Papers; Burnside to Hascall, Apr. 29,1863, Letterbook number 1, Burnside Collection. 20. Goshen Democrat, Apr. 29,1863; Indianapolis Daily State Sentinel, Apr. 14,1863; Evansville Weekly Gazette, Apr. 25,1863. 52 C I V I L W A R H I S T O R Y carried back to Indianapolis, held in the prisoner-of-war camp, and then sent to Burnside in Cincinnati. There the general extracted an oath of allegiance from the editor and released him on a promise "to conduct his paper on proper principles." The newspaper's publication was suppressed for one week and only a half-sheet edition appeared the following week.21 Other arrests of Democratic newspaper editors who had sneered at Hascall's order occurred in the following days. Rufus Magee, editor of the Pulaski Democrat in Winamac, was arrested and his newspaper suspended for two weeks. Hascall permitted Magee to issue a half-sheet to explain why the paper was suppressed: "an alleged disobedience of Order number 9." The Columbia City News was shut down and its editor, Engelbert Zimmerman, was ordered to Indianapolis to answer for his offense. Hascall notified the South Bend Forum either to retract its boasts to violate his order or suspend publication. The editors of the Democratic newspaper, W. H. and Ariel Drapier, chose the latter course and closed the newspaper, refusing to retract their ~ t a t e r n e n t s . ~ ~ Hascall notified still other Indiana Democratic newspapers to change their tone or face suspension. These newspapers included the Starke County Press, the Bluffton Banner, the Blackford Democrat, the Warsaw Union, and the Franklin Weekly Democratic Herald, all but the last paper located in northern Indiana. Records do not show if these newspapers' editors were arrested or their publication suspended.23 21. Plymouth Weekly Democrat, Apr. 30,1863; Hascall to Editor of Plytnouth M'eekb Democrat, May 4,1863, box 7, Burnside Papers; Burnside to Hascall, May 6,1863, in Record Group 393, Records of U.S. Army Continental Commands, Part 111, entry 223 (Correspondence Between General Burnside Commanding Department of the Ohio and General Hascall of the District of Indiana), vol. 87ND, National Archives and Records Administration, Washington, D.C.; Plymouth Marshall County Republican, May 21,1863; Plyrnotrtli Weekly Democrat, May 14,1863. For VanValkenburgh's own account of his arrest, see Daniel McDonald, A Twentieth Century History of Marshall Cotrnty Indiana (Chicago: Lewis Publishing Company, 1908), 1292. 22. Logansport Democratic Pharos, June 3, 1863, quoting the Ptllaski Democrat; Columbia City News, May 26, 1863; South B e i d Forrrni, May 2, 9, and 23, 1863. See also O R , ser. 2, vol. 5,723-26. The Republican newspapers of South Bend suggested the Drapiers shut down the Forum for "pecuniary reasons," and found the Hascall order a convenient excuse. See the Mishawaka Enterprise, May 23,1863, and the St. Joseph Valley Register, May 21,1863. The Dra- piers at the time compiled and published by contract with the Indiana General Assembly the Brevier Legislative Reports. 23. Columbia City News, June 2 and 9, 1863; Huntington Denzocrat, May 28 and June 4, 1863; Fort Wayne Dawson's Daily Times and Unioiz, May 7,1863. The Huntington Democrat of May 28, 1863, listed five newspapers as suppressed: the Columbia City News, the South Bend Forum, the W i n a m a c Pulaski Democrat, the Plymouth Weekly Democrat, and the "Johnson County Democrat" [sic, the Franklin Weekly Democratic Herald]. It listed three newspapers Suppression of the D e m o c r a t i c Press in I n d i a n a , 1863 53 In another instance, popular action thwarted Hascall's attempt to arrest the editors of a Democratic newspaper. On the night of May 15, he dispatched a squad of troops to the northern Indiana town of Huntington, where the particularly vociferous antiwar Huntington Democrat was published by Samuel F. Winter and William C. Kocher. However, a crowd of men armed with revolvers and clubs estimated to be between fifty and two hundred strong prevented the arrests.24 Hascall's policy of arrests and threats of arrest of editors and suspension ofpublication of Democratic newspapers achieved the intended effect. Many Democratic newspapers in the state appear to have been intimidated by the military policy. Several outspoken editors refrained from their normallyvitri- olic condemnation of federal war policy and measured their words carefully. James Elder of the Richmond Jeflersonian cautioned his readers "to say noth- ing of a provocative or offensive nature, and to do nothing that contravenes the laws and regulations of the constituted authorities." The Owen County Journal in Spencer wrote that "we are sure our readers will pardon us if, until further notice [italics in original], we are silent upon the great issues which agitate the public mind. . . . [I]t becomes Democrats to be silent." Observed the Miami County Sentinel in Peru, "We forebear to comment further upon [the arrest of Ohio Democratic leader Clement L. Vallandigham]. Indeed, we think an observance of 'Military Order No. 9' is necessary upon this point, in order to maintain the peace and good order ofsociety. Concluded the Sullivan Democrat, "However galling this may be we have no alternative but to qui- etly submit."25 Many public speakers also trod carefully. The statewide mass meeting of Democrats held in Indianapolis on May 20, attended by several thousand party faithful, produced a few fierce antiwar, anti-administration speeches, but the general tenor of criticism was pale. In preparation for the event, Hascall posted all his available infantry, several squadrons of cavalry, as threatened with suspension if n o retraction was made: the Blufion Banner, the Blackford Democrat, and the Warsaw Union. See also O R , ser. 2, vol. 5,723-26. For a prosopographical analysis of Indiana Democratic newspaper editors who were arrested, o r whose newspapers were suppressed o r attacked during the Civil War, see Bruce Bigelow and Stephen E. Towne, "Democratic Opposition to the Lincoln Administration in Indiana: The Polls and the Press," Journal of the Indiana Academy o f t h e Social Sciences 5 (2001): 71-82. 24. Hiintington Democrat, May 28,1863, and Huntington Indiana Herald, June 10,1863. The Democratic paper estimated the crowd at two hundred; the Republican newspaper put the crowd at fifty. 25. Richmond JefFrsonian, May 7, 1863; Sullivan Democrat, May 7 , 1863, also quoting the Owen Cotlnty Jo~lrnal; Miami County Sentinel, May 21,1863. 54 C I V I L W A R H I S T O R Y and unlimbered artillery at strategic points in the city, and at the same time surrounded the meeting participants with a show of military force. Arrests for carrying concealed weapons and cheering Jefferson Davis were made by troops. Other troops threatened speakers on the stands, including U.S. sena- tor Thomas A. Hendricks. When departing Democrats fired their pistols and revolvers in the air from their trains, Hascall ordered troops to stop them, surrounded the trains, and disarmed the many carrying firearms. No doubt the show of military force muted much fiery r h e t ~ r i c . ' ~ Democrats fought back against Hascall's order as best they could. How- ever, instead of direct confrontation with military authority, Democrats employed indirect methods. Joseph K. Edgerton, the newly elected Demo- cratic U.S. representative from Fort Wayne in northern Indiana, prodded the general into a war of words. On May 2, one week after General Orders No. 9 appeared, the congressman wrote a private letter to Hascall, asking the general to clarify the meaning of the order. "You will," he wrote, "of course, admit that if the people are to obey your order, it is important they should know its exact scope and design." Edgerton asked the meaning ofthe phrases "endeavor to bring the war policy ofthe Government into disrepute," "actively opposed to the war policy of the Administration," and "opposed to the Government." Hascall answered Edgerton in a long lecture that he submitted to the Indianapolis Daily Journal for publication. In it, he laid out his views on proper obedience to authority. Hascall outlined the federal government's war policy, including the tax, confiscation, and conscription acts and the Emancipation Proclamation. Both Congress and the president had formulated them after long and mature deliberation. "Possibly, they are not the wisest and best that could have been enacted," wrote the general. "That, however, is a matter which does not now concern either of us. Enough for us to know, that they have been agreed upon" by the lawful government. Allowing newspapers and speakers to criticize these policies will only "divide and distract" the Northern people, "and thus give material 'aid and comfort' to our enemies." Hascall reiterated his belief that the rebellion had to be "either established or crushed" within the time of Lincoln's term in office. Opposition to the Lincoln administration equaled opposition to the U.S. government. The war would end soon, he opined, but some persons would try to prolong the war and obstruct the administration's suppression ofthe rebellion to allow "another Administration [to] get the credit of settling it." 26. Indiaizapoli~ Daily Eveniilg Gazette, May 20 and 21,1863. See three telegrams from Hascall t o Burnside, May 20, 1863, box 7, Burnside Papers. Suppression of the Democratic Press in Indiana, 1863 55 He would strike at the leaders ofdivisiveness and obstructionism as the source of the problem. "As well I might establish a number of small pox hospitals in the heart of the city, and then punish the people for being infected with that loathsome disease, as to allow newspapers and public speakers to belch forth their disloyal and treasonable doctrine." "To kill the serpent speedily," he wrote, "it must be hit o n the head."27 Edgerton prepared a bold reply that, published in Democratic newspapers throughout the state and elsewhere, served both as a Democratic manifesto and a call to arms. General Orders No. 9, he wrote, "is not entitled to respect and obedience." The order was not the product of Indiana's government, "to whom belongs . . . the control and conduct of the civil affairs of the state." Rebellion did not exist in the state, and government continued intact. "Freemen" enjoyed the inalienable rights of free speech, a free press, and free courts, and would not suffer to be enslaved. The "merest tyro" knows that this military order "cannot stand the ordeal of discussion, judicial investigation o r attempted execution." Though the people may submit to the order presently, "even the deluded people who may now approve and applaud your despotic acts . . . will awake" and o n the "day of retribution and justice" rebuild and "re-enthrone" law and constitutional government. Edgerton proclaimed his desire to suppress the rebellion "by all constitutional means," and his willingness to support the administration's war policy to the extent he believed it warranted support. But he defiantly enunciated his opposition to Lincoln administration policies that he saw as "vindictive and unconstitutional. . . toward the States in rebellion." These policies, such as the confiscation acts and the Emancipation Proclamation, would not sup- press the rebellion o r restore the Union. Thus, he could not support the Lincoln administration, and he would take actives steps to depose Lincoln via the ballot box. In conclusion, Edgerton wondered: Where is Oliver P. Morton, the constitutional civil Governor of Indiana, that he does not at once speak and rebuke your claim to exercise authority and do acts, that you cannot exercise o r do, without a clear violation of the Constitution and laws of the State of Indiana, and ofthe United States, and without degrading him to a mere cipher and pageant in the State? I would be glad to know that Gov. Morton can answer this question as becomes the dignity and freedom of the State whose Chief Magistrate he is.2" 27. Indianapolis Daiij>]ournal, M a y 6,1863. 28. Indianapolis Daily State Sentinel, M a y 15,1863. 56 C I V I L W A R H I S T O R Y Edgerton knew that the best means available to rein in the military au- thorities was not Democratic complaining but Republican Governor Morton, whose energetically pro-war, pro-administration stance was universally ac- k r ~ o w l e d ~ e d . ~ ~ Morton publicly remained quiet on the issue of General Orders Nos. 38 and 9. However, privately he was seething. Burnside's and Hascall's orders, rather than squelching Democratic opposition, were having the op- posite effect of reinvigorating the antiwar, anti-Lincoln party in Indiana that he had himself quelled at the end of the General Assembly. While the orders intimidated antiwar expression temporarily, arrests of prominent Democrats and the orders themselves mobilized fellow party members. Leading Democrats such as U.S. Representative Daniel W. Voorhees, former U.S. Senator Graham N. Fitch, Senator Thomas A. Hendricks, and others heaped odium on the or- ders. Clement L. Vallandigham, the midwestern leader of antiwar sentiment, particularly attacked General Orders No. 9 in the speech that provoked his arrest by order of Burnside. National attention focused on Hascall's order.30 Morton would tolerate it no further. On May 15, the day Edgerton's reply appeared in the newspapers, he met with Hascall. The following day Hascall reported to Burnside that the governor "told me plainly that he did not con- sider your order 38 practical, and he thought it could not be carried out-that efforts to enforce it might as well be given up in his opinion, and that it was creating immense difficulty all over the Country." Morton also told the general that the arrest and trial of Vallandigham was "entirely unwarranted 29. It is not impossible that Edgerton and other Democrats may have been aware of Morton's frustration with the military authorities in Indiana. Morton's staff had received assurances from an influential Fort Wayne War Democrat that Edgerton would not oppose the war effort in Congress. Fort Wayne banker Allen Hamilton reported, "I think from conversations I had with Mr. Edgerton o u r member of Congress that he will urge submission to the laws and prosecution of the war." See Allen Hamilton t o Laz Noble, Apr. 7, 1863, Adjutant General of Indiana Records, Box A4017 024596, folder 12, Indiana State Archives. Likewise, Edgerton may have been alerted to Morton's opposition to Burnside's and Hascall's policy. 30. For information o n Vallandigham's speech at Mt. Vernon, Ohio, that provoked his ar- rest, see Frank L. Klement, The Limits of Dissent: Clement L. Vallandigham and the Civil War (Lexington: Univ. Press of Kentucky, 1970)) 151ff. Hascall wrote a private letter to the editor of the New York Express o n May 5,1863, rebuking him for his damning comments regarding General Orders No. 9. Hascall's note was published in the Express and reprinted in the New York Times. See OR, ser. 2, vol. 5,723-26. Burnside was alerted to the exchange and queried Hascall about the matter. Hascall explained that the letter he wrote was not intended for publication. "I know it is in bad taste to pay much attention to newspaper comments, and accordingly I have not done s o except in one o r two instances, in aggravated cases, and when some such reason as their being members of congress seemed to justify such course." Burnside t o Hascall, May 17,1863, Letterbook number 1, Burnside Collection, and telegram and letter of Hascall to Burnside, May 18,1863, box 7, Burnside Papers. Suppression of the Democratic Press i n Indiana, 1863 57 and could not be justified." Only "attachees" of the military could be tried by military commission. "This," fretted Hascall, "is very singular ground to occupy. It is admitting away our whole case. I acknowledge that I am not a little embarrassed by this state ofthings[.] I think all could have been managed very well after the first effervescence was over but for this unexpected 'fire in the rear."' "The trouble seems to be," he continued, "that you issued order 38 without consulting him and removed Genl Carrington in a similar manner. He [doesn't] seem to find so much fault with either act as he does with the fact that he was not consulted." Hascall reminded his superior of Morton's previous record with generals who displeased him: "General Buell, incurred his displeasure in a similar manner when he first took command of the Dept and the Govr never, ceased in his exertions against him till he was removed and the court organized as it was against him. These facts and surmises I have considered it important to you to know. Forewarned is f ~ r e a r m e d . " ~ ' Hascall was correct to warn Burnside. The following day, Sunday, May 17, Morton visited Indianapolis banker Calvin Fletcher at his home and declared his intention to depose both generals. Fletcher recorded in his diary: Govr. Morton called on me to advise & t o explain his position in relation to Genl. Hascall & Burnsides new orders. He views the former a mere 4th rate man & Burnsides not strong but weak in his administrative ability Condemns the removal of Genl. Carrington & the orders restricting the press etc That Hascall is incompetent to carry out reasonable orders-a real failure that these orders ca'nt consistently be resinded but only way to get rid of them is to remove Burnsides-that he goes to Washington this week-that he has not the ear of Hallack but of President Lincoln who is not e f f i ~ i e n t . ~ ~ Morton campaigned privately to remove both Burnside and Hascall. He enlisted the support and assistance of at least one important leader close to Lincoln to this end. United States Supreme Court Justice David Davis, a friend of the president's and his campaign manager in 1860, was in Indianapolis in May 1863, serving on the federal circuit court bench. He recognized the 31. Hascall t o Burnside, May 16, 1863, box 7, Burnside Papers. For details o n the dispute between Morton and Gen. Don Carlos Buell, see Stephen D. Engle, Don Carlos Buell: Most PromisingofAll (Chapel Hill: Univ. of North Carolina Press, 1999), 314-20. 32. Entry of May 17,1863, in Gayle Thornbrough and Paula Corpuz, eds., The Diary of Calvin Fletcher, Volume VIII, 1863-1864 (Indianapolis: Indiana Historical Society, 1981), 139. 58 C I V I L W A R H I S T O R Y dangers of the generals' methods. His instructions to the federal grand jury in a case concerning disloyalty and disloyal practices, amounting to a lecture on the legal definition of treason, contrasted starkly with Hascall's views. The contrast was noted by the state's Democratic press. Davis also telegraphed Secretary Stanton, stating, "I have been for several weeks, and am, perfectly satisfied that the immediate removal of General Hascall is demanded by the honor and interests of the ~overnment."~"n addition, the Indianapolis Daily State Sentinel, the organ of the state Democratic party, noted that Governor Morton opposed the military policy of "arbitrary arrests." This story, leaked by the governor's office to the opposition press, put pressure on the generals. Morton had privately voiced his opposition to military interference in civil matters in his state. Now he had gone Morton, always energetic, was remarkably active during this period, making several trips to Washington from early May to early June 1863 in the span of about five weeks. There he pressed administration and military leaders to remove Burnside and Hascall. Whether Morton met with President Lincoln to discuss the matter is not known. His results were mixed. Burnside remained in his post. Even when his handling of the Vallandigham arrest and trial proved highly troublesome, administration leaders were loath to face again the political embarrassment of removing yet another high-rank- ing general from command. However, Morton's efforts bore some fruit. Washington leaders began to put pressure on Burnside to deal with Hascall, who also irritated Governor Morton. In his inimitably and ambiguously sug- gestive fashion, General Henry Halleck wrote to Burnside on May 20 that Secretary Stanton disliked the practice of employing district commanders in the western states of Ohio, Indiana, and Illinois. "Moreover," he wrote, 33. Indianapolis Daily State Sentinel, May 8 and 11,1863; Davis to Stanton, May 27,1863, OR, ser. I, vol. 23, pt. 2, 369. Morton also sent a separate telegram from Indianapolis to Stanton at the same time as Davis,"il pm,"suggesting a concerted effort by the two men. See Morton to Stanton, ibid. 34. Indianapolis Daily State Sentinel, May 25,1863. O n Apr. 29,1863, a prominent Demo- cratic physician in Indianapolis was arrested by military authorities for alleged treasonable correspondence and encouraging desertions. Nicholas J. Dorsey had previously volunteered to assist Governor Morton's efforts t o provide medical aid to Indiana troops in the field. Morton intervened in his case with Burnside and obtained his release. See Holloway to Burnside, May 7,1863, OPMTC, vol. 16,186, and Burnside t o Holloway, May 7,1863, ibid., 187, Indiana State Archives. See also Morton t o Gen. Jeremiah T. Boyle, May 2,1863, Morton Papers, Letterbook number 2,742-43, Indiana State Archives, and Burnside to Hascall, May 7,1863, RG 393, entry 223, National Archives. Democratic newspapers in the state reported that Morton was instru- mental in Dorsey's release. Suppression of the Democratic Press i n Indiana, 1863 59 without naming names, "it seems difficult to find military commanders of sufficient judgment and discretion to avoid conflicts with the civil authori- ties." Military officers should not assume powers that are not theirs. "All this does much harm, by inciting party passions and political a n i m ~ s i t i e s . " ~ ~ In an ill-timed gesture of cooperation, On May 26 Hascall wrote to Morton that notwithstanding his known dislike for "arbitrary arrests," the general "had some cases on hand now requiring in my judgment this kind ofaction."" The next day Morton telegraphed Stanton, "General Hascall is still in command here. I hope you will see that your order for his removal is executed at once. It is important."" It is clear, then, that the governor had previously secured a promise from the Secretary of War to have Hascall sacked. However, Stanton had delayed action. On May 30, Morton addressed a long letter to President Lincoln, laying out his objections to Burnside and his General Orders No. 38, paying exclusive attention to the problems caused by military arrests. The order has "wholly failed to accomplish the purpose for which it was in- tended." Rather, it was "intensifymg the hatred" that Democrats felt toward the administration. "If arrests are to be made," he wrote, "they should be made by the highest authority on deliberation. . . . Temporary commanders of Departments, who are here today and gone tomorrow, some of whom are very poor politicians," should not be vested with such authority. "General Burnside's Order," he continued, "supersedes civil authority in Ohio, Indiana and Illinois, and although it was not issued with your knowledge, or by your authority, yet your subsequent silence gives it your ratification before the public." "My own opinion is," he concluded, "that the preservation of the peace and loyalty" of Indiana, Ohio, and Illinois should be "left with the State authorities to be aided and supported by Federal power when n e c e ~ s a r y . " ~ ~ Finally, in a letter dated June I, 1863, Stanton wrote to Burnside that President Lincoln had been apprised of Hascall's General Orders No. 9 and letters in the press. Stanton encouraged the general to consider Whether it would not be better to withdraw General Hascall from that com- mand. Whatever dissatisfaction there may exist in the State of Indiana. . . 35. Halleck to Burnside, May 20,1863, box 7, Burnside Papers, also published in OR, ser. 2, vol. 5,664-65. For Burnside's relations with Washington in May 1863, see Marvel, Btrrnside, 237-40, 36. Hascall t o Morton, May 26,1863, Morton Papers, Indiana State Archives. 37. Morton to Stanton, May 27,1863, OR, ser. 1, vol. 23, pt. 2,369. 38. Morton to Lincoln, May 30,1863, Robert Todd Lincoln Collection, microfilm roll number 53, Library of Congress, MTashington, D.C. 60 C I V I L W A R H I S T O R Y is liable to be increased by the presence of an indiscreet military officer, who will unnecessarily interfere with the political condition of the State and produce irritation by assuming military powers not essential to the preservation of the public peace. Great care is to be exercised in those States not to excite the apprehensions of the State Executives who are loyal and diligent in maintaining the authority of the Government. According to Stanton, Lincoln wished to maintain a "good understanding" with Governor Morton and the other governors in the department; the presi- dent thought it best to leave the running of the states to their governors, who knew the "temper of the people" and their "natural aversion" to unnecessary military powers. The president did not wish to "restrict you in the powers" other military commanders exercised, but "only to make such suggestions as are thought to be expedient for the public service. . . . The proper limit of military power in such cases is at [the governors'] request to aid and not supersede the State authority." The secretary enclosed newspaper clippings of Hascall's exchanges with newspaper editors to illustrate the general's in- discretions. Two days later, on June 3, Stanton wired Morton, "Instructions have this day been forwarded by mail to Gen. Burnside which will, I think, remove all complaint, and accomplish your wishes."39 Burnside was at that moment embroiled in another newspaper con- troversy. On June 1, 1863, Burnside ordered military forces in Chicago to shut down the Chicago Times, a leading antiwar, anti-Lincoln journal. The order provoked massive protest in Chicago, and a group of leading Illinois Democrats and Republicans together petitioned President Lincoln to order Burnside to revoke his order. Lincoln did so. However, another group of influential Republicans in Illinois protested the president's lifting the ban on the newspaper. Lincoln, in a show of political indecision, changed di- 39. Stanton to Burnside, June 1,1863, OR, ser, 2, vol. 5,723-26; Stanton to Morton, June 3, 1863, OPMTC, vol. 16, 209, Indiana State Archives. It is likely that the newspaper references supplied by Stanton to Burnside had been provided by Governor Morton. It is also clear that Morton knew that Lincoln and the cabinet disapproved of Burnside's policy of military arrests before the general learned of it. O n May 29,1863, Burnside wired Lincoln that "a messenger from Governor Morton came to me this morning in reference to the arrest by the military authori- ties of a citizen of Indiana. 1 understood from him that my action . . . was not approved by a single member of your Cabinet."See Burnside to Lincoln, May 29,1863, Letterbook z, Burnside Collection, and Morton to Burnside, May 28,1863, box 8, Burnside Papers. The Indiana citizen in question was State Senator Alexander J. Douglas, a Democratic legislator from northern Indiana, who was arrested in Ohio by military authority after making speeches denouncing General Orders No. 38. The arrest stirred considerable opposition in Indiana. Suppression of the D e m o c r a t i c Press in I n d i a n a , 1863 61 rections and on June 4 Stanton sent a message to Burnside to let the ban on publication stand if he had not already lifted it. But Burnside had acted promptly on the first order from the president and had lifted his ban. He wired to Stanton, "I am very much embarrassed and beg to ask for specific instructions in such case^."“^ Burnside's embarrassment continued when he received Stanton's letter of June 1 (sent June 3) regarding Hascall. However, he followed the secretary's suggestion. On June 5, he telegraphed the Indiana general stating that his district was reorganized to include the state ofMichigan, and that Brig. Gen. Orlando B. Willcox was relieving him of its command. "AUow me to thank you," he continued, in a personal tone unlike that he took when he dismissed Carrington only six weeks earlier, "for your hearty co-operation and very efficient service and aid in carrying out the policy adopted in this department." Hascall in reply proposed an order rescinding his General Orders No. 9 "and disavowing all right to take action on account of disloyal practices." He continued sadly, "It seems to me that after the president's action in the Chicago Times matter no other course is left us." On Willcox's arrival on June 8, Hascall turned over his command and rescinded his General Orders No. 9. Granted thirty days leave by a grateful Burnside, the general took his leave of ~ n d i a n a ~ o l i s . ~ ' General Hascall's brief tenure in Indiana resulted in more newspapers being suppressed or threatened with suppression than has previously been understood. All told, at least ten Indiana newspapers faced official military sanctions as a result of General Orders No. 9. This represents 13 percent of 40. See Tenney,"To Suppress o r Not to Suppress," 253-59. Unfortunately, since 1981, when Tenney's important article appeared, many historians have either overlooked o r ignored Lincoln's flip-flop regarding the suppression of the Chicago Times, preferring to see Lincoln acting to lift press restrictions rather than reimpose them for purposes of political expedi- ency. Historians who have omitted Tenney's analysis are, for example, David Donald, Lincoln (New York: Simon & Schuster, 1995), 21; David E. Long, TheJewel ofLiberty: Abraham Lincoln's Re-election and the End ofSlavery (Mechanicsburg, Pa.: Stackpole Press, 1994), 84-85; Marvel, Burnside, 245-46; Huntzicker, The Poptrlar Press, 127-28; John Tebbel and Sarah Miles Watts, The Press and the Presidency from George Washington to Ronald Reagan (New York: Oxford Univ. Press, 1985), 193; Michael Kent Curtis, Free Speech, "The People's Darling Privilege": Struggles for Freedom of Expression in American History (Durham, N.C.: Duke Univ. Press, zooo), 316; Mark E. Neely Jr., The Union Divided: Party Conflict i n the Civil War North (Cambridge, Mass.: Harvard Univ. Press, zooz), 98; Geoffrey R. Stone, Perilous Times: Free Speech in kvartime from the Sedition Act of1798 to the War on Terrorlsni (NexvYork: IV. W. Norton, zooq), 118. 41. Burnside to Hascall, June 5,1863, Letterbook number 2, Burnside Collection; Hascall to Burnside, June 5,1863, box 8, Burnside Papers; Indianapolis Daily State Sentinel, June 8,1863. See also Holloway to Morton, June 6,1863, original telegrams, Morton Papers, Indiana State Archives. 62 C I V I L W A R H I S T O R Y the approximately seventy-five Democratic newspapers published in Indiana in 1863.~' In addition, antiwar, anti-administration utterance by the press was markedly dampened in early May 1863, as a number of newspaper edi- tors toned down their criticisms in light of Hascall's actions against fellow Democratic newspapers and editors. However, this self-censorship appears to have lasted only briefly; the suppression of newspapers and the arrest of Democrats for various alleged offenses energized the party and its organs. It is important to note that Hascall appears to have perceived the reinvigora- tion of Democratic antiwar rhetoric and contemplated additional actions to control Democratic opposition. In his May 16 letter to Burnside, in which he reported Governor Morton's displeasure with his and Burnside's actions, he expressed his plan to renew the assertion of military authority in the state. "I have made up my mind," he wrote, "to keep things as quiet as possible till after the mass meeting here on the 20th and then take hold again."43 What I he meant by to "take hold" undoubtedly refers to resuming his systematic campaign against anti-administration utterance. Thus, Hascall contem- plated resuming his policy of arrests of editors and the suppression of their newspapers. His letter to Morton of May 26 further points to his intention to use military power to make "arbitrary arrests." For reasons unexplained, Hascall did not resume the arrests of Democratic editors after the Democratic mass meeting in Indianapolis on May 20. Re- cords do not indicate that Burnside either encouraged Hascall or suggested restraint regarding "talung hold" again. Indeed, from the Chicago Times case we know that Burnside continued to employ placing restrictions on press utterance. Other cases of plans to resort to press restrictions in his depart- ment existed as Burnside viewed military restrictions on newspaper and political speech within the purview of his responsibility to manage the U.S. Army and maintain order in his department. Shortly after the double embarrassments of having to rescind his Chicago Times order and relieving 42. It is difficult to ascertain the exact number of newspapers in circulation at the time. Copies of many titles are n o longer extant, and for many other titles complete runs of issues d o not exist. Information o n many publications must often be gleaned from surviving cop- ies of rival newspapers. For general information o n Indiana newspapers, see John W. Miller, Indiana Newspaper Bibliography (Indianapolis: Indiana Historical Society, 1982). In the figure of seventy-five Democratic newspapers published in 1863, I include eight Union Democrat or War Democrat titles. These newspapers supported the war effort. 43. Hascall to Burnside, May 16,1863, box 7, Burnside Papers. 44. See Burnside to Gen. Orlando B. Willcox, Apr. 19,1863, Burnside to Gen. Jeremiah T. Boyle, Apr. 27,1863, and Burnside to Gen. John S. Mason, May 13,1863, Letterbook number I, Burnside Collection. Suppression o f t h e Democratic Press i n Indiana, 1863 63 Hascall under pressure, Burnside vented his anger in a personal letter to a friend. The general lamented that "treason is rife in this department." Unfet- tered newspapers and public speakers surpassed secret political societies in their threat to order. "The civil law is too slow," and cannot combat these dangerous elements. "Arbitrary power" was needed to combat them. "No general," he wrote, "can be efficient without such power."45 Burnside sup- ported the use of military force to suppress what he viewed as dangerous speech. But he was frustrated by the success of Governor Morton in pres- suring the Lincoln administration to control the Army. While the issues of freedom of the press and freedom of speech resound in our thoughts, we should not understand the Hascall episode to be a victory for the proponents of free-speech rights. Concerns for unrestricted political utter- ance were far from the forefront in the minds of those who caused Hascall's (and Burnside's) policy to be overturned. Governor Morton, the chief insti- gator in removing Hascall, never complained of military restrictions on the Democratic press in his state. Rather, he consistently voiced his displeasure and concern about infringements on civil authority by military officers generally. When he discussed specific infringements, he cited military arrests of civilians in his state. In his most detailed and fullest disquisition on the topic, his letter to Lincoln of May 30, Morton noted that General Orders No. 38 violated federal law by removing the power to try persons from the federal courts and giving it to military commissions. However, he argued, if military authorities were to be given powers to arrest civilians, the decision to do so should be made by the "highest authority," that is, the president. Morton saw Burnside's policy as illegal and "highly inexpedient." Rather, he wrote, leave matters in the hands of state authorities. General Halleck's admonition to Burnside ofMay 20, a reac- tion to Morton's complaints, similarly ignored specifically addressing the issue of the suppression of the press. He simply stressed avoiding conflicts with civil authorities. Likewise, Stanton's often-quoted letter dated June I, while pointing to Hascall's indiscretions with the Democratic press, meant to illustrate the difficulties created when military officers interfered in matters best handled by state authorities. His letter was the promised result of Morton's pressure. Hascall's and Burnside's policy of suppressing anti-administration utterance received wildly popular support among Indiana Republicans, who reveled in their partisan adversaries' d i s ~ o m f o r t . ~ ~ Throughout this episode, including 45. Burnside to Jonathan Sturgis, June 7,1863, Box 8, Burnside Papers. Burnside composed two drafts of this letter, one in pencil, and the other in ink. I have quoted both versions. 46. For examples of Republican support for military action against Democratic newspapers, 64 C I V I L W A R H I S T O R Y the Chicago Times case, Lincoln and his administration showed that they were more concerned with placating an important political ally than preserving the constitutional liberties of citizens. Governor Morton clearly was the chief instigator for the removal of Gen- eral Hascall and the end of General Orders No. 9 in Indiana. Morton used his enormous influence and authority in Washington to convince national leaders to control the military authority where it infringed on his ability to manage affairs in his state. If we are to explain why Hascall did not "take hold" again of the Indiana Democratic press after the May 20 mass meet- ing, the governor must be considered the reason. Morton prevailed over i the generals. However, he did not succeed in all the conflicts he had with Burnside. Burnside continued to refuse to reinstate General Carrington as district commander in Indiana, although he allowed Carrington to return to wrap up his business there and eventually allowed him to remain in a lesser ~apacity.~' Moreover, Morton failed to keep the number of troops he desired in Indiana. Hascall and his successor, Willcox, managed to transport reinforcements to Rosecrans's and Grant's armies much to the governor's chagrin.48 Finally, while he knew he would not get Carrington back in command, Morton tried unsuccessfully to remove Willcox shortly after his arrival in Indianapolis and replace him with another general with whom he could cooperate closely. Burnside retained Willcox in Indianapolis until the beginning of the east Tennessee campaign in September 1863.49 We would be making Morton a hypocrite ifwe were to paint a portrait of him as a champion of press freedom. The governor was no paragon of civil see letter of " J . H . P . " ~ ~ New Castle Courier, May 14,1863; Lafayette Daily lournal, May 25,1863; Marshall County Republican, May 21 and June 11, 1863. Many Republican newspapers and speakers voiced similar sentiments prior to Burnside's and Hascall's appointments. See Kokomo Howard Tribune, Mar. 26,1863; Logansport Weekly Journal, Feb. 28,1863; DelphiJournal, Feb. 11, 1863; Steuben Republican, Mar. 7,1863. This evidence contradicts assertions by some historians that bipartisan consensus existed i n protest of military repression. See Donna Lee Dickerson, T h e Course of Tolerance: Freedom of the Press in Nineteenth-Century America (Westport, Conn.: Greenwood, iggo), 179, and Curtis, Free Speech, "The People's Darling Privilege," 6,316. 47. See Col. W. P. Anderson to Carrington, May 7,1863, Burnside t o Carrington, May 16, 1863, and Salmon P. Chase to Carrington, June 1,1863, all in box 1, folder 16, Carrington Papers. See also Hascall to Burnside, May 14,1863, box 7, Burnside Papers; Burnside t o Hascall, May 16,1863, Letterbook number 2, Burnside Collection. 48. See Laz Noble to Burnside, June 2,1863, Stanton to Burnside, June 7,1863, and four tele- grams of Willcox to Burnside, dated June 12,13,16, and 17,1863, all in box 8, Burnside Papers. 49. W. R. Holloway to Morton, June 18,1863, OPMTC, vol. 11, 62, Indiana State Archives. See Robert Garth Scott, ed., Forgotten Valor: The Memoirs, Journals, and Civil War Letters of Orlando B. Willcox (Kent, Ohio: Kent State Univ. Press, 1999). Suppression o f t h e D e m o c r a t i c Press in I n d i a n a , 1863 65 liberties. In the course of the Civil War, Morton advocated or affected the arrest ofDemocratic editors and public speakers, and the suppression of op- position newspapers. He did so when it suited his purposes or needs.50 In this case, Morton understood clearly that Hascall's policy of military suppression of the Democratic press in Indiana not only failed in its aim of bringing the opposition under control, but it energized the antiwar Democrats in their fight against what they considered to be government tyranny. Morton's success in ending that policy was merely a by-product of his larger power struggle with federal military authorities to control affairs in Indiana. 50. See Morton's speech of Apr. 11,1863, quoted in William M. French, Life, Speeches, State Papers andPublicServices of Governor Oliver I? Morton (Indianapolis: 1877), 362. See also W. R. Holloway to John Hanna, Aug. 15,1862, John Hanna Papers, Lilly Library, Indiana University, Bloomington. For Morton's responsibility for the arrest of Indianapolis Daily State Sentinel editor J . J. Binghani in 1864, see Klement, Dark Lanterns, 176. 
work_nimw4nzd7fd7rawvo6h2awgoxi	----	E11 BOOK REVIEW Philip Roessler. Ethnic Politics and State Power in Africa. The Logic of the Coup-Civil War Trap. Cambridge: Cambridge University Press, 2016. 389 pp. Maps. Illustrations. Notes. Bibliography. $110.00. Cloth. ISBN: 978-1107176072. Why do heads of African states often exclude leaders of other ethnic groups from political power, knowing that this strategy can lead to large-scale polit- ical violence? Philip Roessler’s Ethnic Politics and State Power in Africa answers this question and offers readers an elegant and insightful discussion of coups, civil war, and ethnic politics. Roessler’s persuasive analysis points to problems rooted in the informal institution of power-sharing. He walks readers through the dilemma faced by African executives in weak bureau- cratic states: the coup-civil war tradeoff. A leader can share governing roles with leaders from other ethnic groups, which enables him to gain access to those rivals’ political networks. Lacking formal institutions to monitor and control the population beyond the capital, this alliance provides the regime with greater societal control and state reach. However, it also opens the possibility that these rivals may accumulate enough power to remove the leader in a coup. Conversely, a leader can choose to exclude leaders of rival groups and their networks, but this strategy risks making the regime more vulnerable to the threat of insurgency. This vulnerability stems not only from the griev- ances of marginalized co-ethnics, but also from the weakened “counterin- surgency capability” of the state (55). Without brokers embedded in these excluded networks, regimes have limited information or social control to prevent insurgency in these areas. Roessler argues, “Civil wars are the man- ifestation of the political strategies rulers choose to coup-proof their regimes from rival networks of violence specialists and consolidate their hold on sovereign power” (19). The author adopts a nested research design, which combines inter- views tracing political decision-making with quantitative analysis to test the generalizability of his strategic theory of civil war. First, Roessler leverages interviews with different political actors from the Darfur region of Sudan to describe political events in the region between 1989 and 2003. He details how Omar al-Bashir and Ali Osman Taha’s fear that Hassan al-Turabi’s net- work would take over central government led to a regime split along eth- noregional lines (149). As a result, the regime lost a network of brokers © African Studies Association, 2020 E12 African Studies Review capable of thwarting violence as they had employed in the First Darfur Rebellion (146). Roessler uses this case to build his hypotheses, which describe leaders’ motivations for ethnic exclusion and the consequences of these decisions. Then he draws on the Ethnic Power Relations dataset in conjunction with original data on the ethnicity of coup conspirators to test for generalizability across thirty-five African countries. This analysis iden- tifies the outbreak of Africa’s Great War as a “typical case” of the bargaining failure between co-conspirators. Roessler conducted interviews with polit- ical elites from all relevant factions in DRC and Rwanda to test his theory against economic drivers of conflict and illustrate the mechanisms consis- tent with his argument. Roessler concludes the book by looking at variations in leaders’ treatment of the coup-civil war trap: why have some countries achieved an “ethnic peace,” while others are plagued by patterns of large-scale political vio- lence? He draws on his co-authored work with David Ohls to argue that rulers’ choices are “a function of a country’s ethnic geography and ethnic rivals’ … ability to effectively mobilize and capture the central government” in the context of political exclusion (271). He analyzes data related to the “balance of threat capabilities” and shows when capabilities of both the gov- ernment and the challengers are high, we can expect more power-sharing, lower probability of a rebellion, and a higher risk of coup (278). This book is essential reading for students of African politics and po- litical violence. It provides a cogent synthesis of the literature on civil war, coups, ethnic politics, and international relations. Throughout each step, Roessler is theoretically nuanced and transparent about his assumptions and methodologies. The book concludes by suggesting exciting avenues for future research, including the tradeoffs between intra-ethnic and inter-ethnic bargaining as well as the impact of political and technological changes on the continent and beyond on leaders’ incentives and con- straints. I am confident this book will join the political science canon for years to come. Jaimie Bleck The University of Notre Dame South Bend, Indiana doi:10.1017/asr.2019.72 jbleck@nd.edu For additional reading on this subject, the ASR recommends: Jok, Jok Madut, and Sharon Elaine Hutchinson. 1999. “Sudan’s Prolonged Second Civil War and The Militarization of Nuer and Dinka Ethnic Identities.” African Studies Review 42 (2): 125–45. doi:10.2307/525368. Whitehouse, Bruce. 2017. “Political Participation and Mobilization after Mali’s 2012 Coup.” African Studies Review 60 (1): 15–35. doi:10.1017/asr.2017.9. mailto:jbleck@nd.edu https://doi.org/10.2307/525368 https://doi.org/10.1017/asr.2017.9 
work_npovcuxprfahzdff5run57gnxu	----	Separation of Timescales for Endophilin Dimerization and Membrane Binding Wednesday, February 6, 2013 595a CORE Metadata, citation and similar papers at core.ac.uk Provided by Elsevier - Publisher Connector distribution of PICK1. To investigate whether the altered cellular distribution results directly from a change in the lipid binding capacities of the AH, we em- ploy a Single Liposome Curvature Sensing (SLiC) assay. We use quantitivative fluorescence microscopy to evaluate the binding of the phospho-mimicking mutants to nanosized liposomes in terms of MC-sensing, lipid affinity and membrane deformation. Intriguingly, we find that this single phospho-mimicking mutation in the AH is sufficient to change the lipid binding capacities of the entire protein, likely causing the altered cellular distribution of the phosphorylated protein seen in the cells. As MC-sensing has been shown to be dependent on the AH of N-BAR proteins in general, we speculate that the finding may apply generally to phospho-regulation of N-BAR proteins. 3065-Pos Board B220 Membrane Penetrating Ability of Ebola Matrix Protein, VP40 Smita P. Soni1, Emmanuel Adu-Gyamfi2, Robert V. Stahelin2,3, Christina Leblang1. 1IU- School of Medicine, South Bend, IN, USA, 2University of Notre Dame, Notre Dame, IN, USA, 3IU-School of Medicine, South Bend, IN, USA. Ebola from the filoviridae family of viruses causes severe and mostly fatal hem- orrhagic fevers in primates and has been listed as a category IV pathogen by the NIH. Viral Protein 40 (VP40), the major matrix protein of Ebola virus, regu- lates the assembly and budding of the virus and alone harbors the ability to form virus-like particles (VLPs) from human cells. We hypothesize that VP40 is a high affinity lipid binding and membrane curvature-inducing protein with specificity for plasma membrane (PM) lipids. This specificity leads to localization of VP40 to the PS-rich inner leaflet of the PM and formation of VLPs. Using fluorescence spectroscopy to investigate VP40 binding and inser- tion within lipid vesicles (POPC:POPS) containing brominated lipids. Because the fluorescence of the tryptophan is variably quenched depending on its dis- tance from the bromine atoms on the lipid acyl chain, a tryptophan introduced into the membrane binding interface was utilized as a probe to detect the depth of membrane penetration of VP40. Results were indicative of VP40’s high af- finity and specificity for PS in a PS-concentration dependent manner demon- strating the robust ability of VP40 to penetrate membranes. Further analysis of VP40 membrane insertion revealed a depth of penetration more than halfway into one monolayer of the membrane. Data also confirmed that VP40 binds with nanomolar affinity to vesicles that recapitulated the PM in comparison to the nuclear membrane. In addition VP40-mutants, which inhibit membrane binding and penetration, obstruct VLP formation and release. Cellular assays confirmed the lipid-binding specificity of VP40 in the PM of different cell lines and also demonstrated that deep membrane penetration is essential for VLP. We predict that these results will elucidate the molecular basis of VP40 induced membrane curvature changes, a prerequisite to the PM deformation required for VLP production. 3066-Pos Board B221 Spatial and Temporal Regulation of the Nedd4 Family of E3 Ubiquitin Ligases through Phospholipid Binding Jordan L. Scott1, Robert V. Stahelin2. 1University of Notre Dame, South Bend, IN, USA, 2Indiana University School of Medicine, South Bend, IN, USA. The Nedd4 family of HECT ubiquitin ligases are essential regulators of cellular polarity, ion channel activity, motility, and inflammatory signaling. HECT fam- ily Ubiquitin ligases employ a catalytic cysteine residue to target cellular sub- strates for mono or poly ubiquitination. The Nedd4 family has nine members each with an N-terminal canonical C2 domain, protein recognition WW do- mains, and a catalytic HECT domain. While several reports in the literature in- dicate which substrates these proteins target, little is known about how their cellular localization and catalytic activity are regulated by their C2 domains. These domains have previously been shown to bind phospholipids and to be re- quired for the localization of some members to the plasma membrane. In our laboratory, we employ surface plasmon resonance (SPR) technology to mea- sure the affinity of proteins for specific lipids in an in vitro environment with a lipid vesicle coated surface. Using SPR, we have investigated the specific lipid binding properties of the Nedd4 family C2 domains to vesicles of specific composition. We find that several Nedd4 family C2 domains bind to phosphoi- nositides with nanomolar affinity. In addition, we have used vesicular sedimen- tation assays and immunological lipid blots to confirm these binding results. We are employing confocal microscopy and fluorescent C2 constructs to deter- mine their cellular localization and to quantitatively determine their diffusion coefficients, oligomerization state in the cytosol and at cellular membranes. Finally, we are using both confocal microscopy and immunoblotting to deter- mine how lipid binding regulates the ubiquitination state of Nedd4 family members. 3067-Pos Board B222 Mode of Action of the Bacterial Thermosensor Desk Involved in Regulating Membrane Fluidity Joost Ballering1, Larisa E. Cybulski2, Martijn C. Koorengevel1, Martin Ulmschneider3, Diego de Mendoza2, J. Antoinette Killian1. 1 Membrane Biochemistry & Biophysics, Bijvoetcenter for Biomolecular Research, Utrecht University, Utrecht, Netherlands, 2 Instituto de Biologı́a Celular y Molecular de Rosario-CONICET, Universidad Nacional de Rosario, Rosario, Argentina, 3Institute of Structural and Molecular Biology Department of of Biological Sciences Birkbeck University of London, London, United Kingdom. The Bacillus subtilis membrane harbors the temperature sensing and signaling protein DesK. At low temperatures it triggers expression of a desaturase, which introduces double bonds into pre-existing phospholipids, thereby regulating membrane fluidity. Recently it was discovered [1] that both sensing and trans- mission of DesK, which has five transmembrane segments, can be captured into one single chimerical transmembrane segment, the so-called ‘minimal sensor’ (DesK-MS). This protein can be functionally reconstituted in lipid bilayers, thus providing an excellent model system to study the molecular details of a biologically important signaling mechanism. Here we used synthetic peptides corresponding to functional and non- functional mutants of the minimal sensor in artificial membranes of phosphati- dylcholines as convenient model systems. We studied the conformational properties, tilt, and exposure at the lipid/water interface at different bilayer thickness and upon varying temperature by using circular dichroism and fluo- rescence studies. Based on these results and on mutational studies, we propose a model for the mode of action of DesK-MS, in which an N-terminal ‘‘sunken buoy’’ motif and a C-terminal hydrophilic motif are crucial for DesK-MS func- tioning. Finally, we explored the possibility of isolating and characterizing DesK-MS in its native membrane in the form of ‘‘native nanodiscs’’ by using copolymers of styrene and maleic acid (SMA). Results of these studies will be presented. [1] Cybulski LE, Martin M, Mansilla MC, Fernandez A, de Mendoza D. Mem- brane thickness cue for cold sensing in a bacterium. Curr Biol. 2010 20(17):1539-44 3068-Pos Board B223 Separation of Timescales for Endophilin Dimerization and Membrane Binding Benjamin R. Capraro, Ken Chang, Zheng Shi, Tingting Wu, Chih-Jung Hsu, Tobias Baumgart. University of Pennsylvania, Philadelphia, PA, USA. The membrane association of endophilin is a pivotal step in clathrin-mediated endocytosis. In this process, the basis for the functional role of endophilin is believed to involve the promotion of membrane curvature, which in turn de- pends on membrane shaping by the dimeric structure of endophilin. Thus, the dynamic nature of endophilin-membrane association and dimerization are functionally important. However, little is known about the timescales and fac- tors determining the kinetics of the interactions involved. To illuminate these aspects, we study the kinetics and equilibria of endophilin N-BAR dimerization and membrane binding. We determine the dimerization equilibrium constant by using subunit exchange FRET. We characterize N-BAR membrane association, under conditions where the dimeric species predominates, by stopped-flow, ob- serving prominent electrostatic sensitivity. Our results suggest that membrane insertion of amphipathic helices rapidly follows association, in a non-rate- limiting manner. Relative to membrane binding, we find that dimerization is governed by far slower kinetics. Thus, monomer-dimer exchange does not con- tribute to the kinetic mechanism of membrane binding. These results under- score a separation of timescales for endophilin dimerization and membrane binding, which may facilitate temporal regulation of functional membrane processes. 3069-Pos Board B224 Structural Changes of Alpha 1-Antitrypsin Under Osmotic Pressure and in the Presence of Lipid Membranes Luis A. Palacio1, Christopher B. Stanley2, Andrew K. Fraser1, Merrell A. Johnson1, Horia I. Petrache1. 1 Indiana University Purdue University Indianapolis, Indianapolis, IN, USA, 2Oak Ridge National Laboratory, Oak Ridge, TN, USA. Alpha 1-Antitrypsin (A1AT) is a glycoprotein that has been shown to have pro- tective roles of lung cells against emphysema, a disease characterized by lung tissue destruction [1]. Most known glycoproteins have been shown to play a role in cellular interactions but the exact role of the glycan chains is still under investigation. Previous electrophysiological measurements show that A1AT has a strong affinity to lipid bilayers perturbing the function of ion channels https://core.ac.uk/display/81945283?utm_source=pdf&utm_medium=banner&utm_campaign=pdf-decoration-v1 Membrane Penetrating Ability of Ebola Matrix Protein, VP40 Spatial and Temporal Regulation of the Nedd4 Family of E3 Ubiquitin Ligases through Phospholipid Binding Mode of Action of the Bacterial Thermosensor Desk Involved in Regulating Membrane Fluidity Separation of Timescales for Endophilin Dimerization and Membrane Binding Structural Changes of Alpha 1-Antitrypsin Under Osmotic Pressure and in the Presence of Lipid Membranes 
work_nru53yuoazahrnug7vn66hxoti	----	272 PS • January 2017 Business ©American Political Science Association, 2017 MEMBERS OF THE MONTH ELIZABETH A. BENNION SEPTEMBER MEMBER OF THE MONTH Indiana University, South Bend SARAH E. ANDERSON OCTOBER MEMBER OF THE MONTH University of California, Santa Barbara RAMIRO BERARDO NOVEMBER MEMBER OF THE MONTH The Ohio State University “I encourage students to gain as much knowledge and as many skills as they can as students, but to remember that they have a lifetime to continue learning and growing and contributing to the field. They should not let perfectionism halt their progress.” “The most challenging part of being a political scientist is turning what students (and the person sitting next to you on the airplane) perceive as the chaos of politics into a systematic process they can under- stand.” “People should not only accept but embrace the learning potential that only failure can provide. If you are going to have a productive career, you will fail more than succeed and you should welcome that, as pain- ful as it may be sometimes.” The APSA Member of the Month program recognizes one member each month. Nominations for the award (including self-nominations) may be submitted by members and nonmembers of APSA. To submit your nomi- nation visit our member of the month page http://www.apsanet.org/motm You can read more of member’s of the month responses online at www.apsanet.org/motm. http://www.apsanet.org/motm http://www.apsanet.org/motm 
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work_ozdhqv53ezh5rihfjztkqksfdy	----	Environment and Ecology Research 5(5): 395-399, 2017 http://www.hrpub.org DOI: 10.13189/eer.2017.050509 Citizen Action for the Conservation of the Indiana Dunes National Lakeshore in Northwest Indiana Stephanie Smith*, Steve Mark Psychology Department, Indiana University Northwest, USA Copyright©2017 by authors, all rights reserved. Authors agree that this article remains permanently open access under the terms of the Creative Commons Attribution License 4.0 International License Abstract The present article discusses citizen action strategies employed to preserve the Indiana Dunes National Lakeshore in the United States. Ecological pioneers Henry Chandler Cowles and Victor Shelford deemed this region to be of scientific importance, and the region played a role in the formation of the Ecological Society of America and The Nature Conservancy. Citizen action strategies included creating grassroots nonpartisan voluntary organizations, soliciting signatures on petitions, organizing letter-writing campaigns, soliciting media coverage, legal action, and persuading politicians to support preservation efforts. The struggle between heavy industry, residents, and conservationists resulted in the eventual parceling of the Northwest Indiana shoreline between steel mills, public lands, and residential areas. In one of the longest journeys to the passage of a national park bill in the history of the United States, the Indiana Dunes National Lakeshore was established by an act of Congress in 1966. Several tracts of land have been added to it, and today the Indiana National Lakeshore consists of 15,000 non-contiguous acres along 15 miles of the south shore of Lake Michigan, with almost two million annual visitors. Keywords Indiana Dunes National Lakeshore, Citizen Action Conservation, Indiana Dunes, Citizen Driven Environmental Action, The Nature Conservancy, Ecological Society of America, Henry Chandler Cowles, Victor Shelford Photo credit: Frank Bellarmino Picture 1. Indiana Dunes National Lakeshore and Steel Mill ……Mr. Humphrey (president of National Steel) has said that he prefers jobs to picnics. We ask, why is it not possible to have jobs and picnics?...…[1] 396 Citizen Action for the Conservation of the Indiana Dunes National Lakeshore in Northwest Indiana 1. Introduction In the 1950s the south shoreline of Lake Michigan of the United States became the focal point of a dispute between the industrial and economic interests of Northwest Indiana and local residents fighting over the preservation of the natural areas of the Indiana Dunes [2]. The region in dispute was identified by members of the 1913 International Phytogeographical Excursion and University of Chicago researchers Henry Chandler Cowles and Victor Shelford to be of scientific value [3]. This region is historically significant in the formation of the Ecological Society of America and The Nature Conservancy [3]. Our article describes the strategies used by citizen action groups who fought for conservation of these habitats and ecosystems. Some of these strategies involved soliciting signatures on petitions and organizing letter writing campaigns. Others included legal action, organizing citizen action groups, and garnering the support of a U.S. Senator. This case study provides useful information for communities around the world struggling for a balance between the interests of heavy industry, residents, and conservationists. The south shore of Lake Michigan in Northwest Indiana today, more than fifty years after this dispute is a mosaic of industry, residential areas [4], and protected public lands. ArcelorMittal owns the former Bethlehem steel mill which was at the center of the dispute over protecting the natural areas of the Indiana Dunes. Currently, this mill is one of ArcelorMittal’s largest facilities in the U.S, producing almost five million tons of raw steel annually. It is the only steel-making facility in the United States that is bordered on two sides by a national park. 2. Materials and Methods The present article presents a case study of citizen action strategies to preserve the Indiana Dunes National Lakeshore in the United States spanning a time frame of decades that came to a successful resolution in the 1960s. The article presents an investigation and analysis of original published sources involving books, historical accounts, and newspaper articles, among other archival sources. 3. Results and Discussion 3.1. Proposals for a Deep-Water Port along the South Shoreline of Lake Michigan In the early 1950s, there was considerable interest in establishing a deep water port on the South Shore of Lake Michigan. The state of Indiana was the only state in the Great Lakes region that did not have a deep water public port. The site of the proposed port was an area known as Burns Ditch, a small drainage ditch built in the early 1900s between the residential communities of Ogden Dunes and Dune Acres [5]. However, this land was located in the central area of a five-mile stretch of the Indiana Dunes, one of the last remnants of sand dunes, forests, marshes, and prairie plants on the south shore of Lake Michigan. Approximately 2000 acres of the Indiana Dunes east of Burns Ditch had been protected in 1925 with the establishment of the Indiana Dunes State Park [6]. But there was no protection for the central area of the Indiana Dunes, the site of the proposed Burns Harbor Waterway. This area was deemed of scientific importance by ecological pioneers Henry Chandler Cowles and Victor Shelford [3]. Along the Indiana shoreline of Lake Michigan approximately 17 miles had already been taken over by industry in the 1950s, with only approximately 8 miles left for public use [7]. The area immediately adjacent to Burns Ditch was owned by Midwest Steel, and the site of the proposed port was a mile east on land owned by Bethlehem Steel. It was hoped that a deep water port would bring in a new era of prosperity for the region. Federal funds were sought for the deep water port, and Bethlehem Steel agreed to sell the government land for the port in the Burns Ditch area at 25% less than cost [8]. Indiana state administrators and politicians were solidly behind the establishment of a deep water port at Burns Ditch. They argued that the port was necessary to serve the steel mills planned to be built in the Burns Ditch area [9]. The proposed opening of the St. Lawrence Seaway in 1959 would bring ocean going import and export traffic to the South Shore of Lake Michigan, and promised to be a boon for Great Lakes industry. Citizen action to prevent the destruction of the critically important habitat of the sand dunes in the Burns Ditch area began when residents of Gary, East Chicago, Hammond, and other communities in Northwest Indiana instituted a letter-writing campaign against the proposed harbor. The newly formed citizen action group, the Indiana Dunes Preservation Council, favored an 8,000 acre federal recreational park to serve local residents, and visitors from all over the world. They argued that the attendance strain at the Indiana Dunes State Park could be relieved by the creation of a federal park. They also argued that there was not a necessity for a new harbor at Burns Ditch. Rather, a deep water port could be built by enlarging the existing harbors at Indiana Harbor and Michigan City. These arguments were set forth in a pamphlet developed by Indiana Dunes Preservation council members, Edward M. Kratz and O.D. Frank [10] from Ogden Dunes, and Dr. R.M. Strong from Chicago [6]. The council was supported by many local, state, and national conservation organizations [11]. In 1952, it is reported that at a meeting of the citizen action group, the Chicago Conservation Council, President Dr. R.M. Strong asked the group how best to proceed to save the Indiana Dunes. Dorothy Buell, a resident of Ogden Dunes, proposed that perhaps the women could do it. Dr. Strong asked Mrs. Buell to spearhead the effort, and after a few days Environment and Ecology Research 5(5): 395-399, 2017 397 consideration, Mrs. Buell agreed to try [5]. Hence, the citizen action group, Save the Dunes council, was born in 1952 with its’ mission to attempt to preserve the Indiana Dunes. The initial meeting of the Save the Dunes council consisted of 21 women who met at the home of Mrs. Buell in Ogden Dunes. The council expanded to include men, eventually represented every state in the U.S. [5], and proved to be instrumental in the eventual establishment of the Indiana Dunes National Lakeshore. 3.2. Ogden Dunes Residents Attempt to Limit Heavy Industry One mile to the west of Burns Ditch is Ogden Dunes, a residential community on Lake Michigan with a population in the 1950s of approximately 800 residents [12]. The residents of Ogden Dunes generated significant media coverage when they petitioned the Army Corps of Engineers to reject the Burns Ditch area as the site of the proposed deep-water port on the grounds that the port would harm the sand dunes, and adversely affect the property rights of the residents. A similar petition with more than 5,000 signatures was also presented to the Army Corps of Engineers objecting to the Burns Ditch area as the site of the proposed port. These petitions were unsuccessful, as Colonel Corey of the Army Engineers indicated that he could not take any action on the matter because the project was sanctioned by the state of Indiana [13,14]. However, the media coverage served to inform the public of the environmental consequences of the proposed port. In 1957, the residents of Ogden Dunes made a bold move in their efforts to limit the advancement of heavy industry and preserve the residential character of the community and the Indiana sand dunes. The town plan commission adopted a zoning plan that would ban steel mills in its area. The town claimed zoning authority extending to within two miles of its borders. If upheld, that would give Ogden Dunes jurisdiction over a large part of the land purchased by the steel mills. Any building of heavy industry nearby would directly affect the quality of life of the residents of Ogden Dunes with potential air pollution, water pollution, and beach erosion. Even though Bethlehem Steel had not yet announced plans to build a mill [12], when the Board Chairman was asked what the plans were for the land, he replied “It’s not for a bird sanctuary” [15]. Ogden Dunes also attempted to annex adjacent land that would bring the land under the zoning ordinances of Ogden Dunes, which prohibited heavy industry. Legal battles followed, and annexation was barred by a court order obtained by Inland Steel [16]. Ogden Dunes fought many unsuccessful lawsuits against Inland Steel, Midwest Steel, and the New York Central Railroad. Most of the local and state politicians favored heavy industry, and the establishment of a deep water port, and heavy industry had deep pockets for legal fees. Ogden Dunes also tried out of court negotiations, particularly on the issues of air and water pollution, and beach erosion. These negotiations were not successful, and Ogden Dunes conceded [17]. In 1960 the president of the Ogden Dunes board, Charles Graves, announced that Ogden Dunes would drop all lawsuits. They did not want to jeopardize future relations with the mills or risk political reprisals [18]. The picture below shows Charles Graves (right), the president of the Ogden Dunes board, shaking hands with Charles Halleck (left), the Indiana Representative that introduced the successful legislation for the establishment of the Burns Harbor Waterway. In the center is Mrs. Vohr, a resident of Ogden Dunes. Photo credit: Stephen Mark. Picture 2. Charles Halleck (left), Mrs. Vohr (center), Charles Graves (right) 3.3. The Creation of the Town of Portage Zoned for Heavy Industry The state of Indiana passed a bill that would become law on July 1, 1959 that prohibited any area from incorporating as a town if it was within four miles of a first class city, and three miles of a second class city. At that time, the city of Gary had approximately 170,000 residents and was classified as a second class city. The steel mills used this opportunity to galvanize the residents of the area just east of Gary to incorporate as a town, and do it quickly before the bill became law, or forever lose the chance to do so. The residents of the area were in favor of heavy industry, and the steel mills saw this as the golden opportunity it was to create a town that would allow them to construct the factories that were being opposed by other communities [19]. 398 Citizen Action for the Conservation of the Indiana Dunes National Lakeshore in Northwest Indiana A year and a half prior, plans were announced for the building of a 100+ million dollar steel mill on the land immediately east of Burns Ditch by Midwest Steel. This caused property values to triple among the residents in the immediate area. Figures released by the Gary Chamber of Commerce estimated that 2,000 new factory workers would result in more than seven million dollars in retail sales per year. Portage was expected to increase its population from approximately 10,000 to 300,000, and to be transformed into a heavily saturated urban area surpassing Gary in size [19]. With the impending state law set to take effect on July 1, the industries mobilized quickly. Advisors donated by the industries mapped out each step needed for incorporation of the town of Portage, inclusive of 24 square miles. They made sure that the petitions were signed, the census survey was conducted, and the boundaries defined. The lure of jobs and wealth was irresistible. The city of Portage was created on June 29, 1959, two days before the law prohibiting the incorporation was to take effect [19]. Since Portage was incorporated too late in 1959 to assess taxes for 1959 or 1960, the town operated on gifts from local industries. Midwest, Bethlehem, and Inland Steel companies, along with the New York Central, the Chicago South Shore, and South Bend railroads contributed $90,000 initially, and made significant subsequent contributions to the town of Portage. Furthermore, the industries contributed members of an industrial committee to act as advisors to help the town planning committee. The chairman of the advisory committee lived in Pennsylvania, and the vice chairman lived in Ohio. Both experienced planners flew to Portage whenever the town board requested [19]. The town of Portage never reached the population of 300,000 that was expected at the time of incorporation [19]. Its’ current population is approximately 36,000 [20]. 4. Conclusion: Burns Harbor Waterway and the Indiana Dunes National Lakeshore After decades of struggle, Federal legislation provided for the establishment of both the Burns Harbor Waterway and the Indiana Dunes National Lakeshore. The Save the Dunes council, with Mrs. Dorothy Buell at the helm played the central role in the establishment of the Indiana Dunes National Lakeshore. The Save the Dunes council collected 100,000 signatures from citizens in Illinois, Indiana, and other states in support of preserving the dunes [21,22], and engaged the support of Senator Paul Douglas, who in 1958 introduced his first bill to the U.S. Congress for the creation of a national park to save remnants of the Indiana Dunes for future generations. However, the legislation got embroiled in hearings, and Congressional subcommittees. During this time, Douglas organized several trips for members of Congress to experience the Indiana Dunes first hand [5]. But while Congress took its time deliberating about establishing a national park, industry began to demolish the Indiana Dunes. In 1962, Bethlehem Steel announced plans to remove over two and a half million cubic yards of sand to be used as fill for Northwestern University’s campus extension in Evanston, Illinois [23]. Bethlehem also announced that it would begin building a Burns Harbor plant. It then began clearing the land, and within a year much of the central dune area was demolished [24]. Senator Douglas persisted in introducing bills for the establishment of a national park until the Indiana National Lakeshore was established by Congress in 1966, thus providing federal protection to the remaining remnants of the sand dunes of Northwest Indiana [25]. In the same year, 1966, legislation approving the Burns Waterway Harbor deep water port was passed by the U.S. Congress. The Burns Harbor Waterway, built one mile east of Burns Ditch, opened in 1970 [26], allowing for shipping access to Lake Michigan. Today, the steel mills in the Burns Ditch area have changed owners, and currently employ thousands of employees. U.S. Steel now owns Midwest Steel, the mill immediately to the east of Burns Ditch [27]. The Burns Ditch waterway exists today for small boaters to utilize the entry to Lake Michigan. On one side is U.S. Steel, and on the other side is a small patch of the Indiana Dunes National Lakeshore. Burns Ditch’s position, with a steel mill on one side and federally protected public land on the other represents the compromise between the supporters of heavy industry and the preservationists of natural land [28] that determined the composition of the south shore of Lake Michigan in Northwest Indiana. The present article describes the citizen action strategies that helped preserve in perpetuity a large tract of land in Northwest Indiana over 50 years ago. These strategies continue to be relevant today (e.g., letter-writing campaigns, forming grassroots voluntary organizations, garnering support from politicians, and legal action). Advances in technology amplify connections with communities that benefit citizen action. Modern lobbying methods utilize email communications and the tremendous power of social media (e.g., Facebook, Twitter). Environment and governmental partners around the world can quickly mobilize. Land preservation issues that were once local and regional are now of national and worldwide importance. Millions of people are members of natural land and wildlife habitat preservation organizations such as The Nature Conservancy [3] and The World Wildlife Fund. Citizen action continues to be a cornerstone of the preservation of natural areas. REFERENCES [1] Buell, D. (1959). U.S. Congress, Senate, Committee on Interior and Insular Affairs, Indiana Dunes National Monument: Hearings on S.1001, 86th Congress, 1st sess., p.156. Environment and Ecology Research 5(5): 395-399, 2017 399 [2] Shepherd, S. (1959). Wealthy citizens, steel firms clash over Burns Ditch. Chicago Daily Tribune. [3] Smith, S. & Mark, S. (2009). The historical roots of The Nature Conservancy in the Northwest Indiana/Chicagoland region: From science to preservation. South Shore Journal (3) pp. 1-10. [4] Smith, S. & Mark, S. (2011). Marktown: Clayton Mark’s Planned Worker Community in Northwest Indiana. South Shore Journal (4). [5] Engel, J. R. (1983). Sacred sands: The struggle for community in the Indiana Dunes. Middletown, CT: Wesleyan University Press. [6] Dunes State Park extension plea will go to legislature. (1952). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. S1. [7] Nice, Constance. (1950). Voice of the people: Save the dunes. Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. 16. [8] Senator Capehart defends Indiana’s port plan. (1959). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. 12. [9] Scheele, H.Z. (1966). Charlie Halleck: A political biography. New York: Exposition Press. [10] Smith, S. & Mark, S. (2007). The cultural impact of a museum in a small community: The Hour Glass in Ogden Dunes. South Shore Journal (2) pp. 16-28. [11] Fight to save beach dunes from industry: Letters hit plan for harbor. (1950). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. S1. [12] U.S. requests ruling to bar steel merger: Court schedules hearings Nov. 4. (1957). Chicago Daily Tribune (1872-1922), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. C9. [13] Burns Ditch site opposed for a harbor. (1957). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. 3. [14] Dig at plans for harbor in dunes area. (1957). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. S1. [15] Ogden Dunes man speaks to save the dunes. (1957). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. A5. [16] Ogden Dunes acts to block steel plant. (1959). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. A10. [17] Ogden Dunes trades court war for talk: Midwest to start mill on schedule. (1959). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. S1. [18] Ogden Dunes board bows to industry. (1960). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. S4. [19] Kotulak, R. (1960). Courtship Tale: Blushing Portage and aggressive steel: New town planning for 300,000 residents. Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. S1. [20] U.S. Census Bureau (2010). http://quickfacts.census.gov/qfd/states/18/1861092.html. [21] Indiana dunes national park bill planned. (1958). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. B16. [22] Save the dunes petitions mount. (1958). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. 18. [23] Sand removal from Dunes is hit at hearing: Northwestern’s land fill at stake. (1962). Chicago Daily Tribune (1872-1963), ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. 12. [24] Hough. (1966). Heroine of Indiana Dunes. Chicago Sun Times. [25] Warden, P. (1966). Dunes Park passed, sent to LBJ. Chicago Tribune (1963-current file). ProQuest Historical Newspapers Chicago Tribune (1849-1986), p. 1. [26] World Port Source. (2012). http://www.worldportsource.com/USA_IN_Port_of_Indiana_ Burns_Harbor_127.php [27] About U.S. Steel (2012). http://www.uss.com/corp/company/profile/about.asp [28] Smith, S. & Mark, S. (2006). Alice Gray, Dorothy Buell, and Naomi Svihla: Preservationists of Ogden Dunes. South Shore Journal (1) pp. 15-21. 1. Introduction 2. Materials and Methods 3. Results and Discussion 4. Conclusion: Burns Harbor Waterway and the Indiana Dunes National Lakeshore REFERENCES 
work_plpxfc34xnabrg3xmdu6rkclwm	----	RAILROAD ACGIDENT INVESTIGATION Report No, 4123 CHICAGO, SOUTH SHORE AND SOUTH BEND RAILROAD SOUTH BEND, IND. APRIL 14, 1967 DEPARTMENT OF TRANSPORTATION FEDERAL RAILROAD ADMINISTRATION Washington DATE: RAILROAD: LOCATION: KIND OF ACCIDENT TRAIN INVOLVED: TRAIN NUMBER: CONSIST: ESTIMATED SPEED: OPERATION: TRACK: WEAThER: TIME: CASUALTIES'. CAUSE: Summary April 14, 1967 Chicago, South Shore and South Bend South Bend, Ind. Collisions and derailment Passenger 29 Electrically-propelled passenger unit 18 30-40 m p.h Timetable, train orders; yard- limit rules Single; tangent; level Clear 7:15 p.m. 17 injured The accident involving No 29 was caused by pressure loss in damaged pneumatic brake system after striking an object on track and subsequent hand brake failure and loss of electric power, resulting in electrically-propelled passengei unit moving out of control on descending grade until derailed. 1 DEPARTMENT OF TRANSFORATION FEDERAL RAILROAD ADMINISTRATION RAILROAD SAFETY BOARD RAILROAD ACCIDENT INVESTIGATION REPORT NO. 4123 CHICAGO, SOUTH SHORE AND SOUTH BEND RAILROAD APRIL 14, 1967 Synopsis On April 14, 1967, a Chicago, South Shore and South end Railroad passenger train struck six automobiles and erailed at South Bend, Ind Ten persons on the train and s»en occupants of the automobiles were injured. The accidents were caused by pressure loss in damaged aeumatic brake system after striking an object on track and ibsequent hand brake failure and loss of electric power, esulting in electrically-propelled passenger unit moving it of control on descending grade until derailed. Location and Method of Operation The accident occurred on that part of the railroad ex' ending between Michigan City and South Bend Terminal, Ind , •distance of 34.1 miles. In the accident area this is a ingle-track line over which trains operate by timetable, ;ain orders, and yard-limit rules. There is no block- ignal system in use. A catenary system is provided for the lectric propulsion of trains The railroad terminates at South Bend Terminal, 0 1 de east of the South Bend station. A system of five yard tracks is connected to the east end of the main ack at South Bend Terminal, as Indicated in the sketch upended to this report. From the north, the yard tracks e designated as Nos 1, 2, 3, 4 and 5 Throughout a ;nsiderable distance west and a short distance east of the 2 4123 South Bend station, the main track is laid in the center of LaSalle Street, The collisions occurred on LaSalle Street, 421, 344, 32 and 6 feet west, and 70 and 108 feet east, of the east end of the South Bend station. The derailment occurred at South Bend Terminal, at the east end of stub yard track No. 4 and 1,167 feet east of the South Bend station. Details concerning the tracks, train involved, and other factors are set forth in the appendix. Description and Discussion No. 29, an eastbound first-class passenger train con­ sisting of electrically-propelled passenger units 18, 28, 212, 11, 16, 205 and 20, in that order, left Randolph Street, Chicago, 111., at 5:18 p.m., on time. At Gary, Ind., 24.9 miles west of Michigan City, units 16, 205, and 20 were detached from the train. On arrival at Michigan City, a crew-change point for some runs, units 28, 212 and 11 were also detached from the train and the incoming crew was re­ lieved by a crew comprised of an engineer and conductor. The engineer of the incoming crew said the train brakes had been tested before leaving Chicago and had functioned properly at that time and when used en route to Michigan City. He said the air pressure regulating device of the first unit (passenger unit 18) was set for 70 pounds brake pipe pressure and 110 pounds main reservoir pressure. No. 29, consisting of passenger unit 18 only, departed from Michigan City at 6:38 p.m. Its brakes were tested before departure, and no exceptions were taken. Full details relating to the engineer's actions and observations while en route from Michigan City to South Bend could not be developed, as he was hospitalized during the investigation due to severe leg and head injuries. He stated that he could not recall any of the events occurring immediately before or after the accident According to the conductor, the train proceeded east­ ward at approximately 70 miles per hour after leaving Michigan City At Hudson Lake, 15,2 miles west of South Bend, it made an uneventful stop to discharge passengers, and the conductor noticed nothing unusual. At New Carlisle, 13 6 miles west of South Bend, the train reduced speed from about 70 miles per hour to 15 miles per hour, as required for a short speed- restriction zone, indicating its air brake system was function­ ing properly at that time. After passing New Carlisle, the train accelerated to about 70 miles per hour, its maximum authorized speed, and apparently was moving at that speed as it approached two successive curves to the left and right at Bendix, 2 3 miles west of the South Bend station Between Bendix and South Bend Terminal, the maximum authorized speed for all trains is restricted to 10 miles per hour. As No 29 neared Bendix and the speed-restriction zone, the engineer apparently moved the handle of the automatic 4123 3 .rake valve to service position, to apply the automatic lr brake and reduce speed as required, but found this action as ineffective in retarding the train He then evidently oved the handle to emergency position and found this action o be ineffective also, indicating that the air brake system ad become inoperative. Immediately afterward, from all ndications, the engineer moved the handle of the reverser o reverse position and applied power in reverse This tction was effective, according to statements of the conduc- oranda passenger, in reducing the speed to 35 or 40 miles :er hour when the train entered the first of the two curves it Bendix. The reduced speed, however, was too fast for the urves The unit swayed excessively as it proceeded through he curves, causing the pantograph to foul supporting wires £ the catenary system. As a result, the pantograph broke iff from its supports and fell to the ground alongside the rack structure at the curves, resulting in loss of power rom the catenary system to the unit, including the air com- ressor The excessive swaying action while moving through he curves also caused luggage to fall from the overhead acks in the passenger compartment, at which time the conduc- or and passengers first realized something was wrong. The conductor promptly proceeded forward to the vestibule it the front of the train and saw that the automatic brake ;alve, at the control station on the right side of the restibule, was in emergency position At this time, according o the conductor, the engineer was applying the hand brake .ocated on the left side of the vestibule, indicating the :ngineer had realized that the automatic air brake was inoperative and electrical retardation features unavailable \ passenger followed the conductor to the front vestibule ind assisted the engineer in applying the hand brake. He iaid while they were tightening the hand brake, they felt s sudden loss of tension on the brake wheel, indicating the land brake had also become inoperative and had lost its effectiveness Meanwhile, the conductor reentered the passenger compartment and warned the passengers to prepare themselves for an accident. By this time, the train had entered LaSalle Street, South Bend, and was moving at an estimated speed of 30 to 40 miles per hour on a slightly descending grade, without any braking capability While proceeding out of control in the middle of LaSalle Street, No. 29 struck six automobiles at various points letween 421 feet west and 108 feet east of the South Bend station Shortly after striking the sixth automobile, it reached the end of the main track at South Bend Terminal and entered the west end of stub yard track No 4, at which time fhe engineer either jumped or fell to the ground from the soon/ay on the left side of the front vestibule The train continued eastward on track No. 4, and struck and destroyed a pair of wheel stops attached to the rails near the stub end of that track Immediately afterward, about 7:15 p m , '''hile moving out of control at an estimated speed of 30 to 40 miles per hour, it derailed at the stub end of track No, 4. 1,167 feet east of the South Bend station After derailing, the train continued eastward across a driveway, penetrated the west wall of a building, and stopped with the front end 4 4123 inside the building and 48 feet east of the stub end of track No 4. It was heavily damaged The engineer, conductor, eight passengers, and seven occupants of the automobiles struck by the train, were injured Passenger unit 18 (train No 29) has AMU air brake equipment with a U-4 universal valve It has a M-23 brake valve and a power controller at the control station in the vestibule at each end The air brake system includes five air reservoirs suspended from the underframe of the unit They are designated as the control reservoir, supplementary reservoir; auxiliary reservoir, and main reservoirs The brake piping is so arranged that should a substantial leak occur in the air brake system at, or beyond, the branch pipe connections from the trainline brake pipe and main reservoir supply pipes to the universal valve, a loss of pressure occurs in all the air reservoirs, resulting in loss of all pneumatic braking capability Depletion of pressure in the control reservoir also results in loss of functions of the electro-pneumatic control apparatus Under such circumstances electrical retardation with the pantograph down, utilizing the traction motors to retard the speed in a manner similar to dynamic braking, cannot be effected Examination of passenger unit 18 after the derailment revealed that the bottom of the supplementary reservoir was normally about 19 inches above the tops of the rails The drain cock at the bottom of this reservoir was damaged and almost completely broken off at the %-inch connection to the reservoir. Marks appearing on the drain cock and reservoir indicated that the drain cock assembly had not been damaged as a result of the collisions and derailment, but had been damaged sometime prior thereto apparently due to contact with an object on the main track structure The almost complete rupture of the nipple section between the drain cock and reservoir was such that would cause a rapid loss of pressure in the supplementary reservoir This in turn would cause loss of pressure in the control, auxiliary and main reservoirs After the damaged drain cock assembly had been replaced and minor repairs had been made to the brake piping, the air brake system of unit 18 was tested to the fullest extent possible Because of extensive damage to brake equipment of the front truck, the brake cylinder pipe to this truck was plugged for the tests and the truck brakes were cut out The tests revealed that the air brake system functioned properly Tests were also conducted to determine what effect the broken drain cock assembly of the supplementary reservoir had on functioning of the air brake system For these tests, the air brake system was charged to 92 pounds main reservoirs pressure and 70 pounds brake pipe pressure, and the new supplementary reservoir drain cock was opened to simulate an almost complete rupture in the drain cock assembly. With the automatic brake valve in release-and-running position, the pressure in the main reservoirs and the brake pipe drop­ ped to 32 and 0 pounds, respectively, after an elapsed time 4123 5 of five minutes The brake cylinder pressure lemained at zero throughout this pet iod, indicating that a 1arge rupture in the drain cock assembly of the supplementary reservoir ,'ould not cause the air brakes to apply automatically At the end of the five-minute period, the automatic brake valve 'as moved to emergency position This resulted in 10 pounds cu.ake cylinder pressure and loss of all pressure in the main reservoirs All brake cylinder pressure was lost 45 seconds later It is evident that 10 pounds brake cylinder pressure ,'ould have little or no effect in retarding a train, partic- ularly when such pressure Is lost within a brief period The hand brake in the vestibule at the east end of passenger unit 18 is of the vertical wheel geared type. The vertical wheel is 16 inches in diameter and is mounted on a pedestal, which is attached to the cement flooring material of the vestibule To apply the hand brake, a pedal at the pedestal base is depressed Such action moves a veitical trip rod upward, causing a pawl to raise to the position where It engages the ratchet of the geared assembly The vertical wheel is then turned clockwise to wind the brake chain on the drum of the brake assembly, and to apply the brake shoes of all four wheels of one tiuck by an arrange­ ment of chains, rods, pulleys and levers beneath the floor of the unit The hand brake may be released by removing downward pressure from the pedal and counter clockwise rotation of the brake wheel The hand brake is designed to apply a force of 4,800 pounds on the brake chain Examination after the derailment disclosed that a connection link for the 3/8-inch alloy hand brake chain under the floor of unit 18 was broken Thus, the hand brake was inoperative The examination also disclosed that the base of the hand brake pedestal had settled in the vestibule flooring sufficiently to restrict downward movement of the pedal Consequently, the pawl could not be raised to proper position for engagement with the ratchet In addition, it revealed that the trip rod spring was rusty and was not properly adjusted to engage the holding pawl with the ratcheL Since the air brake system of No 29 (passenger unit 18) evidently was functioning properly when the train reduced speed to 15 miles per hour at New Carlisle, and the air brake system later became inoperative due to the supplementary reservoir drain cock having struck an object on the track, the structure of the main track between New Carlisle and South Bend was inspected to determine what caused the damage to the drain cock assembly The inspection found a piece of t,-inch steel cable several feet long on the south side of the main track near Olive, Ind , 3 2 miles east of New Carlisle and 8 1 miles west of Bendix It was looped in the middle area, and bore wheel maiks on both sides of the loop From the appearance of the marks, it was evident that the cable had been lying across both rails of the main track and that it had been run over recently The loop in the cable was °f sufficient dimension to have come in contact with the diain cock of the supplementary reservoir The investigation disclosed that the air bjake system of \'o 29 was functioning properly when speed was reduced to 15 6 4123 miles per hour at New Carlisle. The train approached Olive a few minutes later while proceeding in automatic block- signal system territory at approximately 70 miles per hour, its maximum authorized speed Apparently as it moved in the vicinity of Olive, the front truck ran over the piece of \- inch steel cable, which was lying loosely across both rails of the main track,causing the cable to twist and form an upright loop between the rails Immediately afterward, the loop struck the drain cock of the supplementary air reservoir, causing the drain cock to be knocked backward and to be almost completely torn off at its connection to the reservoir. The rupture of the drain cock assembly permitted air to escape from the supplementary reservoir, resulting in depletion of pressure in all air reservoirs of the unit. While the air pressure was being depleted, the train continued eastward at unreduced speed, apparently without the engineer noticing that the air gauge in the control compartment was indicating loss of pressure in the main reservoirs and brake pipe Six or seven minutes after running over the piece of cable, the train neared Bendix By this time, air pressure in the res­ ervoirs was depleted to the extent that the air brake system was no longer effective The engineer evidently found the air brake system to be ineffective when he manipulated the air brake valve in approach to Bendix and the 10 miles per hour speed restriction zone extending eastward He then moved the reverser to reverse position and the controller to power position No, 1 or No 2 The resultant retardation reduced the speed to between 30 and 40 miles per hour when the train entered the curves at Bendix This speed, however, was too fast for the curves and resulted in excessive swaying of the train, which caused the pantograph to foul supporting wires of the catenary system and to break off from its supports The displacement of the pantograph resulted in loss of power from the catenary system to the unit, including the air compressor, and in loss of control reservoir pressure This in turn resulted in loss of all electrical retardation capability When this occurred, the engineer evidently realized be could not stop the train by manipulation of the controls at bis control station, and he began to apply the hand brake in the front vestibule Due to the poor condition of the hand brake assembly, the engineer apparently experienced difficulty in holding the brake wheel in applied position, and received assistance from a passenger With both the engineer and the passenger turning the biake wheel, the force applied to the brake chain was sufficient to break the chain connecting link under the floor of the passenger unit, resulting in the hand brake becoming inoperative When this occurred, all braking capability of the train was lost Hence, the train continued eastward, out of control on the descending grade, resulting in the collisions and derailment On April 21, 1967, another eastbound CSS&SB passenger train, consisting of electrically-propelled unit 104, derailed at South Bend Terminal under cir cuinstances somewhat similar to those involving No 29 of April 14th As unit 104 approach­ ed the two curves at Bendix, its speed was reduced by a 4123 7 service application of the automatic brake Soon afterward, the air brake system became ineffective and the engineer further reduced the speed by reversing power to the traction motors While the train was moving slowly, the conductor tested the hand brake and found it to be operative He and the engineer then decided further movement of the unit could be safely controlled by application of the hand brake and by reversing power, after which the unit proceeded slowly eastward on the descending grade toward the South Bend station As the unit neared the station, the conductor or engineer started to apply the hand brake, but found it had become inoperative The engineer then moved the reverser to reverse position and applied power to the traction motors However, a fire immediately broke out above the rear truck and a power cable leading to the rear truck burned through, resulting in loss of retardation from this source Without effective means of retardation available, the train continued eastward out of control to South Bend Terminal, where it entered one of the yard tracks and derailed at the stub end of the track Examination of unit 104 after the accident disclosed a series of holes burned in the brake cylinder induction pipe over the rear truck With such holes in the brake cylinder pipe of the type of air brake equipment installed on unit 104, no useful pressure could be developed or retained in the brake cylinders of the front and rear trucks Thus, under these conditions, the air brake system of the unit was rendered ineffective The series of holes in the brake cylinder induction pipe were evidently caused by electric arc burns It was evident that the power cable had been in contact with the brake pipe for a sufficient period of time to chafe away enough insulation from the cable for bared wire to intermit­ tently contact the brake cylinder pipe, resulting in the electric arc which caused the holes in the brake cylinder pipe and resulting in the burned off power cable When the latter event occurred, all electric retardation capability of the unit was lost Examination of the hand brake of unit 104 disclosed that two screws holding the chain hook fixed in the hand brake assembly housing were broken, and that a portion of the brake chain was jammed in the hand brake assembly housing, thereby preventing rotation of the chain drum From all indications, after testing the hand brake near Bendix, the conductor had inadvertently rotated the brake wheel counter­ clockwise sufficiently beyond the normal full release position to shear the two screws holding the chain hook and to jam the brake chain in the brake wheel assembly Thus, the hand brake of the unit vas also rendered ineffective and there "as no means Lo stop the unit on the slightly descending grade after its air brake and control for electrical retarda­ tion features became inoperative, resulting in the derailment Findings The accident involving No 29 was caused by a combina­ tion of factors, i e , ineffec tiveness of the train air brake system due to damage sustained by the drain cock assembly of the supplementaiy air reservoir when the drain cock came in contact with the steel cable lying across the 8 4123 rails in the vicinity of Olive; ineffectiveness of the train electric control system, due to loss of control reservoir pressure, when the pantograph became displaced as a result of excessive swaying of the train while moving through curves at Bendix, and failure of the hand brake due to a broken brake chain connecting link and to inadequate maintenance of the hand brake equipment A contributing factor was the arrange­ ment of the brake piping in such manner that should a substan­ tial leak occur in the train air brake system at, or beyond, the branch pipe connections from the trainline brake pipe and main reservoir supply pipes to the universal valve, loss of pressure occurs in all the air reservoirs to the extent that all pneumatic braking capability becomes lost. Had the hand brake been properly maintained and had the control reservoir been protected against loss of pressure in the air brake and main reservoirs systems, the accident probably would have been averted. The accident involving unit 104 on April 21st was also caused by a combination of factors, i e inadequate main­ tenance of the hand brake equipment, and damage to the brake cylinder piping due to inadequate inspection and improper maintenance of power cable connections between the underframe and trucks RECOMMENDATIONS MADE AND CORRECTIVE ACTION TAKEN During this investigation, the factors contributing to the accident were reviewed with carrier management and certain recommendations to preclude repetition were made by the Bureau of Railroad Safety. Immediately thereafter the carrier took action to - 1 Insure that hand brake equipment on its electrically- propelled passenger units is adequately maintained 2. Operate its trains with consists of no less than two cars, as a measure to provide the safety of an effective train brake in the event of failure of braking equipment of a single unit 3 Investigate measures for modification of the air brake and main reservoir piping arrangement on its electrically-propelled passenger units in such manner that should any loss of air pressure occur because of pipe breakage or other failure in the air brake system, sufficient pressure will be retained in the control reservoir for adequate utilization of electrical retar­ dation features of the equipment 4. Investigate possible installation of a single-unit emergency brake arrangement, separate from the schedule air brake equipment and so located that it will not be susceptible to physical damage, which will make available pneumatic braking adequate to stop an electrically-propelled unit in the event of loss of main reservoir pressure or damage to individ­ ual brake cylinders of related piping on either truck 4123 9 Cause The accident involving No 29 was caused by pressure loss in damaged pneumatic brake system after striking an jbject on track and subsequent hand brake failure and loss af electric power, resulting in electrically-propelled passenger unit moving out of control on descending grade until derailed Dated at Washington, D C., this 7th day of December 1967 By the Federal Railroad Administration, Railroad Safety Board Bette E, Holt Acting Executive Secretary 'SEAL) 10 4123 Appendix The main track Is tangent between points 1 9 miles west and 500 feet east of the South Bend station Eastward from the latter point there are, successively, an 18°00' curve to the left 185 feet and a tangent 108 feet to the switch connecting the east end of the main track to the west end of the system of stub yard tracks at South Bend Terminal From Bendix to South Bend Terminal, the average grade is 0 25 percent descending eastward Train Involved No. 29 consisted of electrically-propelled passenger unit 18, which was built in August 1927 This unit is 77 feet 6 inches long over buffers, weighs approximately 120,000 pounds, and is of all-steel construction except the roof, which is wooden and is covered with treated canvas It has a single passenger compartment with seats for 80 persons It is equipped with two 4-wheel trucks spaced 55 feet 6 inches between truck centers Each truck has 36-inch wheels, roller bearings, two brake cylinders, and two cast iron brake shoes for each wheel Two pantographs for collecting current from the cantenary system are mounted on the roof at the front and rear ends of the unit One pantograph was in use as the unit proceeded en route from Michigan City to South Bend. A vestibule is at each end of the unit and an engineer's control station is in each vestibule Other Factors The accident involving No 29 occurred about 7:15 p m., in clear weather The maximum authorized speed for passenger trains in the territory involved is 79 miles per hour, but is restricted to 10 miles per hour between Bendix and South Bend Terminal According to their daily time returns, the conductor and engineer of No. 29 had been continuously on duty 6 hours 41 minutes at the time of the accident, after having been off duty 8 hours. Tracks X South Bend Tero., Ind. (Point of derailment) D.l ai, • South Bend Sta 2.3 fflt ' Bendix 11.3 ft • "leu Carlisle 1.6 ai ' I&idaon la kg 18,8 ml, i Michigan City 31,0 nt (Bandolph St ) ' Chicago. Ill o Paint* Hhtre sutaaobile* vets atruck. Chicago, South Shoes and South Bend Ball! South Bend, lad. April 1*1, 1967 
work_qdbrmw23fvhnvjyewkpcit4tuy	----	A Systematic Study of Phase Changes Induced by Trans-Membrane Peptide Gramicidin-A in Multi-Component Lipid Membranes Sunday, February 16, 2014 91a 483-Pos Board B238 Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X- Ray Scattering, Neutron Scattering, CD Spectroscopy and MD Simula- tions Kiyotaka Akabori1, Bradley W. Treece1, Michael S. Jablin1, John F. Nagle1, Brian Maranville2, Kun Huang3, Angel E. Garcia3, Stephanie Tristram- Nagle1. 1 Biological Physics Group, Physics Dept., Carnegie Mellon University, Pittsburgh, PA, USA, 2NIST Center for Neutron Research, Gaithersburg, MD, USA, 3Department of Physics and Astronomy, Rensselaer Polytechnic Institute, Troy, NY, USA. In an effort to understand membrane translocation of a cell-penetrating peptide, interactions of HIV-1 Tat peptide (GRKKRRQRRRPPQ) with DOPC, DOPC/ DOPE, DOPC/DOPS, and nuclear membrane mimics were investigated using low- and wide-angle x-ray scattering (LAXS and WAXS), neutron scattering, and circular dichroism (CD) spectroscopy. The diffuse scattering analysis applied to LAXS collected at CHESS revealed that Tat-membrane interactions reduce the membrane thickness by ~1 Å. In DOPC and DOPC/DOPE mem- branes, the position of Tat was found to transition from the vicinity of the glycerol-carbonyl headgroup to the phosphate headgroup as Tat mole fraction was increased from 0.009 to 0.06. The area per lipid for DOPC and DOPC/ DOPE membranes increased by ~2 Å2 at the highest Tat mole fraction. The membrane bending modulus was found to decrease by roughly a factor of 2 at the highest Tat mole fraction except for the nuclear mimic. The chain- orientational order parameter, Sxray, calculated from WAXS and corrected for mosaic spread, showed Tat slightly disordered chains. Neutron scattering collected at NIST from fully hydrated samples consisting of DOPC:DOPE (3:1) membranes and Tat at 0.06 mole fraction showed a prominent, broad peak corresponding to a Tat-membrane correlation of ~100 Å. The secondary structure of Tat calculated from CD spectra using DichroWEB was found to be the same in pure water as in lipid thin films and primarily consisted of b-sheet and random coil with small helical content. Our findings are consistent with the results from MD simulations by Herce and Garcia, which suggested that Tat in- teracts with phosphate headgroups across the bilayer, facilitating the formation of pores. The ensemble of configurations obtained from a new MD simulation allows visualization of Tat/membrane interactions. Funded by GM44976, GM86801, DMR-0936384(CHESS), and DOE(NIST). 484-Pos Board B239 A Systematic Study of Phase Changes Induced by Trans-Membrane Pep- tide Gramicidin-A in Multi-Component Lipid Membranes Ebrahim Hassan-Zadeh, Juyang Huang. Physics, Texas Tech University, Lubbock, TX, USA. What are the effects of proteins on lipid membrane domains? In order to answer this question, we systematically investigated the phase changes induced by trans-membrane peptide gramicidin-A in 16:0-18:2PC(PLPC)/ di18:0PC(DSPC)/cholesterol and 16:0-18:2PC/di16:0PC(DPPC)/cholesterol lipid bilayers. Quaternary giant unilamellar vesicles (GUV) were prepared us- ing our recently developed Damp-Film method. The phase boundaries of liquid-ordered and liquid-disordered (LoþLd) coexisting region as well as the critical points were determined using video fluorescence microscopy. Within the phase coexisting regions, thermodynamic tie-lines were determined using a fluorescence assay. Our results show that adding 1 mol% of gramicidin produces significant and complex phase changes to the lipid bilayers: at some lipid compositions, gramicidin can induce lipid domains; at others, gramicidin completely abolish the phase separation; even if the phase separation is pre- served, gramicidin significantly alters the lipid compositions of membrane do- mains and tie-lines. In the biological relevant critical region, these changes could be quite dramatic. We also measured gramicidin-A partition coefficients between coexisting LoþLd lipid phases. Away from the critical point, the co- efficient is close to 2, indicating that gramicidin slightly prefers the disordered Ld lipid domains with smaller bilayer thickness. However, the partition coeffi- cient continuously changes with lipid composition. Near the critical point, the partition coefficient approaches to the theoretical value of 1. 485-Pos Board B240 Physical Properties of Model Membranes Containing Pope and Phytos- terol Ya-Wei Hsueh, Yen-Chun Chen. Dept. of Physics, National Central University, Jung-li, Taiwan. We have studied the effect of phytosterol on the physical properties of 1-palmi- toyl-2-oleoyl-sn-glycero-3-phosphoethanolamine (POPE) multilamellar vesi- cles using deuterium nuclear magnetic resonance ( 2 H NMR). The sn-1 chain of POPE is deuterium labeled. The NMR spectra were taken as a function of temperature and phytosterol concentration. The order of POPE-d31 mem- branes, measured through the spectral first moment, is almost not affected by the addition of phytosterol in the gel phase, while it increases with phytosterol concentration in the liquid-crystalline phase. A significant difference in the ability of phytosterol to disorder the gel-phase and to order the liquid-phase POPE membranes is observed. This finding differs from those observed in POPE/chol and other lipid/sterol systems. Furthermore, the temperature- composition phase diagram will be discussed. 486-Pos Board B241 Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Edwin Li, Christopher Moll, Bernadette Eichman, Jessica King. Biology, Saint Joseph’s University, Philadelphia, PA, USA. Overexpression of the membrane protein mucin 1 (MUC1) has been linked to 75% of all human solid tumor cancers, including 90% of breast carcinomas. In cancer cells, MUC1-MUC1 homodimerization has been associated with cell migration and adhesion. Furthermore, this interaction is necessary for forming complexes with growth factor receptors and targeting to the nucleus, where MUC1 can interact with effector proteins regulating gene expression. Thus, un- derstanding how MUC1 forms homodimers is essential for developing novel therapeutic strategies to block its oncogenic effects. A recent study has shown that the membrane proximal CQC motif promotes dimerization under oxidizing conditions, suggesting that the motif may act as a redox switch in response to changes of cytosolic oxidant levels. Aside from these few studies focusing on the CQC motif, very little is known regarding the mechanism of MUC1 homo- dimerization. Currently, we are using the ToxR and AraTM assays to investi- gate if the transmembrane domain, without the cytosolic CQC motif, is able to dimerize by itself. We are also measuring if the dimerization propensity of the TMD changes with the membrane proximal CQC motif. The two assays allow us to compare the dimerization propensity when the CQC motif is in reducing and oxidizing environments. 487-Pos Board B242 Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Katherine E. Ward1, James P. Ropa1, Robert V. Stahelin1,2. 1Chemistry and Biochemistry, University of Notre Dame, South Bend, IN, USA, 2Biochemistry and Molecular Biology, Indiana University School of Medicine-South Bend, South Bend, IN, USA. Lipid membranes play a critical role in cellular signaling through selective protein-lipid interactions. The membrane composition of organelles often drives specific proteins to localize in cells. Lipid binding proteins, including those harboring BAR and ENTH domains, have been shown to shape biological membranes into vesicles necessary to transport cargo across the membrane. Recently, we observed that the calcium-dependent enzyme cytosolic phospho- lipase A2 (cPLA2), bends model membranes through its N-terminal C2 domain, which is dependent upon its membrane penetration (Ward et al. JLR, 2012). Thus, in addition to its role in generating arachidonic acid from membrane phospholipids, this enzyme may have a role in regulating membrane curvature changes. This hypothesis is supported by roles for cPLA2 described in the liter- ature including intra-Golgi trafficking, Golgi tubulation, Golgi vesiculation and Fc-receptor-mediated phagocytosis. We found that membrane bending by cPLA2 translated into A549 and HeLa cells, supporting the physiological rele- vance of our earlier findings. Thus, we sought to characterize the molecular forces driving cPLA2-dependent membrane bending in vitro and in cells. Using a variety of mCherry and mEGFP protein chimeras, we investigated the hy- pothesis that cPLA2 oligomerizes on membranes with a series of correlation spectroscopy experiments. These results show that cPLA2 forms large protein oligomers on cytoplasmic vesicles using number and brightness analysis and with an in vitro crosslinking assay. Taken together, using a variety of biophys- ical methods, we have consistently found cPLA2 to oligomerize through its C2 domain in vitro and in cells. 488-Pos Board B243 Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein- Sucrose Mixtures Zachariah I. Strango, Caleb W. Reese, Christopher J. Ver Hoef, Paul E. Harper. Department of Physics and Astronomy, Calvin College, Grand Rapids, MI, USA. Sugars play key roles in the biology, yet much remains unknown about their interactions with lipids. In particular, we examine the effect of different con- centrations of sucrose-water solutions on the cubic - inverted hexagonal transi- tion in monoolein. Using DSC (differential scanning calorimetry), we ramp the temperature up and down through the transition and measure the ramp-rate Hiv-1 Tat Membrane Translocation Probed by Low- and Wide-Angle X-Ray Scattering, Neutron Scattering, CD Spectroscopy and MD ... A Systematic Study of Phase Changes Induced by Trans-Membrane Peptide Gramicidin-A in Multi-Component Lipid Membranes Physical Properties of Model Membranes Containing Pope and Phytosterol Measuring the Dimerization Propensities of Mucin1 Transmembrane and Juxtamembrane Domains Characterizing the Curve: A Mechanistic Study of CPLA2-Mediated Membrane Bending Cubic - Inverted Hexagonal Phase Transition Kinetics in Monoolein-Sucrose Mixtures 
work_qi7anpaddzd3fp2l67gwttrsfa	----	meet a memberJOthemagazine Lynne Robinson Ryan Roeder Helps Build a Beacon of Hope The west side neighborhood streets of South Bend, Indiana, whisper a sadly familiar story. Industries that fueled the once bustling, vibrant community changed and moved on, leaving the most vulnerable residents behind to struggle with the poverty and void. A symbolic manifestation of this decline, to many who lived there, was the closing of the Beacon Bowl. In its heyday, the Beacon Bowl’s 54 bowling lanes, numerous party rooms, and ample meeting space served as the west side’s epicenter for family gatherings and community celebrations. Like the neighborhood it served, the facility eventually fell into disrepair until it was That is where Ryan Roeder and, as he describes, “a small group of folks who were passionate about the west side of Ryan Roeder (center) has been engaged in nearly every aspect of bringing the Beacon back to life in the west side of South Bend. “I’ve certainly been involved in big decisions and planning, but I’ve also been involved in demolition, plumbing, and playing games with kids,” he said. South Bend, because, it seemed, no one else was passionate or optimistic about it,” enter the story—and changed the course of it, just a little bit. Roeder is an associate professor at the University of Notre Dame, Department of Aerospace and Mechanical Engineering, Bioengineering Graduate Program, with research interests broadly spanning biomaterials. He is also an extremely active TMS member, earning such distinctions Award for his leadership and service. (“I have been invested in the growth of programming activities in TMS for years,” he notes.) And, he is a devoted husband and father of two small children. In the slivers of free time that he has available, Roeder serves the west side community of South Bend as a leader and volunteer with independent congregation with a mission “to bring hope to the community.” It was his work with the Riverside church that caused Roeder’s path to intersect with the exploration of a permanent home for the Riverside congregation—which had been meeting in rented space for some time— and the Beacon had made it to the church’s reduced asking price, however, it “was still far more than we could reasonably afford,” said Roeder. A week after Roeder and other leaders in the church decided to pass on with the congregation contacted them and offered to purchase the Beacon for them. “Since the building was a gift, we felt a strong sense that it wasn’t really ours,” said Roeder. “We wanted to make it available to the community again.” in bringing the Beacon back was to be patient so that the project could be Reclaiming the Beacon was no easy task, with volunteers, including Roeder and Notre Dame students (above), logging countless hours in demolition and renovation. JOM, Vol. 68, No. 4, 2016 DOI: 10.1007/s11837-016-1875-4 Ó 2016 The Minerals, Metals & Materials Society 1048 meet a member 1049 Once a community landmark, the Beacon Bowl had been gutted of the bowling lanes that had made it famous and stood empty for years. (Bottom photo): The Beacon Community Resource Center officially opened in the fall of 2015, offering community organizations a home base for providing services to the surrounding neighborhood. (Top photo): Programs include youth boxing lessons and mentoring offered by the local police. developed responsibly and sustainably. “Instead of taking out a loan to cover nearly a half million dollars in renovation costs, of the cost of renovation,” said Roeder. “As a result, the Beacon is truly a partnership. from local foundations, businesses, non- organization, guided by an advisory team representing local schools, community organizations, and residents to ensure that local stakeholders have input. Roeder has been vice president of the Beacon board of directors since its inception. Once the funding was secured, a small army of volunteers launched the daunting process of transforming the dilapidated bowling alley into useable community space. Roeder recalled recruiting a team of Notre Dame students and members of slated for renovation. “We converted an he said. “Meaningful relationships and years of accumulated grease, discovering an abandoned raccoon’s nest (and the elements within it) above the ceiling tiles, and applying all of our knowledge of fracture mechanics to remove aged, but incredibly feet of multi-use space had been reclaimed from the ruins of the Beacon Bowl, and dozen partnering organizations now call the Beacon their home, offering resources, friendship, and hope to the surrounding neighborhood. Members of the local police force, for instance, teach young people boxing and mentor life skills as an alternative to spending time on the streets. A roller derby league provides women with both an athletic and community service outlet. A literacy program helps low-income exams. And, community residents with and support through a faith-based service organization. As for the Riverside meets at the Beacon every Sunday morning, right next to the boxing ring. Roeder says that while much of the Beacon still needs to be remodeled, the most important building projects in the coming years are those focused on strengthening relationships with the community. “We’re looking forward to cementing a number of new and growing partnerships with community organizations,” he said. “Ultimately, we want to see transformation in the lives of people living on the west side of South Bend.” thick of that transformation, whether contributing to decisions on the Beacon one of the bowling alley’s old bathrooms. “I’ve had people ask how I could possibly have time to be involved in projects like this with the demands of my profession,” he said. “My realization has been that it has provided a corrective balance (maybe even an antidote) to the pursuit of self- interests (maybe even narcissism), which is possible (maybe even likely) in any professional career.” Meet a member Ryan Roeder Helps Build a Beacon of Hope 
work_rbeauqejkfcn3ajn5mpgvhzjuq	----	Inconsistent screening for lead endangers vulnerable children: policy lessons from South Bend and Saint Joseph County, Indiana, USA Vol.:(0123456789) J Public Health Pol (2019) 40:103–113 https://doi.org/10.1057/s41271-018-0155-7 ORIGINAL ARTICLE Inconsistent screening for lead endangers vulnerable children: policy lessons from South Bend and Saint Joseph County, Indiana, USA Heidi Beidinger‑Burnett1 · Lacey Ahern1 · Michelle Ngai1 · Gabriel Filippelli2 · Matthew Sisk3 Published online: 17 December 2018 © The Author(s) 2018 Abstract Lead exposure is a major health hazard affecting children and their growth and is a concern in many urban areas around the world. One such city in the United States (US), South Bend Indiana, gained attention for its high levels of lead in blood and relatively low testing rates for children. We assessed current lead screening practices in South Bend and the surrounding St. Joseph County (SJC). The 2005–2015 lead screening data included 18,526 unique children. Lead screening rates ranged from 4.7 to 16.7%. More than 75% of children had ‘elevated blood lead levels’ (EBLL) ≥ 1 micrograms per deciliter (µg/Dl) and 9.7% had an EBLL ≥ 5 μg/ dL. Over 65% of the census tracts in SJC had mean EBLL  ≥  5  μg/dL, suggesting widespread risk. Inconsistent lead screening rates, coupled with environmental and societal risk factors, put children in SJC at greater risk for harmful lead exposure than children living in states with provisions for universal screening. Indiana and * Heidi Beidinger-Burnett hbeiding@nd.edu Lacey Ahern Lhaussam@nd.edu Michelle Ngai Michelle.Ngai.2@nd.edu Gabriel Filippelli gfilippe@iupui.edu Matthew Sisk Lhaussam@nd.edu 1 Eck Institute, Flanner Hall 920, Notre Dame, USA 2 Department of Earth Sciences, Indiana University-Purdue University Indianapolis, 402 North Blackford, Indianapolis, IN 46202, USA 3 Center for Digital Scholarship, University of Notre Dame, 250G Hesburgh Library, Notre Dame, IN 46556, USA http://crossmark.crossref.org/dialog/?doi=10.1057/s41271-018-0155-7&domain=pdf 104 H. Beidinger-Burnett et al. other states should adhere to the US Centers for Disease Control’s guideline and use universal lead testing to protect vulnerable populations. Keywords Lead poisoning · Testing rate · Universal lead testing Introduction Beginning in the early 1900s, manufacturers incorporated lead into a host of prod- ucts, mostly lead-based paint and leaded gasoline; global contamination of air, water, and soil resulted [1]. Global production of lead, largely for lead-acid batteries, has increased substantially since the 1970s, even as lead was largely phased out of paint and gasoline [1]. Lead poisoning is estimated to kill on the order of 500,000 people per year globally, with 82% of deaths due to lead occurring in low and mid- dle income countries [2]. The primary source of lead exposure in low and middle income countries differs from the United States (US), with the former dominated by battery manufacturing and recycling and the latter by the legacy impacts of lead-based paint and fuel that resulted in concentration of lead in surface soils [3]. Globally, young children living in proximity to areas with high environmental lead contamination are at greatest risk of lead poisoning that can cause detrimental life-long neurological and physiological damage [4, 5]. Lead can permanently decrease IQ, academic achievement, and eco- nomic achievement [6–9]. Further, studies have shown a strong association between childhood lead poisoning and criminal arrests [10, 11], as well as other non-cogni- tive health issues [12, 13]. After decades of progress decreasing lead hazards, the US continues to battle the environmental legacy of leaded paint and gasoline. The US Centers for Disease Con- trol (CDC) reports there are at least 4 million households in the US with high levels of environmental lead in which children reside. They further estimate that 500,000 children ages 1–5 have elevated blood lead levels (EBLLs) above 5  micrograms per deciliter (µg/dL), the threshold set by the CDC to initiate case management [6]. US state laws governing lead testing of children vary greatly and are implemented inconsistently, resulting in abysmal testing rates. In the US, only 10 states and the District of Columbia require universal testing and 8 states require targeted testing [14]. Targeted testing refers to the criteria established to identify children who are at-risk of lead poisoning. The remaining 32 states only have screening recommenda- tions and no formal policy [14]. The State of Indiana has no formal policy for blood lead screening levels in chil- dren and the overall lead screening rate in Indiana for all children 0–6  years was only 10% [15]. The US federal government finances a medical services program, called Medicaid, for some low income children. As part of its services, Medicaid requires children enrolled in the program receive lead testing in accordance with CDC guidelines [16]. In 2012, 60% of all children in Indiana between 0 and 6 years of age were Medicaid-eligible, of whom only 28.7% were tested [17]. 105Inconsistent screening for lead endangers vulnerable children:… A national survey of the number of children tested and the rates of EBLLs in chil- dren at the census tract or county level highlighted the failure of the current strategy for identifying and protecting children from the harm of lead exposure [18]. The survey report pointed to a short list of nine “troubled communities”—those with high percentages of children with elevated lead levels—scattered around the US. Although large municipalities appeared on this list, so did several smaller communi- ties with little support for public health surveillance, such as the small post-indus- trial/university city of South Bend, Indiana. Up to 31% of children under the age of 7 tested by public and private health providers in South Bend had unsafe levels, the highest in the State of Indiana [18]. We aimed to develop an epidemiologic profile of lead testing. We designed our study to describe and analyze the demographics and spatial distribution of children under 5  years of age (0–4.99  years of age) with elevated lead levels in St. Joseph County (SJC), Indiana. This includes South Bend. We chose under 5 years of age to be more consistent with CDC screening guidelines, in contrast to Reuters [19] who used the state-reported values from 2005 to 2015 for children under 7 years of age. We also examined whether blood lead testing rates and trends adequately captured those children at highest risk for EBLLs. Methods The SJC Health Department maintains a lead database containing the results of every blood lead test conducted, along with associated patient information. The information captured includes, but is not limited to: demographics, pregnancy sta- tus, Medicaid status, blood lead level, reason for testing, and physician and labo- ratory names. For this cross-sectional study, we extracted data between 2005 and 2015 and de-identified individuals to ensure confidentiality and compliance with HIPAA regulations. HIPAA is the Health Insurance Portability and Accountability Act of 1996; US legislation that provides data privacy and security provisions for safeguarding medical information. As part of de-identification, we aggregated at the census tract level the locations of individual residential addresses. We extracted tract boundaries for this, and all other spatial analyses, from US Census Bureau TIGER/ Line dataset [20]. After applying exclusion criteria (explained below), 22,629 lead tests represented 18,526 unique children under 5. Because the data did not allow for appropriate dif- ferentiation between confirmatory and routine screening, we included the first lead test for each unique child only. We are aware that this is slightly different from the conventional method using the highest venous or lowest capillary test. We chose this method to draw attention to cases without adequate follow-up. Statistically, the con- ventional aggregation method changes the mean values slightly, but does not impact the patterns discussed below. The exclusion criteria included: (1) duplicate records, 106 H. Beidinger-Burnett et al. (2) records noting the same unique identifier, date of birth, and specimen date report- ing different blood lead levels, (3) records with the same unique identifier, but different date of birth, (4) individuals ≥5 years of age on the date of initial lead test, and (5) records where the residential address could not be allocated to a specific census tract. We extracted additional data pertaining to population size, poverty level, and housing age from the American Community Survey (ACS) 5-year estimates at the census tract level in SJC, Indiana. We performed descriptive analyses for patient demographics and Medicaid status, stratified by blood lead level outcomes. We calculated the annual lead testing rate of children under 5 at between 2009 and 2015 for several census tracts (ACS yearly estimates began in 2009). We generated maps to determine the spatial distribution of EBLLs, in addition to indicators such as median housing age and poverty rates. We evaluated the correlation between socioeconomic risk factors and EBLLs with Spearman’s rank correlation coefficient. We conducted all analyses in R version 3.4.1 and ESRI ArcGIS 10.5. Results Over the 10-year period (2005–2015), health providers performed 22,629 blood lead tests for children under 5  years of age. This led to identification of 18,526 unique individuals (Table  1). Of the 18,526 unique individuals, 75.5% (14,000) had an EBLL ≥ 1 µg/dL. Both sexes are roughly equally represented in the testing with 49.2 and 50.1% females and males, respectively (Table  1). The distribution of EBLL among sexes was similar, with a slight increase among males for EBLL 5–9 and ≥ 10 µg/dL. The racial composition of the tested individuals consists of 43.3% white, 19.4% black, and fewer than 1% for other subgroups, including Asian/Pacific, American Indian, and multiracial. With respect to ethnicity, a greater proportion of non-Hispanic indi- viduals had been tested, compared to Hispanics. The racial and ethnic composition is based on a person’s self-identification with a racial/social group as defined by the US Census Bureau. EBLLs are linked to Medicaid status (Table  1). Medicaid status is a proxy for low socio-economic status because Medicaid serves children who are from families with low income and fewer assets. For children who receive Medicaid, 93.7% had an EBLL 1 μg/dL or higher, and for those who were non-Medicaid recipients (usu- ally higher income), 73.9% had an EBLL ≥ 1 µg/dL (p < 0.0001). Additionally, the proportion of Medicaid recipients increases with each incremental rise in blood lead level. For example, while 5.8% of Medicaid recipients had a BLL of 0 μg/dl, 26.3% were between 1 and 4 μg/dL, 35.2% were between 5 and 9 μg/dL, and 53.7% were 10 μg/dL or higher. 107Inconsistent screening for lead endangers vulnerable children:… Due to poor data collection and/or reporting, a significant proportion of the data contained an empty field or was documented as “unknown”. For race and ethnicity data, 30.3 and 53.2% of the children, respectively, were recorded as unknown. Simi- larly, 39.4% of the Medicaid status data of the children was recorded as “unknown”. Over the 10-year period, lead testing of children was inconsistent (Fig.  1). In 2011, the number peaked at 2995 children were tested, representing a testing rate of 16.4%. This peak in testing coincided with a US Housing and Urban Development Grant awarded to the South Bend Housing Authority for lead screening. The trend, however, steadily declined and in 2015, health care providers tested only 828 chil- dren, representing a testing rate of 4.7%. The rate of children identified with EBLL greater than or equal to 5  μg/dL has significantly decreased from 178.23 per 1000 in 2007 to approximately 60.0 per 1000 during 2010–2015 (Fig.  1). When disaggregated by EBLL, the rate of chil- dren with EBLL 5–9 μg/dL has declined substantially, plateauing from 2010–2015 at approximately 50 per 1000, while the rate of EBLL  ≥  10  μg/dL has remained relatively constant, averaging 18 per 1000. Table 1 Demographics of children under 5 years of age stratified by elevated blood lead level (EBLL) in St. Joseph County, IN; analysis conducted 2017–2018 Total EBLL 0 μg/dL EBLL 1–4 μg/ dL EBLL 5–9 μg/ dL EBLL ≥ 10 μg/ dL Children under 5 100% (18,526) 24.4% (4526) 65.9% (12,201) 8.0% (1484) 1.7% (315) Sex  Female 49.2% (9122) 50.2% (2271) 49.3% (6014) 47.0% (697) 44.4% (140)  Male 50.1% (9272) 49.3% (2233) 50.1% (6114) 51.0% (757) 53.3% (168)  Unknown 0.7% (132) 0.5% (22) 0.6% (73) 2.0% (30) 2.2% (7) Race  American Indian 0.1% (19) 0.1% (4) 0.1% (10) 0.3% (4) 0.3% (1)  Asian/Pacific 0.6% (120) 1.0% (45) 0.6% (71) 0.1% (2) 0.6% (2)  Black 19.4% (3590) 14.1% (640) 20.3% (2480) 25.7% (382) 27.9% (88)  White 43.3% (8013) 45.4% (2053) 43.3% (5279) 38.7% (574) 34.0% (107)  Multiracial 0.5% (89) 0.4% (16) 0.5% (65) 0.5% (8) 0.0% (0)  Other 5.9% (1088) 10.3% (468) 4.7% (575) 2.8% (42) 1.0% (3)  Unknown 30.3% (5607) 28.7% (1300) 30.5% (3721) 31.8% (472) 36.2% (114) Ethnicity  Hispanic 15.9% (2945) 11.8% (534) 16.2% (1981) 23.8% (353) 24.4% (77)  Non-Hispanic 30.9% (5728) 25.4% (1150) 32.6% (3981) 30.1% (447) 47.6% (150)  Unknown 53.2% (9853) 62.8% (2842) 51.1% (6239) 46.1% (684) 27.9% (88) Medicaid status  Yes 22.5% (4165) 5.8% (265) 26.3% (3209) 35.2% (523) 53.7% (169)  No 38.1% (7054) 38.4% (1737) 38.0% (4642) 39.7% (489) 27.3% (86)  Unknown 39.4% (7307) 55.8% (2525) 35.7% (4350) 25.1% (372) 19.0% (60) 108 H. Beidinger-Burnett et al. In general, during the period 2005–2015, 9.7% of children tested had a reported EBLL of 5  μg/dL or greater. Individuals with an EBLL  ≥  5  μg/dL appear to be more centrally located in South Bend within SJC and more densely concentrated within nine census tracts, specifically 4, 5, 6, 7, 19, 21, 22, 27, and 30 (Fig. 2a). Census tracts 6 and 19 had the highest rates of EBLL  ≥  5  μg/dL at 36.4 and 30.0%, respectively. Both tend to contain (1) a higher proportion of households living in poverty and (2) homes constructed before 1940. Both housing age and poverty were associated with an EBLL with a Spearman’s correlation of 0.57 and 0.58 (p  <  0.0001), respectively. The strength of these relationships is indicative of multiple factors affecting EBLLs rather than attributing the results to a single variable. Disconcertingly, there appear to be low testing rates in these high-risk areas, and more specifically, in census tracts with a higher percentage of impover- ished households. In 2015, between 45 and 60% of individuals in census tract 19 resided in poverty, but only 5.9% of children under 5 were reported to have been tested for lead levels (Fig. 2b). We examined this lack of testing further using a 7-year time-series analysis. We observed low and inconsistent testing rates in several census tracts (Table 2). Census tract 19 appears to have the lowest testing rate, with an average of 5.5% over the 7-year period. Testing in census tract 27 has been inconsistent, with rates ranging between 9.9 and 67.2%. Census tract 6 requires special attention; this area has one of the lowest lead testing rates (7.3%) yet contains the highest pro- portion of children with EBLLs (36.4%). Fig. 1 Lead testing for children under the age of 5 in St. Joseph County, IN. The number of children tested has been inconsistent over the 10-year span, potentially due to gain and loss of monetary incen- tives to the county health department. The rate of elevated blood level (EBLL) 5–9  μg/dL steadily declined while rate of EBLL  ≥  10  μg/dL has remained relatively constant. Analysis conducted 2017– 2018 109Inconsistent screening for lead endangers vulnerable children:… Discussion Blood lead testing rates varied substantially among census tracts and over time in SJC, and without any evident strategy to protect children at greatest risk of EBLL. On average, only 10% of children under 5 had been tested for lead during Fig. 2 Spatial map of a central location in St. Joseph County. a Depicts a cluster of census tracts that have a relatively high percentage of children with an EBLL  ≥  5  μg/dL for 2005–2015. Census tracts 6 and 19 (shown in red) are considered “hot spots”, with over 30% of tested children having an EBLL ≥ 5 μg/dL. b The color represents percentage of individuals living in poverty within that census tract; the color deepens with increasing percentage. The superimposed numbers dictate the correspond- ing lead testing rate within that census tract for 2015. Analysis conducted 2017–2018 Table 2 Lead testing rates between 2009 and 2015 in children under 5 years of age in St. Joseph County, IN Analysis conducted 2017–2018 Census tracts Years 2009 2010 2011 2012 2013 2014 2015 4 6.9 8.0 22.1 15.8 16.3 7.6 4.9 5 11.9 21.1 35.4 27.3 24.5 17.2 20.8 6 5.6 13.9 43.2 44.1 18.5 16.4 7.3 7 2.2 8.1 22.9 24.4 21.0 13.0 6.1 19 3.2 4.0 4.3 5.2 7.7 8.5 5.9 21 16.4 23.6 29.7 37.3 38.0 20.0 48.7 22 16.3 21.9 38.2 27.6 33.5 17.1 13.3 27 9.9 18.0 67.2 42.5 39.1 11.8 13.3 30 7.2 9.3 16.4 16.8 11.8 21.9 3.6 110 H. Beidinger-Burnett et al. 2005–2015 and no census tract reached close to the 100% recommended by the US CDC. Of the 75 census tracts in SJC, 49 (65%) had an EBLL greater than or equal to 5  μg/dL, suggesting that risk exists beyond the center city of South Bend. Such low and inconsistent testing make it difficult to draw any conclusion about the scope of the EBLL problem among children in SJC. This, in turn, makes it difficult for public health officials to allocate resources properly and protect children from lead poisoning. This study shows the importance of describing the environmental and societal risk factors associated with EBLL. Housing age and poverty are correlated with an EBLL, placing children at greater risk of lead poisoning. Homes constructed prior to 1950 were painted with lead-based paint, exposing children to chips of paint and leaded dust. Poverty is likely correlated with the state of disrepair of older homes and the inability to remediate lead hazards. The spatial analysis shows that older homes and poverty are concentrated in the inner city of South Bend, exemplifying the negative impact a child’s address can have on his or her health. Spatial analysis can aid in the identification of high-risk populations, promoting a more cost-effec- tive method for resource allocation and targeted testing. Public health implications Even after decades of research and legislation to remove lead from paint and gas, globally the incidence of lead poisoning remains high in urban areas. Children of color in low income households who inhabit the polluted centers of our older cit- ies without the benefits of adequate nutrition, education, and health care remain at particular risk [21]. To create lead-safe environments and to provide environmen- tal justice for urban dwellers, newer approaches are needed to assess current lead exposure mechanisms and to understand fully the health implications of chronic lead exposure. There are significant economic and societal costs associated with lead poison- ing—and with lack of action to test children, remediate housing, and treat those poi- soned. At the time the poisoned child enters school, he or she may not be capable of performing well without extra educational support (‘special education services’ required by law in the US), resulting in increased costs and resources. A child who drops out of secondary school is likely to see a significant decrease in lifetime earn- ings, and that decreases tax revenues and increases social service costs. Prevention of lead poisoning is cost-effective and necessary to avoid the life-long effects and costs. Based upon 2015 data, there were 17,617 children under 5 living in SJC. A cost–benefit analysis was conducted to quantify the economic benefit of lead exposure prevention and the investment needed to conduct lead screening [22]. Given that the cost of a blood lead test ranges from $10 to $75, the cost of screen- ing 17,617 children in SJC would cost between $176,170 and $1,321,275 [22]. This initial investment of $10–$75 would be paid for by public (Medicaid) and private health insurance. Our cost–benefit analysis estimates that an investment of $10–$75 in lead screening would yield a return of $17–$221 in decreased health care costs, lifetime earnings, and direct costs of criminal activity [22, 23]. Thus, SJC could 111Inconsistent screening for lead endangers vulnerable children:… expect a return of $2,900,489–$99,399,375. Those returns would be distributed across various entities. The health care system (public and private) would achieve cost savings because early detection of a lead poisoned child would lower life-time health care costs. Schools would serve fewer children with developmental disabili- ties resulting in a cost savings. Ultimately, children would experience the greatest benefit, resulting in greater student achievement and increased lifetime earnings. This study has demonstrated a lack of coherent laws governing lead testing and case management that has led to haphazard and inequitable strategies in Indiana. The result is that children are at undue risk for developing long-term problems. While Indiana does not have formal policy governing lead testing, states such as Maryland, Iowa, and Vermont benefit from laws on universal lead testing for chil- dren and have achieved significant decreases in lead poisoning rates [14]. Since 1994, Maryland has accomplished a 98% decrease in childhood lead poisoning, as a result of the implementation and enforcement of Maryland’s 1994 Reduction of Lead Risk in Housing Act [24]. In Indiana, ‘case management’ remains inconsistent, with state law requiring case management for EBLLs  ≥  10  μg/dL and the Indiana State Department of Health recommending the initiation of case management for EBLLs ≥ 5 µg/dL [15]. Case management includes a nutritional and developmental milestones assessment, an environmental assessment to identify the sources of lead exposure, and follow-up testing to monitor lead levels [25]. We recommend a state- wide policy in Indiana that adopts the US CDC’s guideline to require universal lead testing and implement case management at 5 µg/dL or higher. The World Health Organization (WHO) also recognizes that there is a lack of guidelines and regulations for lead prevention and management globally. Currently, the WHO is developing a set of guidelines to provide evidence-based strategies for policy makers and health providers [26]. Recognition of the adverse effects from lead exposure has received international attention and, as early as 1989, prompted its inclusion in conventions, such as the Convention on the Rights of the Child. While many countries have actively engaged in efforts against lead poisoning, especially through the enforcement of bans on leaded gasoline and paint, other countries have yet to adopt these measures. A sig- nificant reduction in blood lead levels in children is a direct result of these restric- tions. Vigilance in recognizing, reducing, and possibly eliminating other key sources of lead, such as lead-acid batteries, is essential in the continued efforts moving for- ward. To address lead as a global health issue, concurrent action will be needed: sur- veillance and testing, enacting policy to reduce lead poisoning, coupled with strong and consistent implementation. Mindful of WHO’s objectives and with success seen in other US states, there is no safe level of lead; policy makers must act to protect our children and prevent lead poisoning. Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 Inter- national License (http://creat iveco mmons .org/licen ses/by/4.0/), which permits unrestricted use, distribu- tion, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made. http://creativecommons.org/licenses/by/4.0/ 112 H. Beidinger-Burnett et al. References 1. Landrigan PJ, and 46 others. The Lancet Commission on Pollution and Health. Lancet. 2018;391:407–8. 2. GBD 2015. Risk Factors Collaborators. Global, regional, and national comparative risk assess- ment of 79 behavioural, environmental and occupational, and metabolic risks or clusters 64 of risks, 1990–2015: a systematic analysis for the Global Burden of Disease. Lancet. 2016;388:1659–724. 3. Filippelli GM, Taylor MP. Addressing pollution-related global environmental health burdens. Geo- Health. 2018;2(1):2–5. 4. Bellinger D. Very low lead exposures and children’s neurodevelopment. Curr Opin Pediatr. 2008;2:172–7. 5. Clune ALFH, Riederer AM. Mapping global environmental lead poisoning in children. J Health Pollut. 2011;1:16–25. 6. Lead. Center for Disease Control; 2018. cdc.gov. https ://www.cdc.gov/nceh/lead/. Accessed 10 May 2018. 7. Bellinger D. Childhood lead exposure and adult outcomes. JAMA. 2017;12:1219–20. 8. Binns HJ, Campbell C, Brown MJ. Interpreting and managing blood lead levels of less than 10 μg/ dL in children and reducing childhood exposure to lead: recommendations of the Centers for Dis- ease Control and Prevention Advisory Committee on Childhood Lead Poisoning Prevention. J Pedi- atr. 2007;5:e1285–98. 9. Tarrago O, Brown MJ, ATSDR. Case studies in environmental medicine: lead toxicity. Center for Disease Control; 2017. https ://www.atsdr .cdc.gov/csem/lead/docs/CSEM-Lead_toxic ity_508.pdf. Accessed 3 Sep 2017. 10. Mielke H, Zahran S. The urban rise and fall of air lead (Pb) and the latent surge and retreat of soci- etal violence. Environ Int. 2012;43:48–55. 11. Needleman H, McFarland C, Fienberg S, Tobin M. Bone lead levels in adjudicated delinquents: a case control study. Neurotoxicol Teratol. 2002;6:711–7. 12. Obeng-Gyasi E, Armijos R, Weigel A, Filippelli G, Sayegh M. Cardiovascular-related outcomes in U.S. adults exposed to lead. Int J Environ Res Public Health. 2018;4:759–75. 13. Obeng-Gyasi E, Armijos R, Weigel A, Filippelli G, Sayegh M. Hepatobiliary-related outcomes in US adults exposed to lead. Environments. 2018;4:46–63. 14. Dickman J. Children at risk: gaps in state lead screening policies. Safer Chemicals, Healthy Fami- lies; 2017. https ://safer chemi cals.org/child ren-at-risk/. Accessed 1 Sep 2017. 15. Childhood lead surveillance report: environmental public health led and healthy homes program. Indiana State Department of Health; 2017. https ://www.in.gov/isdh/files /lead%20rep ort%20201 6-new.pdf. Accessed 10 Sep 2017. 16. Coverage of blood lead testing for children enrolled in Medicaid and the children’s health insur- ance program. Centers for Medicaid and Medicare Services; 2016. https ://www.medic aid.gov/feder al-polic y-guida nce/downl oads/cib11 3016.pdf Accessed 15 Jan 2017. 17. Lead screening requirements and medical management recommendations: for children ages 6 to 84  months. Indiana State Department of Health; 2013. https ://www.in.gov/isdh/files /Case_Manag ement _Chart _Rev_H_-_2013.pdf. Accessed 10 Sep 2017. 18. Pell M, Schneyer J. Unsafe at Any Level: the thousand of U.S. locales with lead poisoning is worse than in Flint. Reuters Investigates; 2016. http://www.reute rs.com/inves tigat es/speci al-repor t/usa- lead-testi ng/. Accessed 10 Sep 2017. 19. Filippelli GM, Laidlaw MAS. The Elephant in the Playground: confronting lead-contaminated soils as an important source of lead burdens to urban populations. Perspect Biol Med. 2010;53:31–45. 20. Geography. US Census Bureau; 2017. https ://www.censu s.gov/geo/maps-data/data/tiger -line.html. Accessed Dec 2017. 21. Kemper AR, Bordley WC, Downs SM. Cost-effectiveness analysis of lead poisoning screening strat- egies following the 1997 guidelines of the Centers for Disease Control and Prevention. Arch Pediatr Adolesc Med. 1998;152:1202–8. 22. Gould E. Childhood lead poisoning: conservative estimates of the social and economic benefits of lead hazard control. Environ Health Perspect. 2009;7:1162–7. 23. McKinney J. Lead poisoning in Maryland drops to lowest recorded levels, testing increases in first year of state initiative. Maryland Government: Department of the Environment; 2017. http://news. https://www.cdc.gov/nceh/lead/ https://www.atsdr.cdc.gov/csem/lead/docs/CSEM-Lead_toxicity_508.pdf https://saferchemicals.org/children-at-risk/ https://www.in.gov/isdh/files/lead%20report%202016-new.pdf https://www.in.gov/isdh/files/lead%20report%202016-new.pdf https://www.medicaid.gov/federal-policy-guidance/downloads/cib113016.pdf https://www.medicaid.gov/federal-policy-guidance/downloads/cib113016.pdf https://www.in.gov/isdh/files/Case_Management_Chart_Rev_H_-_2013.pdf https://www.in.gov/isdh/files/Case_Management_Chart_Rev_H_-_2013.pdf http://www.reuters.com/investigates/special-report/usa-lead-testing/ http://www.reuters.com/investigates/special-report/usa-lead-testing/ https://www.census.gov/geo/maps-data/data/tiger-line.html http://news.maryland.gov/mde/2017/10/25/lead-poisoning-in-maryland-drops-to-lowest-recorded-levels-testing-increases-in-first-year-of-state-initiative/ 113Inconsistent screening for lead endangers vulnerable children:… maryl and.gov/mde/2017/10/25/lead-poiso ning-in-maryl and-drops -to-lowes t-recor ded-level s-testi ng-incre ases-in-first -year-of-state -initi ative /. Accessed 10 May 2018. 24. WHO. Lead poisoning and health. World Health Organization; 2018. http://www.who.int/news- room/fact-sheet s/detai l/lead-poiso ning-and-healt h. Accessed 7 Sep 2018. 25. Centers for Disease Control. Recommended actions based on blood lead level. 2018. https ://www. cdc.gov/nceh/lead/acclp p/actio ns_blls.html. Accessed 7 Nov 2018. 26. WHO. Lead Poisoning Prevention Week: ban lead paint. World Health Organization; 2016. http:// www.euro.who.int/en/healt h-topic s/envir onmen t-and-healt h/pages /news/news/2016/10/lead-poiso ning-preve ntion -week-ban-lead-paint . Accessed 7 Sep 2018. Heidi Beidinger‑Burnett Ph.D. is Assistant Professional Specialist (Faculty) in the Eck Institute for Global redesign, curriculum evaluation, and development. I have spent my career focused on public health and public education. Currently, I am engaged in community-based participatory research focused on lead prevention, HIV and infant mortality. My current projects are focused on the development of a low-cost, scalable home lead test kit and the barriers and facilitators of mental health care for persons liv- ing with HIV. In addition to my research, I teach scientific writing, qualitative research methods and lead- ership. Prior to my appointment at Notre Dame, I worked as a Consultant in K-12 Education for nearly 10 years. I developed expertise in leadership, school redesign, curriculum evaluation, and development. Lacey Ahern BS, MPH, is Program Director at Global Partners in Care, Notre Dame, Indiana, an organization that works to enhance access to palliative care globally and an Adjunct Assistant Professor in the Eck Institute for Global Health at the University of Notre Dame, Notre Dame, Indiana, USA. She works on community-based health interventions, palliative care access, use of mhealth technologies, and maternal and child health services—particularly looking at quality of care and infant mortality and peri- natal surveillance. She has spent the past 15 years engaged in international health and development work, including time living and working in East Africa with the United Nations Population Fund, the Congre- gation of Holy Cross, Uganda Martyrs University, the Palliative Care Association of Uganda, and other local organizations. She holds a Master of Public Health Degree in Global Health from the Rollins School of Public Health at Emory University. Michelle Ngai works with students in the Master of Science in Global Health Program at the Eck Insti- tute for Global Health at the University of Notre Dame. In this role, she is training students to join the global health sector by instructing them to critically evaluate issues impacting the health of the world’s population, and promoting cross-disciplinary and cross-cultural dialogue. Originally from Canada, Michelle is a Graduate of McGill University, with a Bachelor of Science Degree in Physiology and Inter- national Development. She also completed a Master of Public Health Degree at Imperial College London, followed by a Ph.D. at the University of Notre Dame. Gabriel Filippelli BS, Ph.D. is Professor, Department of Earth Sciences, Indiana University Purdue University, Indiana, USA. I have worked extensively on the chemistry and geologic history of nutrient cycling in the ocean and on land. Current research projects involve determining the controls on nutrient cycling on land during glaciation, examining the timing and driving forces of biological productivity in the ocean, assessing the content and distribution of the potentially harmful element mercury in coal resources of Indiana and examining the links between lead distribution and children’s blood lead levels in urban areas. Matthew Sisk is a Spatial Data Specialist and Geographic Information Systems Librarian based in Notre Dame’s Navari Family Center for Digital Scholarship. His research focuses on human–environment interactions, the spatial scale environmental toxins and community-based research. He received his BS from the University of South Carolina in Marine Science and Anthropology and his MA and Ph.D. in Archaeology from Stony Brook University. http://news.maryland.gov/mde/2017/10/25/lead-poisoning-in-maryland-drops-to-lowest-recorded-levels-testing-increases-in-first-year-of-state-initiative/ http://news.maryland.gov/mde/2017/10/25/lead-poisoning-in-maryland-drops-to-lowest-recorded-levels-testing-increases-in-first-year-of-state-initiative/ http://www.who.int/news-room/fact-sheets/detail/lead-poisoning-and-health http://www.who.int/news-room/fact-sheets/detail/lead-poisoning-and-health https://www.cdc.gov/nceh/lead/acclpp/actions_blls.html https://www.cdc.gov/nceh/lead/acclpp/actions_blls.html http://www.euro.who.int/en/health-topics/environment-and-health/pages/news/news/2016/10/lead-poisoning-prevention-week-ban-lead-paint http://www.euro.who.int/en/health-topics/environment-and-health/pages/news/news/2016/10/lead-poisoning-prevention-week-ban-lead-paint http://www.euro.who.int/en/health-topics/environment-and-health/pages/news/news/2016/10/lead-poisoning-prevention-week-ban-lead-paint Inconsistent screening for lead endangers vulnerable children: policy lessons from South Bend and Saint Joseph County, Indiana, USA Abstract Introduction Methods Results Discussion Public health implications References 
work_rtk73kxm5rbv3aftiheu4loid4	----	PowerPoint Presentation Mutations affecting segment number and polarity in Drosophila Christiane Nüsslein-Volhard and Eric Wieschaus Nature (1980) Christiane Nüsslein-Volhard • Born October 20, 1942 in Magdeburg Germany • Bachelors in Biology, Chemistry and Physics from Johann-Wolfgang-Goethe-University in 1964. Degree in biochemistry (1968) and a PhD in biology and genetics in 1973 from Eberhard-Karl University in Tubingen • Post-doc in Basel and Freiburg • Became a group leader at the European Molecular Biology Laboratory (Heidelberg, Germany) in 1978 • Moved to the Max Planck Institute in 1981, and became director of genetics from 1985- 2014 Eric Wieschaus • Born June 8, 1947 in South Bend, Indiana • B.S. in Biology from Notre Dame (1969) and PhD in Biology from Yale (1974) while studying maternal effect genes • Post-doc under Rolf Nöthiger in Zurich studying segmentation development in flies • Met Nüsslein-Volhard while in Zurich • Moved with Nüsslein-Volhard to EMBL to collaborate in 1978 • After publication, moved to a faculty position at Princeton in 1981 where he remains today Genes already known to affect fly development Genes affecting late development Early antero-posterior signaling ? Saturation Mutagenesis Wieschaus Nobel Lecture (1995) Saturation Mutagenesis Wieschaus Nobel Lecture (1995) Lohs-Schardin et al. Devl. Biol. 1979 Defining Segments in Drosophila Anterior Posterior Head Thorax Abdomen 12 total segments Polarity Increasing complexity beyond AP: Gap Genes • Loss of function of gap genes results in deletions of entire, adjacent segments • Krüppel (Kr) results in lack of thorax and anterior abdomen • Knirps (kni) results in the loss of the anterior abdomen • Hunchback results in the loss of meso- and metathoracic segments Hunchback: Thoracic identity Note normal development of the abdominal sections Krüppel: Thoracic and anterior abdominal identity Arrows indicate a reversal in polarity Knirps: Anterior abdomen determination What does the expression of gap genes look like in the developing embryo? Gilbert (2003) • Hunchback defines thorax • Kruppel defines thorax and anterior abdomen • Knirps defines anterior abdomen Defining Segments in Drosophila Anterior Posterior Head Thorax Abdomen 12 total segments Increasing complexity to 12 segments: Pair-rule genes • Engrailed was provided by Thomas Kornberg at UCSF • Even-skipped • Odd-skipped • Paired • Runt • Barrel Even-Skipped: Defining the T1, T3, A2, A4, A6, A8 Defines the denticle band and naked cuticle of even numbered segments Odd-skipped: the determination of the rest of the segments Connecting the spaces between segments: Paired and runt Overlaps in determination of segments: Segments of the fly are not isolated units Connecting the spaces between segments: Paired and runt What does the expression of pair- rule genes look like? Defining Segments in Drosophila Anterior Posterior Head Thorax Abdomen 12 total segments Polarity Defining segment polarity • Gooseberry • Hedgehog • Patch • Wingless was provided by Gary Struhl at Columbia University Segment Polarity Genes: Gooseberry Segment number is retained, but there is a loss of naked cuticle and a duplication of denticle band Hedgehog: very similar to gooseberry Almost a complete loss of segment identity Patch: duplication of number of segments What is the pattern of segment polarity genes? Wingless (green) and Engrailed (red) Segment polarity genes In Summary, this is a lot of work for one table Drosophila embryogenesis 
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work_t3nq4vill5gd7hzyfo2zpj46bu	----	PII: 0004-6981(71)90144-2 Atmospheric En~~ro~e~r Per@mon Press 1971. Vol. 5, pp. 413-422. Printed in Great Britain. DIURNAL VARIATIONS OF AEROSOL TRACE ELEMENT CONCENTRATIONS AS DETERMINED BY NONDESTRUCTIVE NEUTRON ACTIVATION ANALYSIS K. A. RAHX, R. DAMS,* J. A. ROBBIX and J. W. WINCHESTERS Dept. of Xfeteorology and Oceanography and Great Lakes Research Division, University of Michigan, Ann Arbor, Michigan 48104, U.S.A. (First received 27 April 1970 and in find form 13 August 1970) Abstract-Diurnal concentration variations of 20 trace elements in surface air have been studied over a 34-h period in a rural area. Twenty-five millimetre polystyrene air filter samples were taken each 90 min and analyzed by nondestructive neutron activation analysis using Ge(Li) gamma-spectrometry and computer assisted data handling. Basic diurnal patterns are related to meterological variables but variations from element to element are ascribed to differences in particle size distributions as determined by an Andersen Cascade Impactor. The behavior and particle size distribution of some elements suggested local sources. INTRODUCTION A STUDY of the diurnal concentration variations of atmospheric trace elements has recently been begun, as part of a larger study of their general atmospheric behavior. Previous investigations of daily patterns of pollution concentrations have been both theoretical (HEWSON, 1960; U.S. DEPARTMENT OF HEALTH, EDUCATION AND WELF~~RE, 1965) and empirical (COMMINS~ 1967; MUNN, 1959; SU;MMERS, 1966; WEISMAIU’, 1969; U.S. PUBLIC HEALTH SERVICE, 1968) where in the latter cases soihng index, smoke, sulfur dioxide, nitrogen oxides and total particulate have served as indicators. To our knowledge, however, daily variations of individual trace elements have not yet been reported. Previous studies have all been in urban areas, whereas a rural setting was chosen for this investigation in an attempt to minimize the effects of source processes and urban micrometeorology relative to the mesometeorology. This study was made possible by the recent development by the authors of a technique for nondestructive neutron activation analysis of aerosols collected on a high purity filter (DAMS, 1970) in which up to 33 elements may be determined from 24 hour samples, many of which are recognized as being of pollution origin. Diurnal studies require sample lengths as short as possible, and the extreme sensitivity of neutron activation allows the determination of at least 15 elements in samples collected for as short a time as 90 min. In an effort to better correlate time variation patterns from element to element, particle size distributions were measured concurrently. SAMPLING Sequential 90 min filter samples were taken throughout the period, using a poly- styrene material (DAMS, 1971) which combines good filtering performance with reasonably high purity. A high flow rate per unit surface area was achieved through the combination of a high vacuum pump (Gelman twin cylinder) and 25 mm dia. filter holders. Such a system produces flow rates through the poIystyrene of 12 *Present address: Institute for Nuclear Sciences, University of Ghent, Ghent, Belgium. tPresent address: Dept. of Oceanography, Florida State University, Tallahassee, Florida 32306, U.S.A. 413 414 K. A. RAHN, R. DAMS, J. A. ROBBISS and J. W. WISCHESTER 04 06 08 IO I.2 14 16 I8 20 22 24 02 04 06 08 IO I2 14 16 18 203’ HOUR (EST) AUG. 21.1969 AUG. 22, 1969 FIG. 1. Relative humidity, temperature and dewpoint during sampling. I L2 -w 6- E: : g F 06 08 IO 12 14 16 I8 20 22 24 02 04 06 06 IO 12 14 16 I8 20 HOURKST) AUG. 21, 1969 AUG. 22, 1969 FIG. 2. Wind speed and direction during sampling. I-min-‘-cm-‘, as opposed to the figure of 4.5 I-min-‘-cm-’ obtained with a high volume sampler (20 x 2.5 cm titer and low vacuum pump). Each sample consisted of aerosols from approximately 4 m3 of air. Particle size distribution of the elements were determined by use of an Andersen Cascade Impactor, which separates aerosols into 7 fractions ranging from radii of roughly 8 pm down to 0.1 pm. High purity polyethylene sheets were used as impaction surfaces and analyzed in the same manner as the titers. A backup polystyrene filter (25 mm dia.) was used to catch the smaller particles. Because of the low flow rate of Diurnal VariationS of Aerosol Trace Element Concentrarions 415 this instrument (28 l-min”“) only one size distribution sample was taken throughout the experiment. All samples were taken in a ventilated instrument shelter 1.5 m above ground, over short grass. Sampling was performed in a rural area 5 km west of Niles, LMichigan and 15 km north of South Bend, Indiana. It is approximately 45 km east of Lake Michigan and 100 km northeast of the heavily industrialized Northwest Indiana area. Samples were taken during 34 h on 21 and 22 August, 1969, when the entire north central and northeastern U.S. was under the influence of a broad Canadian high pressure area. Winds during this period varied from calm at night to 6.5 m s-r during the after- noon, and the extreme stability of the air mass prevented any clouds from forming. Light ground fog was observed during the early morning hours of the second day. FIGLT~~E~ I and 2 give some of the meteorological conditions recorded at ESSA WBAS South Bend, Indiana. FKXJF~ES 3 and 4 show surface weather conditions for 7 AM EST on both sampling days. ANALYSXS The technique as described earlier (Dx~s, 1970) was applied. The complete filter (25 mm dia.} or the complete polyethylene sheet was irradiated twice with slow neutrons in the Ford Nuclear Reactor at the University of Michigan, first for 5 min, later for 4 h. Each sample was counted 4 times, at 3 and I5 min after the first irradia- tion, and 20 h and 20 days after the second irradiation. Counting was performed with a 30 cm3 Ge(Li) high resolution gamma ray detector coupled to a 4096 channel pulse height analyzer. A digital computer program was used to integrate photopeaks of the sample, compare them with standard spectra, subtract blank values, calculate con- centrations of the elements in air and standard deviations on the obtained results. IO00 Gross Particulate - Niies,Mic~.(Rural~ August 1969 %3451145 1445 1745 2045 2345 0245 0545 0645 1145 1445 1745 TIME FIG. 5, Concentration variations of 6 elements during sampling. K. A. RAHS, R. DAMS, J. A, Roesr;is and J. W. WISCKESTER Diurnal Variations of Aerosol Trace Element Concentrations 417 G+ -- T A B L E 2 . I’ A R T IC L E S IZ E ~ IS T R IR U T IO N S O F 18 ~ L ~ M ~ ~ ~ S -C O N C ~ N ~ A T IO N ~ IN n g fl l- ’ S ta ge -A n n d er se n B a ck u p - -~ -- -. -- _ - .. -- -- .- -- _. -- - - E le m en t fi lt er 7 6 5 4 3 2 I ~ ._ -I _ .~ . A l V :; N a K W I M n ‘l’ i S n i E l1 L a C c S C Z n C O C r G il 1 0 0 (l 0 ) 0 .7 5 (0 .0 7 ) 6 X 6 ) 4 6 (f ) 3 8 (4 ) i 80 9 .0 (0 .9 ) 1 4 (7 ) - - .- < 0 .5 0 .0 2 (0 .0 1 ) 2 6 (S ) 0 .0 8 (0 .0 8 ) 2 (J ) - 2 5 (2 .5 ) 0 .1 1 (0 .0 3 ) 6 .4 (0 .6 ) < If ‘f. l( I. 6 ) 2 2 (2 ) 3 7 (3 5 ) 5 .8 (0 .6 ) a ’.& 1 S (O .O O l5 ) 0 .0 0 1 (0 .0 0 l) 0 .0 1 (0 .0 1 ) < 0 .5 0 .0 1 (0 .0 1 ) f m l 0 .0 6 (0 .0 6 ) 2 .3 (0 .8 ) O .O S (O .0 5 ) 7 1 (7 ) 0 .0 7 7 (0 .0 3 3 ) 2 .3 cO .5 ) < I O 1 4 w 1 3 (1 .5 ) 3 5 (3 3 ) 3 .5 (0 .3 ) < 6 0 .0 0 2 (0 .0 0 1 ) 0 .o oo 8 (0 .0 0 0 8 ) 0 .0 1 (0 .0 1 ) < 0 .5 0 .0 1 (0 .0 1 ) f 0 1 2 ) 0 .0 6 (0 .0 6 ) 3 .1 (0 .8 ) 0 .0 4 (0 .0 4 ) 1 0 6 (1 0 ) 0 .1 6 (0 .0 4 ) 4 .3 (0 .6 ) 4 10 2 0 (2 .5 ) 2 4 c2 .5 ) 4 2 (3 0 ) 2 .3 (0 .2 ) < 8 0 .0 1 (0 .0 0 2 ) 0 .0 0 3 5 (0 .0 0 l) 0 .0 5 (0 .0 3 ) < 0 .5 0 .0 6 (0 .0 2 ) 7 .5 (2 ) < 0 .0 8 1 .2 (0 .6 ) 0 .0 5 (0 .0 4 ) 4 0 5 (4 0 ) 0 .3 8 (0 .0 7 ) 5 .2 (0 .6 ) 1 4 (4 ) 1 8 (2 .5 ) 3 9 (4 ) 1 2 0 (4 0 ) 2 .7 (0 .3 ) 6 (6 f 0 .0 2 (0 .0 0 2 ) 0 .0 0 5 (0 .0 0 l) 0 .0 9 (0 .0 2 ) 0 .7 5 (0 .4 ) 0 .1 2 (0 ,0 2 ) 3 .5 (2 ) < 0 .0 8 0 .6 (0 .6 ) 0 . I O (O .0 4 ) 5 3 2 (5 5 ) 0 .3 9 (0 .0 7 ) 8 .5 (1 .0 ) 2 4 t. 5 ) 2 1 (2 .5 ) 9 9 (1 0 ) 1 lO (4 8 ) G .4 (0 .6 ) 7q j . 0 .0 4 (0 .0 0 4 ) 0 .0 0 8 (0 .0 0 1 ) 0 . I 9 (0 .0 2 ) O S (O .4 ) 0 .3 (0 .0 4 ) tT .& O .O 8 ) 0 .8 (0 .8 ) 0 .1 2 (0 .0 6 ) 4 3 8 (4 5 ) 0 .4 4 (0 .0 7 ) 3 .7 (0 .5 ) 2 8 0 ) 3 0 (4 f 9 2 (g ) I9 0 (5 0 ) 5 .1 (0 .5 ) 1 8 (7 ) 0 .0 3 5 (0 .0 0 3 ) O .O O S (O .0 0 I ) 0 .1 4 (0 .0 3 ) O .G (O .4 ) 0 .2 (0 .0 4 ) h 2 & 0 .1 0 ) I . 3 (0 .8 ) 0 .1 3 (0 .0 5 ) 4 1 7 (Q ) 0 .5 8 (0 .0 7 ) 2 .1 C O .5 ) 2 8 1 5 ) 4 9 (5 ) 1 5 4 (1 5 ) 2 2 0 (5 (i ) 7 .9 (0 .X ) 1 3 f7 ) 0 .0 5 (0 .0 0 5 ) 0 .0 1 (0 .0 0 1 5 ) 0 .2 7 (0 .0 3 ) I. I (O .4 ) 0 .3 (0 .0 4 ) i 2 .6 < 0 .0 8 I . B (O .H ) 0 . I 6 (0 .0 5 ) Diurnal Variations of Aerosol Trace Element Concentrations 119 RESULTS The results are summarized in TABLE 1. They reveal that 15 elements could be determined in nearly al1 of the samples, namely Al, V, Br, Na, K, Mn, Ti, Sm, ELI, La, SC, Zn, Fe, Co, and Cr. A half dozen others (Sb, As, Ga, Mg, Cu, and Ce) could only be determined in some samples. Due to their incompleteness the results for the latter 6 elements are not very useful and are not given in TABLE 1. The behavior of a number of representative elements is shown in FIG. 5. Particle size distributions ANDERSEN iMPACTOR STAGE FIG. 6. Particle size distribution of 4 elements as measured with an Andersen Impactor. 001~ ! I 1 F 7 6 5 4 3 2 i ANDERSEN tMPACTOR ST&GE FIG. 7. Particle size distribution of 5 elements as measured with an Andersen Impactor. 420 K. .I\. RAHS, R. D&q J. A. ROBBISS and J. W. WIXCHESTER of 18 elements are summarized in TABLE 2 and 9 of these are plotted in FIGS. 6 and 7. Standard deviations are given in parentheses. If high count rates were obtained these standard deviations may be as low as 10 per cent. Because of the short sampling times the concentrations of several elements were at or near the limit of detecrion, and stan- dard deviations of these results are much higher. On some stages of the Andersen impactor only an upper limit could be set for the concentration of several elements. DISCUSSION It is obvious that very large variations occur in the concentrations of several elements during a 24 h period. The behavior of aluminum, shown in FIG. 5, is repre- sentative of a number of other elements such as Ti, Mg, SC and the rare earths, Sm, Eu, and La. Concentration variations by a factor of up to 10 occur within a few hours. A number of other elements such as Na, K, Fe, Co, and Cr shows less prominent variations: on the order of 2.5 rather than 10. The behavior of 1Mn seems to be in between these two extreme groups. How can this consistent behavior pattern for a large number of elements be under- stood? Smoke, SO,, NO, N02, CO, total oxidants, total hydrocarbons and visibility measurements have also shown consistent diurnal patterns, but with average variations of at most a factor of three (COBI~MINS, 1967; Mm, 1959; S~IMERS, 1966; WEISX-\X, 1969; U.S. PUBLIC HEALTH SERVICE, 1968). Being urban measurements, these maria- tions uere mostly related to variations in local source processes and city ventilation. In the present case, one deals with a rural area, and measures primarily distant sources, and diurnal meteorological variations should thus be more important. The pattern found is indeed consistent with the predicted variations of ground-level con- centrations from elevated sources (U.S. DEPART~IENT OF HEALTH, EDUCATIOS. ASD WELF~ZRE, 1965). With the previous considerations in mind the following tentative explanation is offered. Particulate pollutants released at stack height during the fair weather nocturnal temperature inversion conditions tend to remain at stack height until after sunrise. Daylight hours bring ground heatin g and generation of turbulent motions nhich build rapidly upwards until the pollutant layer is reached some one to three hours after sunrise. Eddy transport of these pollutants to the surface (Hewson fumigation type I) causes the steep morning peak. Continued increase of the maximum mixing level until the midafternoon further dilutes concentrations, after which the lolvering mixing level and increasing thermal stability initiates the gradual concentration increase of late afternoon and early evening. The concentration levels of evening, being effectively cut off from elet-ated sources by the temperature inversion, might be expected to decrease slightly during the night. Instead, they are in most cases observed to drop rapidly during the early morning hours, often reaching the lowest levels of the sampling period. Our hypothesis is that local ground fog at the sampling site was the primary agent responsible for this decrease, due to fog droplet nucleation, probably predominantly by the giant particle component of the aerosol population, followed by enhanced sedimentation and/or impaction of the enlarged droplets. Though fog was not recorded at the more urban South Bend Airport, the temperature there decreased to within 2 degrees of the dewpoint, and the relative humidity reached a maximum of 93 per cent at the 4 a.m. and 8 a.m. observations (FIG. 1). Diurnal Variations of Aerosol Trace Element Concentrations 321 Confirmation of this idea comes from the observation that in general those elements showing the largest concentration variations share two characteristics, namely rela- tively deep morning minima and masses concentrated on larger particles. This relation can be verified from the plots of Al and V, and is also noted for Ti, Mg, SC, La, ELI, and Sm. On the other hand, elements like Na, K, Cr, Co, and Mn, showing smaller diurnal variations, are more equally distributed over the 0.1-10 pm size range. We then visualize the fog formation as involving the larger and more soluble aerosols (i.e. those ordinarily collected on the first stages of the impactor), rapidly growing to a quasi-equilibrium radius of some 5-10 pm. Because the droplet concen- tration in typical fogs (1~5~ cmm3) (DISGLE, 1970) is large relative to the giant aerosol number density in continental aerosols (1 cmv3) (JUNGE, 1963) but small relative to the large particle component of the same (1000 cms3), it is possible that a majority of the giant particles and a minority of the large particles served as nucleating agents. Removal of these droplets would preferentially decrease coucentrations of those elements primarily in giant aerosols. Certain of the observed elements show diurnal patterns suggestive of local sources. Br is the clearest example, the probable source being automotive exhaust from the road some 50 m distant. Distinct traffic maxima are observed about 6-7 a.m., 3-5 p.m., and 11-12 p.m., very nearly the times of Br maxima. Further evidence comes from the measured particle size distribution of Br, where 65 per cent of its mass is found on the backup filter (TABLE 2). This is in agreement with the very small, con- densation aerosol nature of auto exhausts, and indicates the fresh nature of most of the Br (LOUCKS, 1970). The diurnal variation of Zn is not very consistent with the other elements, which may be partially due to the low quality of the analytical results for this element. It may however also be correlated with its predominant distribution on small particles, probably due to formation via a condensation process. The steep morning peak makes the V pattern somewhat different from those of the other elements. The most important source of V is known to be fuel oils, but because of the August date this does not seem to provide a sufficient explanation. Heating of commercial establishments may be related to the steep morning peak, however. In addition, a considerable fraction (30 per cent) of this element is found on the very small particles, pointing toward a condensation formation process and recent age for its Aitken component. CONCLUSION The obtained results demonstrate that nondestructive neutron activation analysis can very favorably be applied to the study of diurnal variations of trace elements in the atmosphere. The 15 elements which can be measured after sampling times as short as 90 min in a rural area show distinct variations in diurnal behavior and should be indicators enough for the behavior of most other trace elements. It seems that the application of this technique in studies of simultaneously measured total concentration variations and particle size distribution of airborne particulates should lead to signifi- cant advances in the understanding of source processes and identi~cation of dilution and removal mechanisms. The observed size distribution patterns remote from the source may not only reflect differing source processes but may also result in a tendency 422 K. A. RGW, R. DX.IS, J. A. ROBBINS and J. W. WLXHESTER toward different atmospheric behavior patterns. This specific investigation was however only of an exploratory nature and further experiments under different meteorological conditions are under way in order to expand upon the tentative conclusions reported here. REFERENCES COMMC;~ B. T. and WALTER R. E. (1967) Atmospheric Environment 1.49. DAMS R., ROBBNS J. A., RAHX K. A. and WNCHE~~ER J. W. (1970) Anal. Chem. 42,861. DAMS R., RAHX K. A. and WC‘ICHESTER J. W. (1971) Environ. Sci. Tech&. submitted. DNGLE A. N. (1970) Dept. of Met. and Ocean., Univ. of Mich., private communication. HEWSON E. W. (1960) Meteorological measuring techniques and methods in air pollution studies. In: Zncfustriu/ Hygiene ard Toxicology, Vol. 3, edited by L. SIL~IAN, Inter-science, New York. JLTNGE C. E. (1963) Air Chemistry and Radioactivity. Academic Press, New York. LOUCKS R. H. and WNCHE~TER J. W. (1970) J. geophys. Res. 75 (12), 231 I. IMUNN R. E. and KATZ M. (1959) In?. J. Air. Polfut. 2(l), 51. SIRS P. W. (1966) J. Air Polhrt. Control ASS. 16(4) 33. U.S. DEPARTMENT OF HEALTH, EDUCATION and WELFARE (1965) Meteorological Aspects of Air PolIution. Course conducted by Air Pollution Training Program, Cincinnati, Ohio. U.S. PUBLX HEALTH SERVICE, (1968) Air Quality Data from the National Air Sampling Networks and Contributing State and Local Networks, 1966, Durham, N.C. WEISM.G~ B., MATHESON D. M. and HIRT M. (1969) Atmospheric Environment 3, 1. 
work_t5bzl2pdmfcaznbewbg3wchdtm	----	RACIAL, ECONOMIC, AND INSTITUTIONAL DIFFERENCES IN HOME MORTGAGE LOANS: St. Joseph County, Indiana RACIAL, ECONOMIC, AND INSTITUTIONAL DIFFERENCES IN HOME MORTGAGE LOANS: St. Joseph County, Indiana RICHARD A. WILLIAMS* University of Notre Dame REYNOLD F. NESIBA Augustana College ABSTRACT Numerous studies have documented racial and economic disparities in the home mortgage market. Almost all of these have been done in large urban areas, many of which have long histories of racial conflict and discrimination. Further, little attention has been paid to institutional disparities, i.e., the ways in which mortgage lenders differ among themselves in their community reinvestment performance. In this study, we profile the home mortgage lending of several institutions doing business in the medium-sized urban area of St. Joseph County, Indiana. We find tremendous differ- ences between lenders, suggesting that bank practices and policies exert a great impact on how well low income and minority neighborhoods and individuals are served. Lender characteristics, such as the legal structure of the institution (e.g.. commercial bank, credit union, savings and loan), branch locations, and other factors are associ- ated with these disparities. We conclude by suggesting that several heretofore ignored variables need closer examination. O v e r the last decade, numerous authors have evaluated the existence and degree of racial and economic disparities occumng in the urban home mortgage market. From the early work done by Shlay (1987a, 1987b, 1987c) and Dedman (1988) through the frequently cited study published by the Boston Fed (Munnell, Browne, McEneaney & Tootell, 1992), the results * Direct all correspondence to: Richard A. Williams, Department of Sociology, University of Notre Dame, Notre Dame, IN 46556. JOURNAL OF URBAN AFFAIRS, Volume 19, Number 1, pages 73-103 Copyright 0 1997 by JAI Press Inc. All rights of reproduction in any form reserved. ISSN: 0735-2166. 74 I JOURNAL OF URBAN AFFAIRS I Vol. 19/No. 1/1997 are virtually unanimous. Studies across the country show that blacks proportionally apply for fewer loans than whites, yet are rejected more often. Researchers consistently find that white neighborhoods receive many (three to four) times more loans per 1,000 mortgageable structures than do minority neighborhoods. Regression analyses, using various model spec- ifications and data sets, agree that redlining and racial variables show consistent, significant and negative associations with home mortgage lending. This is true even after applying con- trols for obligation ratios, credit history, loan to value ratios, and property characteristics. In this study, we make three important contributions to the literature on residential mort- gage patterns. Throughout this study “banks” refers generically to banks, savings and loans, savings banks, credit unions, and bank holding companies. First, almost all studies have focused on aggregate bank performance, i.e., how well d o all the lending institutions in an area do at serving the community. Very little attention has been paid to institutional disparities (i.e., the ways in which banks differ among themselves in their community reinvestment performance). As Kim and Squires (1995) put it, most studies of mortgage lending have focused on the demand side (characteristics of borrowers, the properties they intend to purchase, and the surrounding neighborhoods) while paying little attention to the supply side (the characteristics of lending institutions). We examine measures and create indices that allow us to look individually at the community reinvest- ment performance of several institutions. This allows us to examine whether and why some lending institutions do better than others at serving low income and minority areas and individuals. Wide variations between lenders may suggest that bank practices and policies exert a strong impact on how well different groups and areas are served. We go a step fur- ther to see what lender characteristics, if any, seem to be held in common by the more successful and less successful sorts of lenders. In particular, we examine whether the type of institution (e.g. commercial bank, credit union, savings and loan), local or nonlocal own- ership, the size of a bank, and locations of bank branches are related to bank performance. Second, many analyses have focused on racial disparities in denial rates. While denial rates are important, they tell only part of the story. High denial rates may indicate that a lender targets areas and individuals ignored by others, while low denial rates are worth lit- tle if few lower income minorities apply. In this analysis, we examine how lenders differ in the amount of business they do with low income and minority neighborhoods and individ- uals. One cannot make a loan to someone who does not apply and, as we show, some institutions deal more than others with low income and minority applicants. Third, almost all previous work has been done on large urban areas, many of which have long histories of racial conflict and discrimination. The situation in other types of areas is unknown. T o the extent possible, we replicate previous studies to see whether similar results can be found in a moderate sized urban area. Specifically, we examine St. Joseph County, Indiana, which contains the cities of South Bend and Mishawaka. BACKGROUND Home Mortgage Legislative Movement Allegations of redlining, the systemic abandonment of low income and minority neigh- borhoods by banks, have persisted in US urban centers since at least the late 1960s I Home Mortgage Loan Practices I 75 (Benston, 1979). In response to these allegations, grassroots community reinvestment groups have organized and pushed for legislative reforms to increase their access to bank credit and to bank lending data. During the 1970s, two main acts were passed in an attempt to increase access to bank loan records and to affirm the responsibilities banks have to local communities and individuals. The primary objective of the 1975 Home Mortgage Disclo- sure Act (HMDA) is to facilitate the examination of credit flows and of the geographic locations where credit is and is not available. HMDA requires federally regulated commer- cial banks and thrifts making conventional and government guaranteed (FHA and VA) home mortgage loans within Standardized Metropolitan Areas (SMAs) to disclose the geo- graphic location of each loan originated by census tract. The Community Reinvestment Act (CRA), formally Title VIII of the Housing and Com- munity Development Act of 1977 (91 Stat. 11 1 l), states that financial institutions have a “continuing and affirmative obligation to help meet the credit needs of the local communi- ties in which they are chartered ... consistent with the safe and sound operation of such institutions” (91 Stat. 1 147). The community includes minority and integrated neighbor- hoods as well as all-white neighborhoods. The Act further states that an institution’s record of meeting credit needs includes low and moderate income neighborhoods (91 Stat 1147). HMDA and CRA are path breaking legislative acts. Unfortunately, during the 1980s, legislative authority failed to translate them into effective monitoring. Public reports of lax enforcement, compelling evidence of lending discrimination in major cities, and a multi- billion dollar taxpayer bailout of the savings and loan industry all contributed to grassroots support for a stronger community reinvestment movement. Hence, key legislative reforms were made in 1989. In particular, HMDA data requirements were extended. HMDA now requires lending institutions to report not only the geographic location of originated loans as in the past, but also to report the gender, race and income of all applicants who are granted and/or denied home mortgage refinancing, home improvement loans, or conven- tional, FHA, or VA home mortgage loans (Canner & Smith, 1991, 1992). These amendments greatly strengthened the quality of CRA information and HMDA data avail- able to community reinvestment researchers (Guskind, 1989). The National Scene Using information from HMDA, CRA, and other sources, various authors have docu- mented that whites and blacks experience different results when it comes to obtaining a home mortgage. Finn (1989) found that, even after controlling for income and other fac- tors, whites in Boston received three times as many residential loans per mortgageable housing unit as blacks. In her study of Baltimore, Shlay (1987a) concluded that racial com- position played a large and independent role in explaining disparities in residential mortgage distribution among neighborhoods. Dedman (1988) discovered that between 1981 and 1986, Atlanta financial institutions made five times as many home loans per 1 ,OOO housing units in white neighborhoods as in black neighborhoods having similar income levels. Studies of Chicago (Brady, Dubridges, & Klepper, 1980; Dunham, 1991; Peterman, 1990; Peterman & Sanshi, 1991; Shlay, 1986, 1987b, 1988; Shlay & Freedman, 1986), Detroit (Blossom, Everett, & Gallagher, 1988), Los Angeles (Dymski & Veitch, 1991; Dymski, Veitch, & White, 1990), and New York (Williams, Brown, & Simmons 1988; Bartlett, 1989; Lueck, 1992; Caskey, 1992) produced similar findings. 76 I JOURNAL OF URBAN AFFAIRS I Vol. 79/No. 7/1997 Many regard the October 1992, Federal Reserve Bank of Boston’s “Mortgage Lending in Boston: Interpreting HMDA Data” (Munnell, Browne, McEneaney, & Tootell, 1992) as the most persuasive study of racial discrimination in residential lending. The authors of the study attempt to address the complaints leveled at earlier HMDA data analyses and their failure to include all relevant variables regarding a bank’s loan acceptance/denial decision. Rather than using HMDA data alone, these researchers supplement HMDA data with actual loan application data from Boston area financial institutions. They conclude that even if two mortgage applicants are identical financially, a minority applicant is 60% more likely to be rejected than a comparable white applicant. This means that 17% of Hispanic or black residential mortgage applications, instead of 11%, would be denied a mortgage loan even if the minority applicant had the same obligation ratios, credit history, loan to value ratios, and property characteristics as a white applicant (Munnell, Browne, McEne- aney, & Tootell 1992). As with most pathbreaking or landmark research, this one has been the target of both criticism and praise. James H. Carr and Isaac F. Megbolugbe (1993, 1994) review and refute the critiques of several of the major criticisms of the Boston Fed study. In addition, two of the original Boston Fed researchers, Browne and Tootell (1995) respond to their critics in a recent article. Criticisms of the original study are of three types: critiques based on default rates, charges of flawed model specification or omitted variables, and charges of flawed data. Criticism based upon default rate evidence has been the most persistent charge against the Boston Fed Study. Brimelow and Spencer (1993), Brimelow (1993), and Becker (1993) all use average mortgage default rate data to claim that banks do not discriminate. They contend that because default rates among whites and blacks are similar in Boston, lenders must be acting in an impartial manner. These authors contend that if banks were discrimi- nating against creditworthy minorities, observed minority default rates would be lower than white default rates. Browne and Tootell (1995) posit that this line of argument is flawed for several reasons. First, the relationship between default rates and what bankers really worry about, expected profitability, is indirect at best. Second, critics assume that mortgage market discrimination will create a pool of minority applicants who on average are less likely to default than a white pool of applicants. This will not be true if discrimination is random in the sense that some loan officers simply d o not like Hispanic or black applicants or the way in which they dress, act or speak. This kind of discrimination would lead to loan rejections among both highly qualified and less qualified loan applicants. Third, critics must assume that the underlying default probability distributions are the same among whites and minorities. Otherwise an average white default standard applied to a minority applicant will not create an acceptance pool that has a lower average default risk. This assumption is unlikely to be true, given the empirical evidence, and confuses the concepts of marginal applications and average applications. Looking at averages of group default rates mixes together different applicants, different characteristics, and different default rates. Therefore, they reveal little about how individual applications within those distributions are treated (Browne & Too- tell, 1995, Carr & Megbolugbe, 1993). The possibilities that a model omits relevant variables a n d o r includes dependent vari- ables that inaccurately reflect their relationship to the dependent variable are potential I Home Mortgage Loan Practices I 77 problems for any regression analysis. The Boston Fed study has been criticized by Zandi (1993) for ignoring the presence of another variable, the subjective assessment of credit history, when calculating an applicant’s creditworthiness. Carr and Megbolugbe (1993, p.7) respond that the variable Zandi wants included is itself “tainted by discrimination”. Home (1994a) asserts that the variables, funds available for closing and the dollar amount of gifts received, are omitted. These were collected under slightly different guises. When tested neither applicants’ liquid assets, nor the presence of a gift or grant, was found to be significant at the 5% level. Criticisms related to specification errors also are unpersuasive. The appendix of the Boston Fed study includes many different model specifications that address the potential specification problems posed by Home (1994a, 1994b). Yezer, Phil- lips, and Trost (1994) assert that loan terms and mortgage denial are determined simultaneously through a process of negotiation. Browne and Tootell (1995, p.63) respond that “A truly simultaneous determination of loan terms and mortgage denial seems doubt- ful on both conceptual and econometric grounds.” Liebowitz and Day (1993) assert that the Boston Fed’s data set is filled with many typo- graphical errors. Home (1994a, 1994b) makes similar charges. In response to these charges Carr and Megbolugbe (1993, 1994) reevaluated the Boston Fed’s model. After a thorough cleaning of the data set, they found that the errors in the data set did not bias or eliminate the main results of the original study. Minority applicants were rejected about 57% more often than comparable white applicants. In sum, the defenses of the Boston Fed article put forward by Browne and Tootell (1995) and by Carr and Megbolugbe (1993, 1994) address each of the criticisms leveled at the original article. As a result, the Boston Fed study (Munnell, Browne, McEneaney, & Too- tell, 1992) in the face of severe and sometimes virulent criticism, deserves its status as the definitive study concerning the existence of discrimination in mortgage lending. Previous National Research Existing research has provided powerful documentation of racial disparities in home mortgage lending. Still, there are several limitations to these studies. Most studies have focused on large urban areas, many of which have long histories of racial conflict and dis- crimination. The situation in other parts of the country has not been carefully explored. Even more importantly, studies have paid little attention to variations in lending between different types of financial institutions. Do all types of lenders tend to do equally well (or poor) at serving low income neighborhoods and groups? If not, what are the characteristics of the lenders that do better? There are at least three reasons for wanting to know whether and why lending institutions differ in their community reinvestment performance: First, simply finding that an individual’s race or a census tract’s racial composition is correlated with the likelihood of a loan being approved or denied is not proof of overt dis- crimination. There are other plausible explanations. Race may be a proxy for other economic variables such as employment record or credit history. Unfortunately, these vari- ables are rarely available to researchers because federal law does not require that banks disclose this information. Only the Munnell and associates (1992) study is exempt from this criticism, but even it looked at only one city. Furthermore, analyses usually have noth- ing to say about how discrimination in other markets (e.g., the labor market) gets carried through to the home mortgage market or how the actions of realtors, homebuyers, home 78 I JOURNAL OF URBAN AFFAIRS I Vol. 79/No. 7/7997 sellers or mortgage insurance companies may influence patterns of mortgage credit alloca- tion. Similarly, the racial composition of a neighborhood may serve as a proxy for the riskiness of a loan. However, if some financial institutions are able to make loans to low income and minor- ity neighborhoods and individuals while others do not, these criticisms hold less weight. If wide variation in denial rates and shares of loans to low income and minority neighbor- hoods exist, one must assume that these unmeasured influences have a larger effect on some institutions than on others in order for the criticisms to remain credible. The existence of widespread variation would suggest that lender discretion plays an important role in mortgage market outcomes and should not be ignored because of less than perfect data dis- closure on the part of financial institutions. Second, there is a growing concern that commercial banking industry consolidation will lead to increases in average financial institution size and increase the number of bank main branches located afar. These trends, in turn, may adversely affect a lender’s likelihood of denying a mortgage application a n d o r its effectiveness in originating loans to low income and minority individuals and neighborhoods. As Shlay and Goldstein (forthcoming) note, “It has been hypothesized that as institutions become more massive and international in scope, they will devote fewer resources to local communities, particularly within those communities where they have the fewest ties and experience.” Campen (1993, p.239) fur- ther argues that: it seems reasonable to suppose that when decision making power is concentrated in dis- tant headquarters, local communities will find banks less knowledgeable about local cir- cumstances, less concerned with solving local problems, and, especially, less susceptible to the local organizing campaigns that have been vital in bringing about agreements for improved CRA performance. However, those advocating the further reduction of geographic barriers to banking and supporting greater banking industry consolidation also seem to have persuasive argu- ments. They contend that as loan and deposit bases become more diversified, overall banking risk is decreased and the stability of the financial system as a whole is enhanced. Furthermore, freeing up the market geographically leads to increased competition, increased services, improved credit availability, and a more efficient allocation of finan- cial resources (Mengle, 1990; Evanoff & Fortier, 1986). Also, larger institutions may have greater expertise in marketing to low income and minority areas and individuals and more resources to devote to them. As a result, the economy as a whole, including small busi- nesses, minority neighborhoods, and taxpayers, are all better off with fewer, larger financial institutions. In addition, the enormous increase in mergers in the 1980s, combined with better infor- mation from an improved CRA and HMDA, have provided opportunities for community groups to enhance community reinvestment performance through challenges to bank merg- ers and increased opportunities for federal financial regulatory agencies to evaluate lenders’ community reinvestment performance. Community groups have successfully challenged a local bank’s attempt to acquire or be acquired by another bank or bank holding company based upon CRA grounds. Furthermore, the federal financial regulatory agencies have had a greater number of merger applications requiring examination on CRA grounds I Home Mortgage Loan Practices I 79 prior to approval. As a result, banks must either negotiate in good faith with community groups to increase lending in low income and minority neighborhoods or risk that their merger applications be rejected. The National Community Reinvestment Coalition (NCRC) estimates that, as of May 1996, banks and savings and loans have made CRA commitments totalling $1 30 billion since the late 1970s. These commitments reflect agree- ments reached with community groups a n d o r voluntary pledges. Participants on each side of this debate seem to have well reasoned foundations for their assertions regarding the impact of banking industry consolidation on community reinvest- ment performance. Unfortunately, the empirical evidence supporting either position is extremely limited. Kim and Squires (1995) note a third reason why supply side (lender) characteristics may be related to community reinvestment performance. Different types of institutions have different interests. Commercial banks are involved in many sorts of activities. Mortgage lending is not their main line of business. Hence, banks are more likely to reject applica- tions because of their limited commitment to mortgage lending. Mortgage lending is far more important to savings and loans. Because mortgage loans constitute a higher share of their lending activity, Kim and Squires hypothesize that savings and loans will review applications more carefully (hence avoiding racial bias) and will be more willing to work with marginal applicants. We can think of several other reasons why the type of institution may be important. Dif- ferent types of institutions have different types of legal obligations, report to different federal agencies, and may serve different types of clientele. For example, credit unions place restrictions on membership and may be especially willing to take risks on behalf of their membership. Certain types of mortgage companies (which we will refer to as “con- sumer finance corporations”) target higher risk groups and offer them higher interest loans. Depository institutions (e.g., commercial banks) have greater legal CRA obligations than nondepository institutions (e.g., mortgage companies). Like thrifts, mortgage institutions and credit unions may be more heavily dependent on mortgage lending than commercial banks. Hence, it seems reasonable to investigate whether the legal form of the lender (com- mercial bank, mortgage company, savings and loan, etc.) is related to its community reinvestment performance. Kim and Squires also argued and found that the racial composition of the lender’s labor force was related to the approval rate for African-American borrowers. Racial minorities may feel more comfortable in a financial institution where nonwhite employ- ees are visible. Even if the case is not handled by an African-American loan officer, the presence of African-American officers may create peer pressure for loan approval from other officers. We suggest that similar arguments can be made for branch locations. Convenient loca- tions are more likely to attract customers to a bank. Further, the fact that a lender has a branch location in a low income or minority area may give it a better understanding of that area and the people in it, hence improving its lending and marketing practices. If nothing else, the presence of branch locations in an area suggests that the lender is motivated to do business there. Thus, lenders that have a presence in low income and minority neighbor- hoods are likely to do more business there than lenders that do not. 80 I JOURNAL OF URBAN AFFAIRS I Vol. 19/No. 7/7997 DATA AND METHODS St. Joseph County is located in the North Central part of Indiana, about 100 miles east of Chicago. Its two largest cities are South Bend (population 110,000) and Mishawaka (pop- ulation 40,000). The South Bend-Mishawaka MSA had a total population of 247,052 according to the 1990 Census. By race, approximately 87.8% of residents are white and 12.2% are nonwhite. The corresponding national averages are 80.3% and 19.7%. In this respect, the South Bend-Mishawaka SMA is probably more representative of the US as a whole than many of the larger cities previously studied. Our study of St. Joseph County originally began when a community group asked the first author of this paper to analyze the home mortgage lending records of local banks. After analyzing only a few banks, it became apparent that area institutions differed dramatically in the extent to which they served low income and minority areas and individuals. There- fore, we decided to undertake a much more systematic data collection and analysis effort. Specifically, we gathered the following types of data: HMDA Loan Application Registers Starting in 1990, banks were required to provide information on every home mortgage application they received. The information included the type of loan (conventional, FHA, or VA), the requested amount, the final disposition of the application (e.g., approved, denied, withdrawn, not accepted), the census tract in which the desired property was located, and the income, race, and gender of the applicant(s). Complete records for the county were purchased from the Federal Financial Institution and Examination Council for 1990, 1991, and 1992. Following the practice of other researchers (Kim & Squires, 1995), we included only applications for owner-occupied homes that were either approved or denied. Census Tract Data The HMDA data sets also include some information on census tracts, while other infor- mation was gathered directly from published census reports for the county. There are 69 census tracts in St. Joseph County. Information available for each tract includes the median income of the tract, the racial composition of the tract, and the percentage of adults having only a ninth grade education or less. Lending institution Data Again, the HMDA data includes some information on banks. In particular, HMDA lists the location of the parent institution, making it possible to see whether the bank is locally headquartered or not. In addition, simply by looking at the lender’s name or by drawing on other knowledge we had, we could determine whether an institution was a commercial bank, credit union, savings and loan, or mortgage company. Also, a few lenders that are technically mortgage companies were classified as “consumer finance corporations”. Such lenders tend to target groups and areas ignored by others, but also charge much higher interest rates. We used Moody’s Bank and Finance Manual and McFadden’s American Financial Directory to look up the amount of assets held by lenders as of 12/31/92. Data I Home Mortgage Loan Practices I 81 from the previous 12 months were used for two very small lenders that went out of business before December 1992. In a few cases, when we could not locate information on a bank or were otherwise unsure how to code it on a particular variable, a call to the bank itself pro- duced the needed information. While 56 different banks received applications for home mortgages during the period 1990-1992, 17 institutions made about 96% of the actual loans. Information on branch locations, originally gathered for a separate project, also was used here. Each lender identified in the HMDA data was looked up in the 1995 South Bend phone book. The address of each lender’s main branch and any branch locations were recorded. We then used the Census Bureau’s TIGElUCensus Tract Street Index, along with census maps, to identify the census tract in which each office was located. Lenders were classified as having either (1) no branches in the county, (2) some branches but none in low income areas, or (3) at least some branches in low income areas. We originally intended to indicate whether a lender had branches in heavily minority areas, but we did not find a sin- gle branch office located in one of the county’s six minority tracts. We referred back to phone books from 1990 to determine whether changes in branch locations affected the cod- ing of any institution. A few clarifications regarding the data are in order. In our analyses (and in the published HMDA reports), a census tract is classified as “low to moderate income” if the median income of the tract is 80% or less of the county median income. In St. Joseph County, 23 of the 69 census tracts are classified as low income and these tracts have about one-fourth of the county’s population and occupied housing units. Similarly, applicants are classified as low income if their income is less than 80% of the county median. For our purposes, we defined a minority tract as one in which 50% or more of the population was non-white. Six tracts, with about 5% of the county’s population and 6% of the housing units meet this def- inition. The six minority tracts are 10, 19, 20, 21, 23, and 29. All six of the minority tracts are also low income tracts. Several caveats are noted concerning these data: Like most other studies, we lack information on important variables such as the credit and work histories of individual applicants and property characteristics. However, the few studies that do have such variables suggest that, even after these are controlled, variables like race and characteristics of the census tract continue to be highly significant. Further, while omission of variables may cause aggregate bank performance to appear worse than it really is, it is much less likely that such variables can account for apparent wide differences between banks. For example, if two banks are direct competitors and one does a great deal of business with low income areas while another does not, it is hard to see how something like individual credit histories could account for this. Another important omitted variable is the interest rate charged. Some of the lenders that seem to do the “best” job of serving low income and minority neighborhoods and indi- viduals ( e g , consumer finance companies) probably do so at a price, a much higher inter- est rate than is charged by others. The cost of obtaining credit ideally should be considered when evaluating a bank’s overall community reinvestment performance, but we are not able to do so here. The data only cover the period 1990-1992. Several banks now claim that their com- munity reinvestment performance has gotten much better. Two of the banks that had the 82 I JOURNAL OF URBAN AFFAIRS I Vol. 19/No. 1/1997 least impressive records for serving low income and minority areas and individuals (1 st Source and Norwest Bank) during 1990-1992 apparently did dramatically better in later years. If such improvements have occurred widely, they may reflect the influence of com- munity groups that have pressured and negotiated with area banks for changes in their lend- ing practices. Of course, other explanations, such as the change in Presidential administrations, CRA enforcement, and changes in bank personnel may also be plausible. We focus only on owner-occupied home mortgage loans. Home improvement loans, small business loans, and other investments in community development should be consid- ered when looking at a bank's overall community reinvestment performance. While more than 8,000 home mortgage loans were made during this period, only 'a relative handful of lending institutions were involved. At the same time, the tremendous variability between even these few institutions strongly suggests the utility and need for examining banks separately. The scarcity of institutions involved makes it difficult to determine why the variability exists and it is possible that a few large atypical lenders skew the results. While we will examine the apparent effects of such things as bank type, bank size, local ownership, and branch locations, we caution that these results must be regarded as tentative and that a much larger sampling of banks across the nation is called for. Method of Analysis The analysis is divided into three parts. First, we provide descriptive analyses of the community reinvestment performance of leading lenders in the area. These analyses illus- trate the significant differences that exist among area lenders. Second, we examine what characteristics are shared in common by those lenders that do the largest share of their business with IGW income and minority neighborhoods and indi- viduals. This is perhaps the most unique part of our analysis because it offers some ideas as to what types of lenders are most effective at attracting low income and minority applicants. Third, we use multivariate logistic regression to simultaneously examine how character- istics of individuals, neighborhoods, and lenders affect the probability of a loan application being denied. As with other studies, this will enable us to see whether, after controlling for income, the race of applicants and the racial composition of their preferred neighborhood are associated with loan denial rates. Unlike most other studies, this analysis will let us examine whether and how lender characteristics are related to loan denial rates. RESULTS Descriptive Analyses of Individual Lenders Table 1 provides an overview of the characteristics of the major home mortgage lenders in St. Joseph County. According to HMDA records, 56 institutions made almost 8,500 home mortgage loans between 1990 and 1992. This figure is low because not all institu- tions reported for all three years. In particular, Waterfield Mortgage was not required to file in 1990, hence its loan total is probably underreported by several hundred loans. Waterfield is the residential lending arm of Indianapolis based Union First Savings Bank. However, T A B L E 1 B an k C h ar ac te ri st ic s ~ ~ D em og ra ph ic C ha ra ct er is tic s O ve ra ll Le nd in g B an k N am e T yp e of I ns tit ut io n O w ne rs hi p S iz e B ra nc he s Lo an s O rig in at ed D en ia l R at e C M R P I W at er fie ld lU F S B o f In di an a In s ta te La rg e S om e Lo w M od 13 30 5. 5% 64 .1 T ru st co rp M or tg ag e 1 st S ou rc e B an k In la nd M or tg ag e V al le y A m er ic an B an k & T ru st S ta nd ar d F ed er al M is ha w ak a F ed er al S av in gs S oc ie ty /A m er itr us t P re ce de nt F in an ci al C or p N or w es t M or tg ag e A dv an ta ge M or tg ag e S ob ie sk i F ed er al S & L In di an a F ed er al B an k N or w es t B an k of I nd ia na T ea ch er s C re di t U ni on N B D M or tg ag e A m er ic an G en er al F in an ce 39 o th er le nd er s M or tg ag e co m pa ny M or tg ag e co m pa ny B an k M or tg ag e co m pa ny B an k S av in gs a nd lo an S av in gs a nd lo an B an k M or tg ag e co m pa ny M or tg ag e co m pa ny M or tg ag e co m pa ny S av in gs a nd lo an S av in gs a nd lo an B an k C re di t u ni on M or tg ag e co m pa ny C on su m er fi na nc e Lo ca l Lo ca l In st at e Lo ca l O ut o f st at e Lo ca l O ut o f s ta te In s ta te O ut o f s ta te O ut o f s ta te Lo ca l In s ta te O ut o f s ta te Lo ca l O ut o f st at e O ut o f s ta te S m al l La rg e M ed iu m M ed iu m La rg e M ed iu m La rg e S m al l La rg e La rg e S m al l M ed iu m La rg e M ed iu m La rg e La rg e S om e Lo w M od S om e Lo w M od S om e Lo w M od S om e Lo w M od S om e Lo w M od N o Lo w M od S om e Lo w M od N o Lo w M od S om e Lo w M od S om e Lo w M od S om e Lo w M od N o Lo w M od S om e Lo w M od S om e Lo w M od S om e Lo w M od N o Lo w M od 12 63 94 7 83 4 67 2 56 0 54 6 50 1 32 0 27 0 20 1 17 8 13 9 12 6 11 1 59 34 38 0 84 71 3. 1% 12 .9 % 5. 8% 11 .7 % 8. 8% 8. 4% 32 .2 % 0. 9% 6. 9% 13 .7 % 3. 3% 7. 9% 5. 3% 9. 0% 4. 8% 61 .4 % 30 .8 % 11 .1 % 62 .5 21 .9 63 .0 42 .2 44 .8 26 .0 46 .9 65 .1 41 .7 71 .4 65 .1 31 .8 21 .9 84 .4 53 .1 59 .9 I- P - r 0 3 5 i! 0 8 3 nz A ll 56 le nd in g in st itu tio ns 0 3 8 - 03 W 84 I JOURNAL OF URBAN AFFAIRS I Vol. 79/No. 7/7997 17 lenders accounted for almost 96% of all the loans that were made. We will pay particu- lar attention to these top 17 performers (listed in the order of the number of loans they made). Of these, the top eight, each of whom made 500 or more loans, may be of particular interest. While some of the smaller banks aim for “niche” markets (e.g., Teachers Credit Union targets teachers and their families, while some of the other small banks are concen- trated in specific areas of the county), the larger institutions tend to do business countywide and generally are direct competitors with each other in the residential lending market. (The one major exception is Mishawaka Federal Savings, which primarily does business in the predominantly white city of Mishawaka.) Of the top 17 lenders, seven were mortgage companies, four were banks, one was a credit union, one was a consumer finance company, and the other four were savings and loans. Six were owned locally, four others were owned in-state, and the other seven had out-of-state ownership. In terms of overall assets, three banks were small (having assets of less than $100 million), five were medium sized (assets between $100 million and $1 bil- lion) and the other nine were large (assets greater than $1 billion). Assets are based on the size of the lender’s parent company, and are not limited to assets held only in St. Joseph County. Hence, the largest lenders, in terms of assets, need not have the largest shares of the St. Joseph market. Waterfield Mortgage made the most loans of any lender in the area, followed by Trustcorp Mortgage and 1st Source Bank. All 17 of these lenders have branches in the county and most also have at least one branch in a low income area of town. This is primarily because many lenders have their main office in downtown South Bend, which is itself a low income area and is surrounded by other low income areas. Denial rates vary dramatically between lenders, ranging from almost zero to as high as 61 %. Overall, a little over 1 1 % of all home mortgage applications were denied. As noted before, we follow the common practice of only including applications that were either approved or denied. It should be noted that withdrawal rates (not shown) also differ sub- stantially between lenders. Countywide, a little over 6% of all home mortgage loan applications are withdrawn. However, some lenders have much higher withdrawal rates. In particular, Trustcorp, which has one of the lowest denial rates, 3.1%, also has the highest withdrawal rate, 18%. (Trustcorp accounts for more than 41 % of all the loan applications in the county that were withdrawn.) Because the decision to withdraw a loan application can be affected by many factors beyond the lender’s control, most researchers pay little atten- tion to withdrawals. The tremendous variability between banks, however, suggests that withdrawals may deserve closer attention. In particular, it could be important to know whether some lenders encourage withdrawals to keep their denial rate low. For our own part, we did separate analyses in which withdrawals were treated the same as denials. This had little effect on our major conclusions, although it did change the relative standings of some banks on some of our measures. The last column of Table 1 presents a Community Mortgage Relative Performance Index (CMRPI) score for each bank. This is based on the information in Tables 2 and 3 concern- ing loans to low-income and minority areas and individuals. The higher the score, the better the lender does in making loans to low income and minority neighborhoods and individuals. T A B L E 2 L o an s to C en su s T ra ct s Lo w In co m e C en su s T ra ct s M in or ity C en su s T ra ct s B an k N am e % O f A pp s. D en ia l R at e I D iff . % o f Lo an s % o f A pp s. D en ia l R at e/ D iff . % o f Lo an s W at er fie ld /U F S B o f In di an a 15 .7 % 10 .4 % 4. 9% 14 .9 % 1. 8% 8. 0% 2. 5% 1. 7% T ru st co rp M or tg ag e 16 .6 % 5. 6% 2. 4% 16 .2 % 1. 6% 14 .3 % 11 .1 % 1. 4% 1 s t S ou rc e B an k 9. 9% 31 .5 % 18 .6 % 7. 8% 1. 6% 41 .2 % 28 .3 % 1. 1% In la nd M or tg ag e 14 .4 % 7. 1% 1. 3% 14 .1 % 3. 1% 3. 7% -2 .1 % 3. 1% V al le y A m er ic an B an k & T ru st 15 .1 % 20 .9 % 9. 2% 13 .5 % 6. 4% 24 .5 % 12 .8 % 5. 5% S ta nd ar d F ed er al 15 .1 % 21 .5 % 12 .7 % 13 .0 % 2. 4% 26 .7 % 17 .9 % 2. 0% M is ha w ak a F ed er al S av in gs 3. 0% 16 .7 % 8. 3% 2. 7% 0. 3% 0. 0% -a .4 % 0. 4% S oc ie ty /A m er itr us t 18 .9 % 43 .6 % 11 .4 % 15 .8 % 2. 6% 63 .2 % 31 . O% 1. 4% P re ce de nt F in an ci al C or p 10 .2 % 3. 0% 2. 1% 10 .0 % 1. 2% 0. 0% -0 .9 % 1. 3% N or w es t M or tg ag e 10 .3 % 13 .3 % 6. 4% 9. 6% 1 . O% 33 .3 % 26 .4 % 0. 7% A dv an ta ge M or tg ag e 27 .9 % 18 .5 % 4. 7% 26 .4 % 2. 1% 20 .0 % 6. 3% 2 .O % S ob ie sk i F ed er al S & L 18 .5 % 2. 9% -0 .3 % 18 .5 % 1. 1% 0. 0% -3 .3 % 1 . l% z In di an a F ed er al B an k 7. 3% 9. 1% 1. 1% 7. 2% 1. 3% 0 .O % -7 .9 % 1. 4% 0 3 s N or w es t B an k of I nd ia na 6. 0% 37 .5 % 32 .2 % 4. 0% 0. 0% 0. 0% -5 .3 % 0. 0% T ea ch er s C re di t U ni on 27 .0 % 21 .2 % 1 2 .2 % 23 .4 % 8. 2% 0. 0% -9 .0 % 9. 0% 0 ‘Qm A m er ic an G en er al F in an ce 44 .3 % 71 .8 % 1 0 .4 % 32 .4 % 6. 8% 66 .7 % 5. 3% 5. 9% 39 o th er le nd er s 14 .0 % 53 .2 % 22 .5 % 9. 5% 2. 4% 53 .8 % 23 .1 % 1. 6% A ll 56 le nd in g in st itu tio ns 1 4 .4 % 20 .7 % 9. 6% 1 2 .9 % 2. 3% 24 .4 % 13 .3 % 2. 0% D w - N B D M or tg ag e 11 .3 % 14 .3 % 9. 4% 10 .2 % 1. 6% 0. 0% -4 .8 % 1. 7% h 9 I- g. F! - 0) ul 86 I JOURNAL OF URBAN AFFAIRS I Vol. 79/No. 7/1997 Table 2 examines bank lending in the low income and heavily minority areas of town. Three types of information are presented: 1. The percentage of all its applications that a bank received from such areas. For exam- ple, 27% of the home mortgage loan applications that Teachers Credit Union received were from low income areas. 1st Source Bank, on the other hand, received only 9.9% of its applications from low income areas. 2 . The lender’s denial rate for such areas, as well as the difference between the denial rate for the area and the lender’s overall denial rate. For example, NBD Mortgage denied 14.3% of the applications it received from low income areas, which was 9.4 percentage points higher than its overall denial rate of 4.8% (Table 1). Presenting the numbers this way makes it possible to see whether, compared to other lenders in the area, a bank has rela- tively high or low denial rates. It also makes it possible to see whether the lender treats applications from particular areas differently than applications in general. 3. The percentage of a bank’s loans that were made to low income and minority census tracts. For example, American General Finance did almost a third of its business in low income areas, while Mishawaka Federal Savings made only 2.7% of its residential mort- gages there. A relatively low percentage of applications from an area may indicate that the bank does not target that area or that if it does, its marketing lacks effectiveness (or at least is not as effective as its marketing elsewhere). Denial rates are more difficult to interpret. A high denial rate could mean that a lender is particularly unfriendly to individual applications from certain areas (especially if the denial rate for an area is much higher than the bank’s overall denial rate). However, it could also mean that the lender, perhaps because of its marketing programs, effectively attracts many higher risk applicants from an area. Hence, a high denial rate, if combined with relatively large numbers of applicants from an area, could still result in a large number of loans being made in that area. However, a high denial rate combined with a low share of applications from these areas would result in relatively few loans going to these areas. Table 2 and Fig. 1 show that lenders differ substantially in the amount of business they do in low income areas of town. Some make less than 6% of their loans there, while a few do a fourth or more of their business in such areas. As Table 2 and Fig. 2 show, this differ- ential reflects the variability in the applicant pool and in the denial rates. Teacher’s Credit Union and Advantage Mortgage attract relatively large numbers of applicants from low income areas and have about average denial rates. Hence about one-fourth of their business comes from the low income parts of town. American General Finance has by far the largest percentage of applicants from low income areas. Hence, despite high denial rates, it still does almost a third of its business there. Similarly, Society combines above average appli- cation and denial rates to produce an above average share of the low income area market. Banks which do the least business in low income areas have few applications from such areas (e.g., Indiana Federal Bank, Mishawaka Federal Savings) and/or above average denial rates (e.g., 1st Source, Norwest Bank). To view these numbers another way, about one-fourth of St. Joseph County’s popula- tion and housing units are located in low income areas, yet such areas receive only about 13% of all home mortgage loans. This low total reflects the fact that fewer than 15% of all home mortgage applications come from low income areas, plus the denial I Home Mortgage Loan Practices I 87 55.0% 32.4? 30.0% 25.0% 20.0% 15.0% 10.0% 5.0% 0.0% FIGURE 1 Percentage of All Home Mortgage Loans That Go to Low Income Areas rate for low income areas (20.7%) is almost double the overall denial rate ( 1 1.1%, as shown in Table 1). That low income areas are underrepresented in the number of loans received may or may not be understandable. However, it is difficult to understand why there should be so much variability between banks, particularly when institutions that seem to be direct competitors are compared. For example, among the eight largest lenders, there is a 6: I differential in the amount of business done in low income areas (2.7% by Mishawaka Federal on the low end, 16.2% at Trustcorp on the high). Among the top three lenders, the differential is about 2:1 (7.8% at 1st Source v. 16.2% at Trustcorp). The second part of Table 2 examines loans to minority census tracts. These are the six census tracts which are 50% or more nonwhite. They hold about 5% of the county's popu- lation and 6% of its housing units. As the last line of the table shows, relatively few applications are received from such areas, applications that are received are twice as likely to get rejected (24.4% compared to the overall denial rate of 11.1 %), and only 2% of loans made go to these parts of the county. Two of the smaller lenders, American General Finance and Teachers Credit Union, do a far higher share of their business in minority areas than most other lenders. Even among the other lenders, there is more than a 10: 1 dif- 88 I JOURNAL OF URBAN AFFAIRS I Vol. 79/No. 7/7997 70.0% 60.0% 50.0% 40.0% 30.0% 20.0% 10.0% 0.0% FIGURE 2 Application and Denial Rates for Low Income Areas ference in the amount of business done in minority areas. These differentials are the product of radically different application and denial rates. Table 3 shifts the focus from areas to individuals. The last row of the table shows that about one-third of all loan applications come from low income individuals. However, because the denial rate is much higher for this group (18.5% versus the overall rejection rate of 1 1.1 %), about 30% of the loans actually made g o to low income individuals. Amer- ican General Finance and Teachers Credit Union both made about one-half or more of their loans to this group. The other lenders do as little as 9.5% (Norwest Bank) to as much as 40.9% (Society/Ameritrust) of their business with low income individuals. Among the eight largest lenders the differential is more than 2: 1 between banks, and among the three largest, the differential is about 1.7 to 1. Finally, the last part of Table 3 examines loans to black applicants. Blacks account for about 9% of the county’s population, yet they receive less than 3% of the home mortgage loans. Relatively few blacks apply for loans (3.2% of the total) and those who apply are more than twice as likely as the population as a whole to have their application denied. As before, there is tremendous variability between lenders. One bank (Indiana Federal) reported no loans to blacks during this period, while another (Teachers Credit Union) did T A B L E 3 L o an s to In d iv id u al s Lo w In co m e A pp lic an ts B la ck A pp lic an ts B an k N am e Yo O f A P P S . D e n ia l R a te / D iff . % o f Lo an s % o f A pp s. D e n ia l R at e/ D iff . Yo of L oa ns W a te rf ie ld lU F S B of I nd ia na 35 .1 Yo 7. 7% 2. 2% 34 .3 % 5. 1% 18 .1 % 12 .5 % 4. 4% T ru st co rp M or tg ag e 33 .1 % 2. 6% -0 .6 % 33 .3 % 2. 8% 2. 8% -0 .4 % 2. 8% 1 st S ou rc e B an k 22 .5 % 21 .2 % 8. 3% 20 .4 % 3. 8% 43 .9 % 31 .0 % 2. 4% In la n d M or tg ag e 35 .8 % 3. 8% -2 .0 % 36 .6 % 2. 4% 9. 5% 3. 8% 2. 3% V al le y A m er ic an B an k & T ru st 24 .7 % 18 .6 % 6. 9% 22 .8 % 1. 8% 28 .6 % 16 .9 % 1. 5% S ta nd ar d F ed er al 31 .1 % 14 .1 % 5. 3% 29 .3 % 3. 3% 30 .0 % 21 .2 % 2. 5% M is ha w ak a F ed er al S av in gs 20 .5 % 18 .9 % 10 .5 % 18 .1 % 0. 2% 0. 0% -8 .4 % 0. 2% S oc ie ty /A m er itr us t 52 .1 % 46 .8 % 14 .5 % 40 .9 % 3. 4% 40 .0 % 7. 8% 3. 0% P re ce de nt F in a n ci a l C or p 39 .9 % 0. 8% -0 .2 % 40 .0 % 2. 5% 0. 0% -0 .9 % 2. 5% N or w es t M or tg ag e 27 .2 % 12 .7 % 5 .8 % 25 .6 % 4. 5% 15 .4 % 8. 5% 4. 1% A dv an ta ge M or tg ag e 37 .8 % 1 1 .4 % -2 .4 % 38 .8 % 5. 2% 25 .0 % 11 .3 % 4. 5% S ob ie sk i F ed er al S & L 40 .2 % 6. 8% 3. 5% 38 .8 % 2. 2% 0. 0% -3 .3 % 2. 2% z 3 In d ia n a F ed er al B an k 21 .9 % 15 .2 % 7. 2% 20 .1 Y o 1. 3% 10 0. 0% 92 .1 % 0. 0% L N or w es t B an k of I n d ia n a 12 .0 % 25 .0 % 19 .7 % 9. 5% 0. 8% 0. 0% -5 .3 % 0. 8% T ea ch er s C re di t U ni on 50 .8 % 12 .9 % 3. 9% 48 .6 % 13 .1 % 12 .5 % 3. 5% 12 .6 % 0 - 0 (D N B D M o rt g a g e 21 . O% 15 .4 % 10 .5 % 18 .6 % 6. 5% 25 .0 % 20 .2 % 5. 1% il 0 39 o th er le nd er s 39 .0 % 52 .8 % 22 .0 % 26 .6 % 1. 1% 16 .7 % -1 4. 1 Y o 1. 3% nl 3 n, r- 0 3 A m er ic an G en er al F in an ce 76 .1 % 67 .2 % 5. 8% 64 .7 % 9. 1% 87 .5 % 26 .1 % 2. 9% A ll 56 le n d in g in st itu tio n s 33 .0 % 18 .5 % 7. 4% 30 .3 % 3. 2% 23 .7 % 12 .6 % 2. 7% 90 I JOURNAL OF URBAN AFFAIRS I Vol. 79/No. 7/1997 almost 13% of its business with blacks. Some banks did not turn down any of the (generally few) black applications they received, while others turned down more than half of them. Tables 2 and 3 show that there is a great deal of variability between banks on these eight different share and denial measures. However, there is also much variability within a bank across measures. Some banks do much better on some variables than on others. For exam- ple, Valley American Bank is one of the leading banks in making loans to minority areas (Table 2). However, it is well below average in the number of loans it makes to black indi- viduals (Table 3). Also, some banks which make many loans to low income and minority areas and individuals have high denial rates, suggesting that those banks might be able to make even more loans than they do. To get a rough idea of a bank’s overall performance, we created the Community Mort- gage Relative Performance Index (CMRPI). Our procedure was as follows: The 17 lenders were ranked on the percentage of loans made to low income areas, minority areas, low income individuals, and blacks. They were also ranked on the corre- sponding denial rates. The rankings were summed. Denial rates were weighted only half as heavily as shares. This is because of the ambiguous nature of denial rates. While a lower denial rate may be preferable, a high denial rate does not necessarily mean that the lender is being “unfriendly”. It could mean that the lender attracts higher risk applicants. The summed rankings were converted to a scale ranging from 0 to 100. A score of zero indicates that the lender had the weakest performance of every lender in every cate- gory. A score of 100 indicates that the lender finished first in every category. Hence, the higher the score, the better the overall performance. Note that, as the name implies, the index only measures performance relative to the other major lenders in the area. A high score could indicate that the bank was the best performer in a bad lot. Conversely, a low score could indicate a solid performance if all lenders in the area are doing well in terms of loans made to low income and minority areas and individ- uals. The key strength and weakness of the measure is that it avoids saying anything about absolute performance. Banks can argue about how many loans should go to low income and minority areas and individuals. It is much more difficult for them to argue about their standing, relative to other lenders in the area. Fig. 3 and the last column of Table 1 present the CMRPI. Teachers Credit Union, which generally made relatively many loans to low income and minority areas and individuals while having low to average denial rates, had the best (i.e., highest) score. 1st Source Bank, which made relatively few loans to low income and minority areas and individuals while also having some of the highest denial rates, tied for the worst (i.e., lowest) score with Nor- west Bank. Fig. 3 shows that, even among lenders that made roughly similar numbers of total loans, there was great variability on the CMRPI. Several conclusions can be drawn from the descriptive statistics: Low income areas, minority areas, low income individuals, and blacks receive a dis- proportionately low share of the home mortgage loans in St. Joseph County. This is because relatively few loan applications are received from such areas and individuals, while those who do apply are much more likely than the general population to have their application rejected. I Home Mortgage Loan Practices I 91 I 04.4 I 80.0 70.0 80.0 50.0 40.0 30.0 20.0 10.0 n FIGURE 3 Community Mortgage Relative Performance Index At least some of the above may be attributed to factors such as income and credit his- tory. However, it is far more difficult to explain the tremendous bank-by-bank variability that exists. Some of the difference between banks might be attributed to the fact that some small lenders g o after niche markets that either include (or exclude) low income and minor- ity areas and individuals. However, even among the largest lenders, which generally com- pete on a countywide basis, there are tremendous differences in the types of applicants that are drawn to the bank and in the banks' denial rates. Analyses of Community Reinvestment Market Share and Lender Characteristics The previous section showed that there were tremendous disparities in the community reinvestment performance of St. Joseph County lenders. Here, we examine what character- istics, if any, tend to be held in common by those lenders who do more of their business with low income and minority neighborhoods and individuals. For convenience, we will refer to the percentage of a lender's loans that g o to low income and minority neighbor- hoods and individuals as its community reinvestment market share. T A B L E 4 B an k C h ar ac te ri st ic s b y C M R P l B an k N am e Tv D e of I ns tit ut io n O w ne rs hi D S iz e B ra nc he s Lo an s O ria in at ed D e n ia l R at e C M R P l D em og ra ph ic C ha ra ct er is tic s O ve ra ll Le nd in g T ea ch er s C re di t U ni on A dv an ta ge M or tg ag e P re ce de nt F in an ci al C o p S ob ie sk i F ed er al S & L W a te rf ie ld N F S B o f In di an a In la nd M or tg ag e T ru st co rp M or tg ag e A m er ic an G en er al F in an ce N B D M or tg ag e S oc ie ty /A m er itr us t S ta nd ar d F ed er al V al le y A m er ic an B an k 8 T ru st N or w es t M or tg ag e In di an a F ed er al B an k M is ha w ak a F e d e ra l S av in gs N or w es t B an k of I n d ia n a 1s t S ou rc e B an k 39 o th er le nd er s A ll 56 le nd in g in st itu tio n s C re di t u ni on M or tg ag e co m pa ny M or tg ag e co m pa ny S av in gs a nd lo a n M or tg ag e co m pa ny M or tg ag e co m pa ny M or tg ag e co m pa ny C on su m er fi na nc e M or tg ag e co m pa ny B an k S av in gs a nd lo a n B an k M or tg ag e co m pa ny S av in gs a nd lo a n S av in gs a nd lo a n B an k B an k Lo ca l M ed iu m O ut o f st at e La rg e In s ta te S m al l Lo ca l S m al l In s ta te La rg e In s ta te M ed iu m Lo ca l S m al l O ut o f st at e La rg e O ut o f st at e La rg e O ut o f st at e La rg e O ut o f st at e La rg e Lo ca l M ed iu m O ut o f st at e La rg e In s ta te M ed iu m Lo ca l M ed iu m O ut o f st at e La rg e Lo ca l La rg e S om e Lo w M od S om e Lo w M od N o Lo w M od S om e Lo w M od S om e Lo w M od S om e Lo w M od S om e Lo w M od N o Lo w M od S om e Lo w M od S om e Lo w M od S om e Lo w M od S om e Lo w M od S om e Lo w M od N o Lo w M od N o Lo w M od S om e Lo w M od S om e L ~ W M O ~ 11 1 20 1 32 0 17 8 13 30 83 4 12 63 34 59 50 1 56 0 67 2 27 0 13 9 54 6 12 6 94 7 38 0 9. 02 % 13 .7 3% 0. 93 % 3. 26 % 5. 54 % 5. 76 % 3. 14 % 61 3 6 % 4. 84 % 32 .2 1% 8. 79 % 11 .7 0% 6. 90 % 7. 95 % 8. 39 % 5. 26 % 12 .8 8% 30 .7 8% 84 .4 71 .4 65 .1 65 .1 64 .1 63 .0 62 .5 59 .9 53 .1 46 .9 44 .8 42 .2 41 .7 31 .8 26 .0 21 .9 21 .9 - 84 71 1 1 .1 0 70 I Home Mottgage Loan Practices I 93 Table 4 presents the same information as Table 1 except that banks are sorted according to their scores on the CMRPI. At first glance, there do not seem to be many obvious rela- tionships. Locally owned banks get the highest and lowest CMRPI scores and are scattered throughout the rest of the rankings. The six highest scoring lenders include two small banks, two medium banks, and two large banks. For types of institutions, most mortgage companies appear in the top half of the distribution while most commercial banks appear in the lower half. One problem is that lenders differ dramatically in the number of loans they make, hence they differ in their impact on the home mortgage market. For example, the locally owned banks with high CMRPI rankings tend to make relatively few loans compared to the locally owned banks with low ratings. Table 5 therefore provides descriptive breakdowns of com- munity reinvestment market share by lender characteristics. Data from all lenders who did business in St. Joseph County are included here and in the subsequent logistic regression analyses, although obviously the largest lenders will have the greatest impact on the find- ings. About 13% of all loans are made in low income areas. For credit unions, the figure is almost twice as high. Consumer Finance Corporations also do above average business in low income areas. Branch locations are also clearly related to community reinvestment market share: Lenders with branches in low income areas do two to three times more busi- TABLE 5 Low Income and Minority Lending by Characteristics of Lender LowIMod Minority Low Income Black Income Areas Areas Applicants Applicants All lenders 12.9% 2.0% 30.3% 2.7% Type of lender Bank CFC Credit union Mortgage company S & L Location of ownership Within county In state Out of state Asset size < $1 00 million $100M to $1 B > $1 Billion 1 1 .O% 17.4% 24.6% 14.5% 9.2% 12.2% 13.5% 13.7% 15.4% 1 1.4% 12.7% 2.4% 2.9% 6.8% 1.8% 1.2% 2.2% 2.1% 1.5% 1.4% 3.4% 1.4% 25.4% 63.8% 39.8% 33.5% 25.3% 26.6% 35.1% 31.6% 34.8% 27.9% 30.0% 2.2% 1.5% 8.9% 3.3% 1.3% 2.4% 3.2% 2.8% 2.6% 1.9% 3.3% Branch locations No branches in county 4.2% 0.7% 25.5% 0.7% No LowMod branches 6.7% 1 .O% 27.1 'Yo 1 .O% Some LowMod branches 14.2% 2.2% 31 .O% 3.1% T A B L E 6 L o g is tic R eg re ss io n M o d el s fo r C o m m u n ity R ei ve st m en t M ar ke t S h ar e R eg re ss ed o n L en de r C h ar ac te ri st ic s 6. 13 8 2. 51 6' 0. 89 0 2. 46 8 0. 76 8' 0. 33 5 1. 02 7 -0 .5 64 0. 34 3 0. 92 6 -0 .3 48 0. 34 2 0. 59 9 -0 .2 06 0. 31 0 0. 93 1 0. 28 7 0. 36 3 1. 92 4 0. 52 3 0. 37 0 1. 19 8 1. 05 3' 0. 21 5 0. 09 4 -6 .2 35 6. 69 7 0. 34 4 -1 .3 24 * 0. 41 9 -3 .9 65 ' 0. 25 1 T yp e of b an k (c om m er ci al ba nk s is r ef er en ce c at eg or y) C F C C re di t u ni on M or tg ag e co . S av in gs 8 lo an Lo ca tio n of o w ne rs hi p (o ut of s ta te is re fe re nc e ca te go ry ) W ith in c ou nt y In s ta te A ss et s iz e (> $ 1 bi lli on is r ef er en ce c at eg or y) < $ 10 0 M $1 00 m to $ 1 B B ra nc h lo ca tio ns (s om e Lo w M cd is re fe re nc e ca te go ry ) N o br an ch es in c ou nt y N o Lo w M od b ra nc he s 1. 81 5* 0. 90 3* 0. 02 6 -0 .0 77 -0 .5 12 . -0 .0 71 0. 65 4' 0. 18 1' -2 .3 68 ' -1 .0 68 ' 0. 38 5 0. 19 0 0. 1 24 0. 12 6 0. 12 1 0. 12 1 0. 13 8 0. 09 7 0. 46 0 0. 1 55 Lo w In co m e N ei gh bo rh oo ds M in or ity N ei gh bo rh oo ds Lo w In co m e In di vi du al s B la ck s V ar ia bl e B S .E . E xp (B ) B S .E . E xp (B ) B S .E . E xp (B ) B S .E . E xp (B ) C on st an t -1 .7 7s . 0. 09 6 12 .3 75 1. 84 8' 0. 27 9 2. 15 6 0. 56 1' 0. 16 0 0. 56 9 -0 .0 63 0. 08 2 0. 70 7 -0 .0 70 0. 08 8 0. 81 4 -0 .5 58 . 0. 08 5 1. 33 2 0. 12 1 0. 08 6 1. 68 6 0. 66 6' 0. 09 1 2. 86 5 0. 15 9' 0. 07 1 0. 00 2 -0 .6 6 ~ 0. 18 7 0. 26 6 -0 .4 05 ' 0. 09 6 -0 .7 44 " 0. 06 9 6. 34 4 0 . 8 4 ~ 1 .0 89 1. 75 3 1. 94 5' 0. 31 9 0. 93 9 0. 52 4' 0. 26 1 0. 93 2 -0 .1 73 0. 30 0 0. 57 2 -0 .1 02 0. 25 4 1. 12 8 0. 00 3 0. 22 5 1. 94 6 -0 .3 70 0. 29 4 1. 17 2 -0 .5 86 ' 0. 20 7 0. 51 5 -5 .0 15 4. 37 9 0. 66 7 -0 .7 51 ' 0. 37 2 -3 .5 94 * 0. 21 2 2. 33 7 6. 99 1 1. 68 8 0. 84 1 0. 90 3 1. 00 3 0. 69 1 0. 55 7 0. 00 7 0. 47 2 'S ig ni fic an t at th e .0 5 le ve l. I Home Mortgage Loan Pracfices I 95 ness there than lenders that do not. Patterns are similar for minority areas and low income and minority applicants. Location of ownership and asset size do not show any clear and consistent relation with community reinvestment market share. Of course, lender characteristics are somewhat correlated with each other, (e.g., credit unions tend to be smaller and locally owned). To better disentangle these relationships, in Table 6 the different components of community reinvestment market share are regressed on all lender characteristics simultaneously. Specifically, all loan applications that were approved are included in the analysis. Four dependent variables are then computed. On the first, the approved loan is coded 1 if it was from a low income area, 0 otherwise. The pro- cess is repeated for minority areas, low income applicants, and black applicants. Each of these four dependent variables is then regressed on the lender’s characteristics (i.e., the legal structure of the lender, the location of ownership, asset size, and branch locations). In these logistic regressions, a positive coefficient means that this type of lender has a higher community reinvestment market share for this dependent variable, while a negative coeffi- cient means that its share tends to be lower. CFCs and credit unions are consistently more likely to make their loans to low income and minority neighborhoods and individuals than other types of lenders. Conversely, lend- ers that do not have branches in low income areas tend to make relatively fewer such loans. Lenders headquartered within the county tend to make relatively fewer community rein- vestment loans but the results are not always statistically significant. Smaller lenders tend to make more community reinvestment loans except when it comes to making loans to blacks. Hence, at least in St. Joseph County, some types of lenders are much more likely to make community reinvestment loans than are others. Consumer finance corporations seem to specialize in such loans and credit unions, perhaps because of their clientele, also do above average business. Branch locations are also a key factor. Most large lenders in the area have at least one branch in a low income neighborhood. (This may be one thing that is dif- ferent about St. Joseph County compared to larger urban areas.) Lenders that do not have low income branches do relatively little in the way of community reinvestment loans. Finally, the results provide only mixed evidence for the contention that small or locally owned banks do a better job of serving local communities. While this is sometimes true, particularly for smaller banks, effects are not always significant and sometimes run in the opposite direction. Multivariate Analyses of Loan Denial Rates Most analyses of home mortgage lending focus on denial rates. Here, we replicate and extend that work to St. Joseph County. We examine simultaneously how characteristics of the applicant (income, race, gender, and type of loan requested), characteristics of the area in which the applicant wishes to buy (income, racial, and educational composition), and the characteristics of the lender (type of bank, location of ownership, and asset size) are related to the probability of having a loan application denied. As we pointed out before, a bank’s denial rate may or may not be a good indicator of how “friendly” the bank is toward its applicants. For example, a high denial rate may indicate that the bank attracts many low income, higher risk applicants. This becomes less problematic when multiple variables, such as income, are controlled for. E T A B L E 7 - L o g is ti c R eg re ss io n o f D en ia l o n C h ar ac te ri st ic s of t h e A p p lic an t, C en su s T ra ct , a n d L en d er M od el 1 : M od el 2 : M od el 3 : M od el 4 : M od el 5 : i3 4 In d iv id u a l M od el 1 + Tr ac t M od el 2 + Le nd er M od el 3 + B ra nc h M od el 4 + L en de r tn C ha ra ct er is tic s C ha ra ct er is tic s C ha ra ct er is tic s Lo ca tio ns In te ra ct io ns 5 ? V ar ia bl e B S .E . B S .E . B S .E . B S .E . B S. E. I 5 B In co m e (i n $ 1 0 0 0 ~ ) -0 .0 36 ' 0. 00 2 -0 .0 28 ' 0. 00 2 -0 .0 18 ' 0. 00 2 -0 .0 18 ' 0. 00 2 -0 .0 42 ' 0. 00 4 u In di vi du al c ha ra ct er is tic s B la ck a pp lic an t 1. 00 6' 0. 15 0 0. 79 4' 0. 16 0 0. 83 9' 0. 17 0 0. 87 5' 0. 17 1 0. 35 0 0. 28 8 F em al e ap pl ic an t C on ve nt io na l l oa n -0 .2 93 ' 0. 09 8 -0 .2 89 ' 0. 09 8 -0 .2 86 ' 0. 10 6 -0 .2 82 ' 0. 10 6 -0 .3 80 ' 0. 10 9 0. 97 7' 0. 08 6 1. 10 7' 0. 08 7 -0 .2 26 0. 12 6 -0 .4 06 ' 0. 13 0 -0 .4 50 * 0. 12 8 T ra ct c ha ra ct er is tic s M ed ia n in co m e of t ra ct -0 .0 30 ' 0. 00 6 -0 .0 23 ' 0. 00 6 -0 .0 24 ' 0. 00 6 -0 .0 27 ' 0. 00 7 % m in or ity in tr ac t % in tr ac t w ith c 9 th g ra de e du ca tio n -0 .0 04 0. 00 3 -0 .0 02 0. 00 3 0. 00 0 0. 00 3 0. 00 1 0. 00 3 3. 28 2' 1. 08 0 2. 87 4' 1. 17 8 2. 43 8' 1. 18 6 2. 29 8' 1. 21 3 T yp e of b an k (c om m er ci al b an ks is r ef er en ce c at eg or y) C F C 1. 46 8' 0. 16 8 0. 23 4 0. 22 7 0. 10 1 0. 23 2 C re di t u ni on M or tg ag e co m pa ny S av in gs a nd lo a n -0 .7 17 ' 0. 29 2 -0 .6 40 ' 0. 29 3 -0 .6 42 ' 0. 29 8 -1 .5 14 ' 0. 15 0 -1 .6 04 ' 0. 14 2 -1 .5 43 ' 0. 14 3 -0 .9 49 ' 0. 12 0 -1 .2 05 ' 0. 13 9 -1 .1 74 ' 0. 14 3 Lo ca tio n of o w ne rs hi p (o ut o f st at e is r ef er en ce c at eg or y) W ith in c ou nt y In s ta te c $ 10 0 M $l oo m to $ 1 B No b ra nc he s in c ou nt y N o Lo w M od b ra nc he s B la ck , w ith in c ou nt y ow ne rs hi p B la ck , i n s ta te o w ne rs hi p In co m e, w ith in c ou nt y ow ne rs hi p In co m e, in s ta te o w ne rs hi p M ed ia n tr ac t i nc om e, c $ 10 0M a ss et s M ed ia n T ra ct In co m e, $ 1 OO M t o $ 1 B A ss et s A ss et s iz e (> $ 1 bi lli on is re fe re nc e ca te go ry ) B ra nc h lo ca tio ns (s om e Lo w M od is r ef er en ce c at eg or y) B la ck & lo ca tio n of o w ne rs hi p in te ra ct io ns A pp lic an t i nc om e & lo ca tio n of o w ne rs hi p in te ra ct io ns M ed ia n in c of t ra ct & a ss et s iz e in te ra ct io ns -0 .7 72 ' -0 .6 67 ' -0 .7 73 ' 0. 02 3 0 .1 1 5 0. 14 9 0 .1 8 3 0. 11 5 -0 .7 22 ' -0 .7 91 * -1 .1 7 3 ' -0 .1 27 1 .5 6 V 0 .8 1 0 ' 0. 11 5 0 .1 4 6 0. 1 9 0 0. 12 2 0 .1 9 1 0. 17 2 -1 .3 86 ' -2 .3 85 ' -2 .6 69 ' -0 .5 79 1. 60 9' 0. 74 8' 0. 70 8 0. 99 1 * 0. 02 2' 0. 04 5' 0 .0 4 3 ' 0 .0 1 4 0. 20 8 0 .2 1 3 0 .6 0 8 0. 34 5 0. 19 6 0 .1 7 6 0. 38 7 0 .4 0 8 0. 00 5 0. 00 5 0. 01 6 0 .0 0 9 - C on st an t -1 .5 3 8 0. 10 3 -1 .0 0 6 0. 25 7 0. 54 4 0. 28 8 0. 75 4 0. 29 1 1. 63 0' 0. 32 5 3 3 'S ig ni fic an t at th e .0 5 l ev el . 98 I JOURNAL OF URBAN AFFAIRS I Vol. 79/No. 7/7997 Table 7 presents the results of logistic regressions of loan denial on characteristics of the applicant, the area in which the desired home is located, and the lender. Variables are entered hierarchically in five stages. Because coefficients are fairly stable from one model to the next, we focus most of our discussion on the fourth and fifth models. As Model 4 shows, higher income applicants, applicants from higher income areas a n d or better educated areas, and those seeking a conventional rather than an FHA or VA loan are less likely to have their loan applications denied. Note that, unlike any other variable, the effect of conventional loans reverses sign once lender characteristics are added to the model. This reflects the fact that many types of lenders (e.g., credit unions) do not offer FHA or VA loans. Hence, type of lender, type of loan, and denial rate are all correlated with each other. These factors get disentangled once charcteristics of the lender are included in the model. Perhaps surprisingly, female applicants are also less likely to be denied. Blacks, on the other hand, are more likely to have their applications denied. How- ever, the racial composition of the tract is not related to loan denial when the income and educational composition of the tract is taken into account. If any areas are being discrimi- nated against, it appears to be because of income rather than racial composition. Characteristics of the lender are also related to the probability of a loan being denied. Credit unions, mortgage companies, and savings and loans all have lower denial rates than commercial banks. Banks headquartered out of state have significantly higher denial rates. The very largest banks deny more loans than the smallest. Branch locations is another very critical variable: banks with locations in low income areas turn down fewer loans than banks without such locations. These results replicate previous analyses which showed that, even after controlling for a host of relevant variables, blacks are more likely than others to have their applications denied. In addition, our results are consistent with Kim and Squires (1993, who found that some types of lenders were more likely to deny loans than others. However, Kim and Squires also argued that some lenders would review applications more carefully and be more willing to work with marginal applicants and, hence, would be less prone to racial bias. If this is also true in St. Joseph County, we should find that there are significant inter- actions between lender characteristics and characteristics of individuals and areas. For example, the negative effect of race should be larger for some types of lenders than for others. There are many potential interaction terms that could be added to the model, and includ- ing all of them would no doubt result in severe problems of multicollinearity. Therefore, we relied on stepwise regression procedures to determine which interactions would be included. The results are shown in Model 5 . Several things stand out. Kim and Squires (1995) found that the effect of race on denial rates was less for sav- ings and loans than for commercial banks. We find no such difference here. We do find significant interactions between the race and income of the applicant with the location of the lender’s ownership. One interpretation of these interactions is that lend- ers whose main office is located out of state are less affected by the applicant’s race and more affected by the applicant’s income than lenders with ownership within the county or state. That is, the decisions of out-of-state lenders are driven more by economic than by racial factors. I Home Mortgage Loan Practices I 99 There is also a statistically significant interaction between the assets of the lender and the median income of the tract. The very largest lenders tend to be more affected by tract income than are the very smallest. DISCUSSION Previous studies have shown that, nationwide, low income and minority areas and indi- viduals are less likely than others to apply for home mortgage loans. When they do apply, their applications are more likely to be rejected, even after factors such as income are con- trolled. Our analyses show that St. Joseph County, Indiana, is no exception to this general pattern. These differences can be, and have been, attributed to such factors as credit history and how good of a risk the desired property is. Like most other studies, our analyses cannot per- fectly control for such factors. However, such explanations apply only to the performance of all banks collectively. Our analyses show that there are huge differences between banks in the number and types of applications they receive and in their loan denial rates. Such dif- ferences strongly suggest that bank discretion and lending practices have a substantial impact on the number and amount of loans made. Our analyses also found that, in St. Joseph County at least, these discrepancies were associated with lender characteristics. Credit unions and consumer finance corporations did more of their business with low income and minority neighborhoods and individuals than other types of lenders. For credit unions, this may reflect the nature of their clientele. For CFCs, it probably reflects targeting groups and areas that are often ignored by others. Lenders with branch locations in low income areas also did more business there. Of course, St. Joseph County may be unique in that most of the largest lenders have at least one low income branch, often in downtown South Bend. It may be that “branch locations in low income areas” is an indicator of the extent to which a lender includes any of South Bend in its marketing area. For example, Mishawaka Federal Savings and other lenders which lack branch locations in the low income areas of South Bend often have few branches in the rest of the city. Further, while downtown locations may be con- venient for the residents of many low income neighborhoods, that probably is not why most lenders set up their offices there. Examinations of localities where branch loca- tions in low income areas are not so common might give a better indication of how important such offices are and how the behavior and success of lenders is related to them. Like Kim and Squires, we also found that lender characteristics were related to denial rates. Perhaps because of their differing options and economic interests, some types of lenders (e.g., commercial banks) tended to have higher denial rates than others. Unlike Kim and Squires, we did not find that the effect of race was any less for thrifts than it was for other types of lenders. One possible explanation is that in Milwaukee, which Kim and Squires studied, greater racial conflict has affected lenders in ways not found in St. Joseph County. The effect found in Milwaukee may have been produced by a few racially sensi- tive lenders that coincidentally happened to be savings and loans. We did find that lenders owned out of state seemed less affected by race and more affected by income than other lenders, suggesting their decisions may be more economi- 100 I J O U R N A L O F URBAN AFFAIRS I Vol. 19/No. 1/1997 cally than racially driven. This does not necessarily mean that blacks would be better off applying to an out-of-state lender. Because many blacks are also low income, the smaller effect of race on denial rates for out-of-state lenders will tend to be offset by the greater effect of income. Further, while out of state lenders may treat blacks and whites more equally, they treat them equally harshly because, as the model also shows, out of state lend- ers tend to have higher overall denial rates. We noted that there was much concern about what the effect of increasing bank concen- tration would have on community reinvestment. We did find that small locally owned banks tended to have lower denial rates than others. However, we also found that this did not consistently result in doing more of their total business with low income and minority neighborhoods and individuals. Large out-of-state lenders may have higher denial rates, but they seem at least partially to compensate by sometimes attracting more low income or minority applicants. As we have argued, denial rates can be deceptive and more needs to be known about what attracts applicants in the first place. Obviously, it would be wise to try to replicate these findings in other cities. It is always possible that a few large atypical lenders are skewing the results. Within St. Joseph County, we saw substantial variability within categories of lenders, suggesting there are many other important variables affecting lenders which have not yet been examined. What other sorts of factors motivate a lender to have superior performance and what exactly is it that the bet- ter lenders do that make them more effective? Anecdotal experience from St. Joseph County suggests that future research should focus on the following: Exposure to political pressure: In the early 1990s, a local community group, CA$H PLU$, entered into negotiations with selected area lenders. One of those chosen was 1st Source, the lender that received the lowest score on our relative performance index. After extensive negotiations, 1st Source refused to sign a formal agreement but apparently did make significant changes in its lending practices. Recent reports indicate that the bank made as many home mortgage loans to blacks in 1993 as it had in the three previous years combined. Further, the bank now appears to perform well above average on many of the factors examined here. Indeed, 1st Source Bank was awarded the 1994 Master Locksmith Award by the South Bend Human Rights Commission for its efforts to promote fair hous- ing throughout the community. Whether these changes are due to the political pressure of CA$H PLU$ is unclear, but it seems worthwhile to examine the effects of such pressure more closely. Institutional attitudes, values, and beliefs: This could be one of the most difficult attributes to measure, but it could also be one of the most important. Do the administra- tors and personnel of a lending institution believe community reinvestment should be a goal? If so, is this belief based on social values or is it a pragmatic response to legal obligations? Do key figures in the organization believe they can promote community reinvestment (e.g., via advertising, community outreach, special credit programs), or do they feel that this is beyond their control (e.g., they cannot make community reinvest- ment loans because people do not apply for them or, if they do apply, they are not quali- fied)? Does the institution have programs for its employees that are designed to promote racial sensitivity and awareness of the problems of low income and minority loan appli- cants? Regardless of the formal positions and policies of the lender, what values are held I Home Mortgage Loan Practices I 101 by employees and what actually happens in practice? Interviews with bank personnel might be one way of getting such information. Observational studies might be another. Advertising practices: CA$H PLU$ and other community organizations often pres- sure banks to advertise in minority newspapers, use minorities in their ads, etc. It needs to be determined whether banks that do this are more effective in attracting low income and minority applicants. Minority outreach: One possible explanation for low application rates is that some groups, particularly minorities, may feel uncomfortable with traditional bank settings. Banks that go out into the community and recruit or send loan representatives to nontradi- tional settings (e.g. neighborhood centers) may attract a larger applicant pool. Minority loan officers and board members may be important factors in attracting minority appli- cants. For example, during summer 1994 1st Source had bank employees canvas low income areas, informing South Bend residents of the bank’s products and services. 1st Source also conducted a bilingual homebuyer’s workshop and translated some of its bro- chures into Spanish. Credit programs: Banks often claim that credit problems make minorities and others more likely to have their loans denied. However, some institutions have credit counseling programs which help people put their financial affairs in order. Lenders that are willing and able to provide such services may find that it pays off with more loans (and more profits). 1st Source, for example, has held credit counseling seminars and established what it calls Credit StarterKredit Builder loan products. Bank growth strategy and goals: In a period of rapid banking industry consolidation, some banks plan to grow through interstate bank mergers. In order to successfully pursue this strategy, these institutions must conform with the Community Reinvestment Act or risk that their mergers will be challenged and denied on CRA grounds. In conclusion, the greatest success of this study is the way it illustrates the tremendous variability between lending institutions in St. Joseph County, Indiana. We have identified lender characteristics that seem to be associated with that variability. At the same time, it is clear that the most commonly suggested lender characteristics (type of bank, size, location, branch offices) cannot account for all of the variability that exists between different lend- ers. We think it is important to examine other factors that may motivate lenders. Further, we need to go beyond looking at particular characteristics of banks and look at what the banks actually do. Banks that adopt particular practices and procedures may be more effec- tive than those that do not. Those practices and procedures need to be identified before we can get a clear idea of why lenders differ so dramatically in their community reinvestment performance. ACKNOWLEDGMENTS: The authors thank Norma Aros, Heriberto Estrada, and Elaina Cockerham for providing excellent research assistance on this project and Josh Silver from the NCRC for providing the coalition’s most current CRA commitments. They also thank the editors and reviewers for many helpful comments. Mr. Nesiba sincerely thanks the U.S. Department of Housing and Urban Develop- ment for providing financial assistance for his research which partially funded this project. The views expressed do not necessarily reflect the views or politics of the U S . Department of Housing and Urban Development. An earlier version of this paper was presented at the 1994 annual meetings of the American Sociological Association. 102 I JOURNAL OF URBAN AFFAIRS I Vol. 19/No. 1/1997 REFERENCES Bartlett, S . (1989). Bank closings discriminate, report asserts: services for minorities decreasing in Becker, G. (1993). The evidence against banks doesn’t prove bias. Business Week, April 19, 18. Benston, G. J. (1979). Mortgage redlining research: a review and critical analysis discussion. In The regulation of financial institutions: proceedings of a conference held in October 1979, Sponsored by the Federal Reserve Bank of Boston and the National Science Foundation, Conference Series No. 21, pp. 144-195. Blossom, T., Everett, D., & Gallagher, J. (1988). The race for money. A four-part series. Detroit Free Press, July 24-27. Brady, A., Dubridges, A., & Klepper, C. (1980). Lending patterns and race in Southern suburbs: a communify reinvestment act study. Park Forest, IL: South Suburban Fair Housing Coalition. Brimelow, P. (1993). Racism at work? National Review, April 12,42. Brimelow, P., & Spencer, L. (1993). The hidden clue. Forbes, January 4,48. Browne, L. E., & Tootell, G. M. B. (1995). Mortgage lending in Boston-a response to the critics. New England Economic Review, (September/October), 53-78. Campen, J. T. (1993). Banks, communities and public policy. In G. A. Dymski, G. Epstein, & R. Pollin. (Eds), Transforming the US. financial system: equity and eflciency f o r the 21st century, pp. 221-249. Armonk, NY: M. E. Sharpe. Canner, G. B., & Smith D. S. (1991). Home mortgage disclosure act: expanded data on residential lending. Federal Reserve Bulletin, 77,859-88 1 . Canner, G. B., & Smith, D. S. (1992). Expanded HMDA data on residential lending: one year later. Federal Reserve Bulletin, 78, 859-88 1 . Carr, J., & Megbolugbe, I. F. (1993). Another look at the Boston Fed’s mortgage discrimination study. Housing Research News, 1,(2), 1,5-8. Carr, J., & Megbolugbe, I. F. (1994). The federal reserve bank of Boston study on mortgage redlining revisited. Journal of Housing Research, 4,277-3 14. Caskey, J . (1992). Bank representation in low-income and minority urban communities. Working paper of the Research Division of the Federal Reserve Bank of Kansas City. December, RWP Dedman, B. (1988). The color of money. Atlanta Journal & Atlanta Journal Constitution, May 1-4. Dunham, C. R. (1991). The unknown lenders: the role of mortgage bankers in the Chicago metropolitan area. Chicago: Woodstock Institute. Dymski, G. A., & Veitch, J. M. (1991). A wonderful life it’s not: bank lending for affordable housing in Los Angeles. Unpublished paper. Dymski, G. A., Veitch, J. M., & White, M. (1990). Taking it to the bank: poverty race and credit in Los Angeles. A Report to the City of Los Angeles. Los Angeles: Westem Center on Law and Poverty. Evanoff, D., & Fortier, D. (1986). Geographic expansion in commercial banking: inferences from intrastate activity. In H. Baer, & S . F. Gregorash (Eds.), Toward nationwide banking: a guide to the issues, pp. 39-58. Chicago: Federal Reserve Bank of Chicago. Finn, C. (1989). Mortgage lending in Boston’s neighborhoods, 1981-1987: a study of bank credit and Boston’s housing. Boston: Boston Redevelopment Authority. Guskind, R. (1989). Thin red line. National Journal, October 28,2639-2643. Home, D. K. (1994a). Evaluating the role of race in mortgage lending. FDIC Banking Review, Home, D. K. (1994b). Mortgage lending, race, and model specification. Preliminary draft. Federal New York. New York Times, January 31, B-1. 92-10. Spring/Summer, 1-15. Deposit Insurance Corporation, Division of Research and Statistics. I Home Motigage Loan Practices I 103 Kim, S., & Squires, G. D. (1995). Lender characteristics and racial disparities in mortgage lending. Liebowitz, S., & Day, T. (1993). A study that deserves no credit. Wall Street Journal, September 1, Lueck, T. J. (1992). Banks shut in poor areas stir womes. New York Times, August 17, B-1. Mengle, D. L. (1990). The case for interstate branch banking. Federal Reserve Bank of Richmond, Economic Review, NovemberKlecember, 3-17. Munnell, A., Browne, L. E., McEneaney, J., & Tootell, G. M. B. (1992). Mortgage lending in Boston: interpreting HMDA data. Federal Reserve Bank of Boston, Working Paper No. 92-7, October. Peterman, W. (1990). Mesodynamics of mortgage lending in Chicago and its suburbs. Chicago: Chicago Fair Housing Alliance. Peterman, W., & Sanshi, Q. (1991). Lending discrimination in metropolitan Chicago: continuing connection between race, racial change and mortgage credit. in Chicago Fair Housing Alliance (eds.) Credit by color: mortgage discrimination in Chicagoland. Chicago: Chicago Fair Housing Alliance. Shlay, A. B. (1986). A tale of three cities: the distribution of housing credit from financial institutions in the Chicago SMSA from 1980-1983. Chicago: Woodstock Institute. Shlay, A. B. (1987a). Maintaining the divided city: residential lending patterns in the Baltimore SMSA. Baltimore: Maryland Alliance for Responsible Investment. Shlay, A. B. (1987b). Credit on color: the impact of segregation and racial transition on housing creditpows in the Chicago SMSA from 198G1983. Chicago: Chicago Fair Housing Alliance. Shlay, A. B. (1987~). The underwriting of community: evaluating federally regulated depository financial institutions’ residential lending performance within the Baltimore SMSA from 1980-1984. Baltimore: Maryland Alliance for Responsible Investment. Shlay, A. B. (1988). Not in that neighborhood: the effects of housing and population on the distribution of mortgage finance within the Chicago SMSA from 1980-1983. Social Science Research, 17, 137-163. Shlay A. B., & Freedman, S. (1986). Islands of opportunities: mortgage banker residential lending within the Chicago SMSA from 1980-1 983. Chicago: Woodstock Institute. Shlay, A. B., & Goldstein, I. J. (forthcoming). Proving disinvestment: the CRA research experience. In A. B. Shlay (Ed.), The politics of community reinvestment: legislation organizing and financial reform. Philadelphia, PA: Temple University Press. Journal of Housing Research, 6,99-113. A14. US. Statutes at Large. (1980). Washington D.C.: Government Printing Office. Williams, P., Brown, W., & Simmons, E. (1988). Race and mortgage lending in New York City: a study on redlining. Brooklyn: Medgar Evers College, Center for Law and Social Justice. Yezer, A., Phillips, R. F. & Trost, R. P. (1994). Bias in estimates of discrimination and default in mortgage lending: the effects of simultaneity and self-selection. Journal of Real Estate Finance and Economics, 9(3), 197-215. Zandi, M. (1993). Boston Fed’s bias study was deeply flawed. American Banker, August 19, 13. 
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work_tvaglb5y4zdi5kwmawzr5nczz4	----	PII: 0022-1694(95)02989-3 Journal of Hydrology E L S E V I E R Journal of Hydrology 184 (1996) 189-208 Wetland evaporation and energy partitioning: Indiana Dunes National Lakeshore Catherine S o u t h a'*, Charlotte P. W o l f e b, C. Susan B. Grimm0nd c aDepartment of Geography, Indiana University Purdue University Indianapolis, 213 Cavanaugh Hall, Indianapolis, IN 46202, USA bSchool of Public and Environmental Affairs, Indiana University, Bloomington, IN 47405, USA CClimate and Meteorology Program, Department of Geography, Indiana University, Bloomington, IN 47405, USA Received 25 February 1995; accepted 29 October 1995 Abstract For most wetlands precipitation and evapotranspiration are the major components of water gain and loss. However, studies of the hydrology of wetlands largely ignore evaporation, or calculate it by difference or some very simple measure. As part of an integrated study of the hydrology and ecology of wetlands in the Indiana Dunes National Lakeshore, evaporation was measured directly as its energy equivalent, the latent heat flux, using eddy correlation techniques for a 10 day period in June 1994. In addition, data were collected on the other surface energy balance fluxes (net all-wave radiation and sensible heat flux), and ancillary meteorological variables (wind speed and direction, temperature, pressure, relative humidity, solar radiation and water depth). Overall, latent heat flux dissipated 48% of the available radiant energy, storage heat flux 35%, and sensible heat flux 17%. A simple hysteresis model for the storage heat flux was developed which performed extremely well. Proximity to Lake Michigan resulted in evaporation rates close to the equilibrium rate (average Priestley-Taylor t~ = 1.035), which were affected strongly by net all-wave radiation. Three com- monly used models of evaporation, Penman, Priestley-Taylor ( a = 1.26) and equilibrium (or = 1.0) are evaluated. The relative success of the equilibrium model, with its limited data requirements, offers great potential for longer-term modeling of water and energy exchanges in this type of wetland environment. 1. I n t r o d u c t i o n W e t l a n d h y d r o l o g y is a p r i m a r y d r i v i n g f o r c e i n f l u e n c i n g w e t l a n d e c o l o g y , its d e v e l - o p m e n t and p e r s i s t e n c e . I n c r e a s e d d e m a n d for a g r i c u l t u r a l and d o m e s t i c w a t e r s u p p l i e s , * Corresponding author. 0022-1694/96/$15.00 Copyright © 1996 Published by Elsevier Science B.V. All rights reserved PII 0022-1694(95)02989-3 190 C. Souch et al./Journal of Hydrology 184 (1996) 189-208 the use of wetland systems in waste water treatment, and speculation about the effects of climate change, have raised awareness of the need for accurate estimates of wetland hydrological fluxes. For most wetlands evapotranspiration is the major component o f water loss, and when considered as its energy equivalent, the latent heat flux, the major energy sink (Wessel and Rouse, 1993). Yet despite an extensive number o f studies (see reviews by Linacre (1976) and Ingram (1983)), in general, evaporation from wetlands is poorly understood (Lafleur, 1990a), and detailed studies o f the physical processes involved remain restricted to a limited range of geographic environments. In those studies where evaporation is considered explicitly, methods used to measure or model evaporation vary considerably, with significant implications for the accuracy of the results. In many cases, evaporation is not measured directly but is determined as a residual (see, e.g. review by Winter (1981)). The most direct method for obtaining the rate of evaporation uses the eddy correlation approach (WMO, 1966). However, the method requires high-quality instrumentation, and is most applicable to studies of short time periods rather than long-term monitoring. Consequently, the technique has been little used in wetland environments. As part of an integrated study of the hydrology and ecology o f the Great Marsh o f the Indiana Dunes National Lakeshore, measurements o f the latent heat flux (evapotranspira- tion) were undertaken using eddy correlation equipment. The overall objective o f the study is to examine the relations between wetland hydrology and vegetation, and the role of anthropogenic disturbance in determining wetland plant community composition. The purpose of this paper is to present the results o f the first set o f micrometeorological measurements, to consider the controls on evaporation in this region, and to assess simple methods to model the flux in such an environment. 2. M e t h o d s 2.1. S t u d y a r e a Indiana Dunes National Lakeshore, located in northern Indiana along 25 km o f Lake Michigan's shoreline (Fig. 1), was authorized in 1966 by Congress to preserve remnants o f a unique lacustrine ecosystem and provide educational and recreational opportunities near large urban areas. Within this area wetlands occupy interdunal areas, although extensive drainage and ditching before the establishment o f the National Lakeshore has drained many wetlands. The most extensive wetland is the Great Marsh (32 km long, an average o f 0.8 km wide) (Fig. 1), which is composed of several distinct watersheds which have undergone varying degrees of disturbance. This study was conducted in the Dunes Creek watershed (Fig. 1). This area, located within Indiana Dunes State Park, has been the least affected by disturbance of all the Great Marsh watersheds. Although ditching has occurred in the past, the area has largely recov- ered and contains diverse flora (Wilhelm, 1990). The surficial geology o f the Great Marsh consists of non-uniform paludal deposits of 0.3-1.5 m depth, on top o f unconsolidated glacial, lacustrine and eolian deposits (Thompson, 1987). Existing hydrological informa- tion on the Great Marsh indicates it is a discharge zone for both shallow groundwater from C. Souch et al.Hournal o f ttydrology 184 (1996) 189-208 191 I 8 7 0 0 5 , I 87000 , 8 6 ° 5 5 . . . . ~ - T - I i i ! . . _ " / /" ¢ ~d~.c~ig °~ b O . k ¢ ~ ' " City ° 4 0 " - . i / :i( A ] n s t r u m e n t a l / J P l a t f o r m 8 7 o 0 5 ' 8 7 0 0 0 ' I I t-r- uJ t.u I-- ~,km. ,3mi. 8 6 o 5 5 , 1 Fig. 1. The Great Marsh and location of the instrumentation platform (adapted from Shedlock et al. (1994)). adjacent dune complexes, and water from deeper semi-confined aquifers (Loiacono, 1986). Average water d e p t h throughout the undrained portions o f the marsh ranges on average from 0.3 to 1.0 m, varying with inflows and outflows, precipitation, and evapora- tion loss (Shedlock et al., 1994). The vegetation in the less disturbed portion o f the Great Marsh consists o f submergent open water, emergent marsh, sedge meadow, s c r u b - s h r u b wetlands, and hydromesophytic swamp forest. Open water areas are dominated by submergent aquatic vegetation such as Potamogeton spp. (pondweed) and Ceratophyllum demersum, floating leaved Lemna spp., grading into areas o f emergents including Sagittaria latifolia, Nuphar advena, and Poly- gonum spp. These emergents are similarly found in the emergent marsh areas. Floating mats within the open water areas often provide substrate for these emergents as well as for Typha spp., Carex spp., and aquatic shrubs such as Decodon verticillatus (swamp loose- strife) and Cephalanthus occidentalis (buttonbush). As the floating mats recede and the water becomes shallower, the areas are classified as s c r u b - s h r u b wetlands. In addition to the same shrubs mentioned as occurring on the floating mats, Rosa palustris (swamp rose) is c o m m o n in the s c r u b - s h r u b wetland areas. In the vicinity o f the measurement site, the vegetation forms islands several meters across, and covers approximately 50% of the surface area o f the Marsh. During the observation period, the average height o f the vegetation was approximately 1 m, with the tallest vegetation extending 1.5 m above the water surface (Fig. 2). 192 C. Souch et al./Journal of Hydrology 184 (1996) 189-208 Fig. 2. Upper photo: view looking south across the Marsh from the north bank towards the instrument platform. Lower photo: instrument platform with equipment mounted. 2.2. Instrumentation In this study, evapotranspiration, referred to hereafter as evaporation, was measured as its energy equivalent, the latent heat flux. M e a s u r e m e n t s were c o n d u c t e d w i t h i n the frame- w o r k of the surface energy balance, which for an extensive h o m o g e n e o u s surface in the absence of advection can be defined as Q ( = Q H + Q E + A Q s [ W m -2] (1) C. Souch et al./Journal o f Hydrology 184 (1996) 189-208 193 Table 1 Instrumentation used Variable Symbol Instrumentation Solar radiation K l LI-200S Net all-wave radiation Q" REBS Q'6 Sensible heat flux QH CSI sonic anemometer CA27 Latent heat flux QE CSI krypton hygrometer KH20 Wind speed and direction U, Dir RM Young Wind Sentry Relative humidity RH CSI XN217 Temperature T CSI XN217 Water depth z PCDR950 pressure transducer Pressure P SBP270 barometric pressure transducer where Q* is the net all-wave radiation, Qn is the sensible heat flux, QE is the latent heat flux, and AQs is the net storage heat flux (which accounts for net storage of energy in the wetland system, in addition to the more usually cited soil heat flux, Q6). QE is related to the mass (water) term E (m s -1) by E = ( Q E ) / ( L v P ) (2) where Lv is the latent heat of vaporization (J kg-1), and p the density of water (kg m-3). In this study, energy balance observations consisted of direct measurements of sensible and latent beat flux, and net all-wave radiation. All equipment was installed at a height of approximately 2 m on a platform located in the center of the marsh, approximately 250 m from the closest edge of the wetland (to the south) (Fig. 1 and Fig. 2; Table 1). The dune ridges which constrain the wetland are vegetated with trees (Fig. 2). The measurement height of 2 m was selected so that the source area for the measurements remained within the wetland, while maximizing the height of the instruments above the vegetation elements. The convective fluxes (QH and QE) were measured using eddy correlation techniques (Oke, 1987). A Campbell Scientific Inc. (CSI; Logan, UT) one-dimensional sonic anem- ometer and fine-wire thermocouple system (SAT: CA27) was used to measure vertical wind velocity and temperature; a CSI krypton hygrometer (KH20) was used to measure the absolute humidity. Fluctuations in the vertical wind velocity, air temperature and humidity were sampled at 5 Hz, and the covariances determined over 15 min periods. Following the procedure of Tanner and Greene (1989), flux corrections were made for oxygen absorption by the sensor, and corrections for air density were made using the method of Webb et al. (1980). Net all-wave radiation was measured with a REBS Q*6 net radiometer, and incoming solar radiation with a Li-Cor (Lincoln, NE) LI-200S pyran- ometer. A full error analysis has not been conducted on the Campbell Scientific krypton hygrometer and sonic anemometer, but sources of errors and consideration of their likely magnitudes have been discussed by Roth and Oke (1994). Typical measurement errors for net pyrradiometers are 3 - 4 % (Latimer, 1972). The standard method of measurement of soil heat flux (Q6) uses a plate (or plates) buried close to the surface. Halliwell and Rouse (1987) suggested that such an approach seriously underestimates soil heat flux in wetland environments (their study was 194 C. Souch et al./Journal of Hydrology 184 (1996) 189-208 Table 2 Average daily and daytime fluxes (MJ m -2 dayq), and flux ratios for the measurement period Q" QH QE AQ~ Qn/QEI3 Qn/Q*x QE/Q" T AQJQ" A Daily (24 h) 16.79 2.81 8.14 5.83 0.35 0.17 0.48 0.35 Daytime (Q* > 0)" 18.11 2.80 7.33 7.98 0.38 0.15 0.41 0.44 a Daylength 14 hours conducted in permafrost terrain), and sensible and latent heat changes within the soil profile must be accounted for. In this study, given the sub-scale heterogeneity in surface cover (open water of varying depth, vegetation, bare sediment, etc.), it is extremely difficult to measure AQs directly using such an approach. Here, AQs is reported as the residual o f the energy balance: A a s -- Q* - OH - QE (3) This has the inherent problem that all measurement errors o f the other energy balance fluxes are cumulated in the AQs term, including possible advective effects. Thus the AQs reported here should be interpreted accordingly. In addition to the energy balance data, ancillary climate information (wind speed and direction, temperature, pressure, relative humidity, solar radiation, and water depth at the instrument tower) were collected (see Table 1 for information on instrumentation) for the period June 1 9 9 4 - O c t o b e r 1995 for modeling purposes. 2.3. Description o f meteorological conditions during study period Compared with normal, June 1994 was w a r m e r (average temperature 21.9°C, 1.3°C above normal) and wetter (129.5 m m , 25.1 m m greater than normal) (NOAA, 1994, South Bend Local Climatological Data). On 13 June 1994, the day before the measurements started (Year/Day 94/164), a cold front passed through the region. Associated with this, severe thunderstorms resulted in 18.3 m m o f rain locally (measured at the Park head- quarters; location shown in Fig. 1). Throughout the actual measurement period, the regio- nal-scale flow was dominated b y an anticyclone centered over Kentucky, which resulted in hot and humid conditions, with winds predominantly from the southwest. Convective thunderstorms developed in the vicinity o f the study area in the afternoon, generally displaced away from Lake Michigan. On the evening o f 19 June (94/170) a w a r m front passed across the region. No rain occurred at the study site. The following day the high pressure rebuilt to the south, and conditions reverted to the hot and humid weather o f the previous week. Cloud cover varied both throughout the course o f the day, and from day to day (see further discussion below). At the local scale, the diurnal wind pattern is controlled by the presence o f Lake Michigan directly to the north o f the site. This results in the development o f a daytime lake breeze and a nocturnal land breeze. 3. Energy balance fluxes The observed energy balance fluxes are shown in Fig. 3. The resulting daily (24 h) and C. Souch et al./Journal o f Hydrology 184 (1996) 189-208 195 E v x LL 8 O O 6 O 0 4 0 O 2 O 0 0 -200 1 0 . 5 o - 0 . 5 -1 1 0 . 5 0 - 0 . 5 3 5 i i 1 i i Q . _ _ Q H . . . . Q £ . . . . . A Q s ......... I I I I I 3 O 0 o 2 5 v I--- 2 0 t .... i i I i , i ~~t ~, ~ ,~ . t ,, I 1 I ~3 v E3 E v 3 6 0 g " " 2 7 0 > - 1 8 0 £3 9 0 0 1 6 7 I I I :~ , ' | i i 1 i i 4 0 | I , i i i 2 O 1 0 0 I 0 l I J; 1 6 8 1 6 9 1 7 0 1 7 1 1 7 2 1 7 3 T i m e (d) Fig. 3. Time series o f energy balance data, flux ratios (/~, X, A, T), temperature (T), vapor pressure deficit (D), wind speed (U), and wind direction (Dir) for the measurement period. 196 8 0 0 6 0 0 4 0 0 v x 2 0 0 2 i1 0 - 2 0 0 1 0.5 0 -0.5 1 0.5 0 -0.5 1 CO ( ~ 0.5 0 - 0 . 5 C. Souch et al./Journal of Hydrology 184 (1996) 189-208 I I I I I Q" o - ~ O H " + - - - a ~.~.i. I t I I I I } I I I I I I i ....... I . . . . . . ~ 1 ~tl E] I I I I I [~ T----° k -~ . . . . a--z> a : - a - - m - ~ _ _ ~ _ _ ~ _ . _ ~ - + - ' ' + A - D - _ ~ v v v 7 v v v ~ v -i-__.+.J, I I / / I O 0 0 0 I I I I 0 4 8 12 16 20 T i m e (h) Fig. 4. Ensemble energy balance and flux ratios. daytime (Q* > 0) fluxes and ratios are summarized in Table 2. Mean (ensemble) flux values and ratios are presented in Fig. 4. Overall 48% of the net available radiant energy was used in evaporation, 35% in storage, and 17% in the sensible heat flux (Table 2). Observations from individual days are similar in terms of trend and magnitudes, but they are marked by more variability (Fig. 3). Net all-wave radiation is fairly consistent from day to day, although the effects of cloud in the afternoon of 94/170 and morning of 94/171 are apparent. Overall the storage term tends to be the major flux in the morning (Fig. 3 and Fig. 4), peaking at solar noon. It declines through the afternoon and becomes a source of heat 1 - 2 h before Q* reverses sign. Evaporation peaks in the early afternoon, with high values through to the early evening. Evaporation remains positive throughout the night, sustained by the large energy release from storage. The sensible heat flux is by far the smallest flux (Fig. 4), and for most o f the period is very consistent from day to day (Fig. 3). The nature of the asymmetry in each of the fluxes is shown clearly in the ratios X (QH/ Q*), "r (QE/Q*), and A (AQs/Q*). Similar to previous observations, A decreases over the course of the day, whereas 1' increases, and X remains remarkably constant. For the study c. Souch et al./Journal of Hydrology 184 (1996) 189-208 197 period the average Bowen ratio (~) was 0.35. The diurnal trend o f ~ is fairly constant, with a very slight decrease through the course o f the day (Fig. 4). The hourly latent heat flux is strongly related to net all-wave radiation, and exhibits a positive relationship with temperature, vapor pressure deficit and wind speed (Fig. 5(a)). When plotted against wind direction, evaporation is greater with flows from the north and reduced with winds from the south. However, when QE is considered as a fraction o f radiant energy, T (QFJQ ~) (Fig. 5(b)), the variation with wind direction is removed; flows tend to be from the north during the day and associated with the higher daytime evaporation rates, and from the south at night, i.e. lower evaporation rates. The storage term constitutes 35% of daytime (Q* > 0) fluxes, and 44% of daily (24 h) fluxes. Although in this study the flux was not measured directly, significant warming of the upper water column was noted by researchers as they waded out to the platform to check the equipment. A major problem in comparing the storage term calculated here with values documented in previous studies of wetlands is that the surface characteristics o f 'wetlands' vary greatly, most notably in terms of vegetation and the supply o f water. In few wetlands is surface water always freely available. The majority of previous micro- meteorological studies o f wetlands have been conducted in high latitudes with only per- iodic inundation. Rouse et al. (1987), from studies in southern James Bay and central Hudson Bay, determined the ground heat flux, QG, to average 12 and 14% o f Q* over the growing season period; Halliwell and Rouse (1987) documented QG at 1 6 - 1 8 % of Q*. In studies of wetlands with standing water always present, Linacre et al. (1970), using data based on one clear day with measurements of the storage term from a lake temperature survey from another, calculated storage at 61% of net radiation, and Silis et al. (1989), in a nearshore intertidal zone of the Western Hudson Bay, estimated heat storage under all conditions to constitute 60% of net radiation. The partitioning of the sensible to storage heat fluxes (QH:AQs) varies through the course of the day (Fig. 4). In the morning, when the atmosphere is fairly stable and wind speeds are low, the air above the Great Marsh is virtually saturated (Fig. 3). Thus the radiant energy is used to w a r m the Marsh. Later in the day, as the atmosphere becomes more unstable and the wind picks up, the turbulent transfer o f heat into the atmosphere is enhanced and the sensible heat flux becomes more significant. Differences are evident in the convective flux partitioning between Days 167, 168, 169, and 171, and Days 170 and 172 (Fig. 3(a) and Fig. 3(b)). On Days 170 and 171 tempera- tures were lower, and the predominant wind direction remained from the north all day. Slightly greater wind speeds but reduced vapor pressure deficits depressed QE, with a concomitant increase in the sensible heat flux. 4. Modeling In m a n y studies o f wetland hydrology, evaporation is not measured but modeled using data collected at or near the site. T w o simple models that have been used extensively for environments where water is not a limiting factor are those o f Penman (1948) and Priestley and Taylor (1972). Both approaches calculate the latent heat flux as a function of 1 9 8 C. Souch et aL/Journal of Hydrology 184 (1996) 189-208 3 0 0 2 5 0 2 0 0 1 5 0 1 0 0 50 0 o ° % ° o o°o o o o ~> ~,% go o 0 ~0 0 0 D 0 o o o%000 0 0 0 0 0 O 0 ~ ~ o :0 0 0 • 0 ~':o o o o . o 0 o . . . . . . . . . . . : -50 i ~ ~ i i i ~ - 1 0 0 0 1 0 0 2 0 0 3 0 0 4 0 0 5 0 0 6 0 0 7 0 0 Q* (W m -2) 3OO 25O 2OO o4 ~ : 1 5 0 1 0 0 v LU (21 50 0 - 5 0 30O 25O 2O0 150 100 5 0 0 -50 0 l l i i i o i 0 o ° o o O 0 O O0 0 O ~ O ' e 0 ~ ' A ~ ~ v 0 0 ~ 0 0 0 0 0 ~0 0 0 0 0 0 0 ~ 0 0 0 0 ° 0 o8o°o °~oo oo . . . . . . . I I I I I I I 5 10 15 2 0 2 5 3 0 3 5 4 0 10 D (Pa) , , , g, @ 0 O 0 0 0 0 0 o 0 O0 o o8 o o <><> o o~<> 0 0 0 0 o 0 0 @ 0 0 o 0 o 0 o I I I I 15 2 0 2 5 3 0 T (°C) 35 i b O O I i i e 8 0 O~ 0 0 0 000 O@ 0 O0 o 0 0 0 O0 0 o 0 0 0 0 0 O0 0 O 0 O0 0 0 0 o o8 O°o o 0 o 0 0 0 O0 io; o. O~ 00 08 I I I I I 0 . 5 1 1.5 2 2.5 U (m s "1) i i i i O I , 0 0 o, 0 0 0 O 0 0¢ ¢ 0 o 8 0 0 0 0 0 0 0 o 0 ~ 0 0 0 o O 0 0 O O .... 0 ........... I I I I I 6 0 1 2 0 180 2 4 0 3 0 0 3 6 0 Dir (o) C. Souch et al./Journal o f Hydrology 184 (1996) 189-208 199 T 1.6 1.4 1.2 1 0.8 0.6 0.4 0.2 0 -0.2 I I I I I I O O O 0 0 o 0 ° ®oooo ffo o 0%° 0 "~o . . . . . . . . . I I I I I I I 5 10 15 20 25 30 35 40 10 D (Pa) % I 15 I I I I O O 0 o 0 0 0 0 0 o o ,o oO 0 o 20 25 30 T (°C) 35 i 1.6 °o 1.4 1.2 1 O 0.8 o 0.6 0.4 o o 0.2 8 0 0 o 8 -0.2 0 0 0 0 O0 • ~ Ooo~oO o 8 o 8 ~oo~o~ ~ ~o Oo 0 000~ 0 I I I i I I I t 0.5 1 1.5 2 2.5 0 60 180 240 U (m S -1) Dir (°) 0 0 o ~ 00@ G o o 2 8 . Q < 0 0 0 0 0 .o e ? 12o I 300 360 Fig. 5. (a) Relationship of latent heat flux to ambient meteorological variables: Q*, net all-wave radiation (W m-2); D, vapor pressure deficit (Pa); T, temperature (°C); U, wind speed (m s- 1); Dir, wind direction (degrees). (b) Relationship of "f (QE/Q*) to ambient meteorological variables. temperature and available energy (Q*-AQs). Temperature is used to determine the slope o f the saturation vapor pressure vs. temperature curve (s) and in the calculation of the psychrometric 'constant' (3'). The models differ in that the Penman model also considers the role o f the vapor pressure deficit (D) and wind speed (U). A c o m m o n input requirement for both models is the storage heat flux. Given the broader objective o f this study, to investigate the longer-term hydrological behavior of the wetland system for periods when the energy balance fluxes are not measured (i.e. when the storage term cannot be determined as a residual), a prerequisite is to develop a simple model of the storage heat flux, which can then be used as input to the evaporation model. The approach described here parameterizes the storage heat flux in terms o f the net all-wave radiation which forces the energetics of the system. The use o f this type of model in conjunction 2 0 0 C. Souch et al./Journal of Hydrology 184 (1996) 189-208 with the evaporation models has the significant advantage of not requiring any additional data inputs. 4.1. Storage heat flux models A c o m m o n approach to estimate the storage term, when direct observations are not available, is to calculate it as a simple linear fraction o f the net all-wave radiation (see, e.g. Idso et al. (1975)). However, in many environments (see, e.g. the work o f Camuffo and Bernardi (1982) and Grimmond et al. (1991)), and as documented here, the diurnal pattern of the storage heat flux exhibits distinct hysteresis; values are higher in the morning and lower in the afternoon (Fig. 6). Recognizing this, Camuffo and Bernardi (1982) proposed the following form o f equation to model the storage heat flux: ~Q* AQs = alO* + a2 ~ + a3 (4) where t is time, and al, a2 (h), and a 3 (W m- 2) are empirically determined coefficients. The parameter a~ indicates the overall strength o f the dependence of the storage heat flux term on net radiation. The parameter a2 describes the degree and direction of the phase relation- ship between AQs and Q*; when a2 is positive, the net radiation lags behind the AQs curve on a diurnal basis; when it is zero, no hysteresis is present in the relationship and the two curves are exactly in phase. The parameter a3 is an intercept term. In this study, OQ*/Ot is 4 0 0 3 0 0 2 0 0 E 1 O0 co 0 o - 1 0 0 1 3 1 2 . - " 1 1 1 1 " . - r . " 9.- :" 9. " l ; & - ' " . ' ) 7 " -- . ; - " .18: f 8 : . "'" 8 , . " 8 9 , . " " " - 8 " - ~ - $ S l ~ T - . i 8 . " 7 - 2 0 0 ~ , r , J , - 2 0 0 0 2 0 0 4 0 0 6 0 0 8 0 0 Q * ( W m -2) F i g . 6. O b s e r v e d d a i l y h y s t e r e s i s o f t h e s t o r a g e h e a t flux. T h e n u m b e r s o n t h e g r a p h i n d i c a t e t h e t i m e at t h e e n d o f t h e h o u r o f o b s e r v a t i o n . ( N o t e s o m e d a y s a r e i n c o m p l e t e ( s e e F i g . 3 ) . ) C. Souch et aL/Journal of Hydrology 184 (1996) 189-208 201 calculated using hourly data: O * Q 0 5 r~* * . . . . t ~ t + l - a t - 1 ] (5) Ot T h u s the s t o r a g e heat flux density is e x p r e s s e d b o t h as a function o f net a l l - w a v e radiation, and the rate and direction o f c h a n g e in radiant forcing. F o r this study, three different f o r m s o f storage heat flux m o d e l w e r e fitted to the a v a i l a b l e data: (1) a linear model; (2) a h y s t e r e s i s m o d e l using all available data; (3) a hysteresis m o d e l with coefficients calculated s e p a r a t e l y for d a y t i m e (Q* > 0) and night- t i m e (Q* < 0) hours. T h e fitted linear m o d e l (AQsL) takes the f o r m A Q s L = 0.537Q* - 37.5 (6) T h e h y s t e r e s i s m o d e l d e v e l o p e d w i t h all a v a i l a b l e data ( A Q s m ) has the coefficients OO* AQs.1 = 0.537Q* + 0.215 ~t - 30.4 (7) T h e hysteresis m o d e l d e v e l o p e d s e p a r a t e l y f o r day and night, f o r d a y t i m e hours (Q* > 0) is e x p r e s s e d as AQs~2 = 0.523Q* + 0.215 O~t - 30.4 (8) E "O (1) (1) " 0 o cO 0 <~ 4 0 0 3 0 0 2 0 0 1 0 0 - 1 0 0 - 2 0 0 - 2 0 0 H1 m o d e l A H 2 m o d e l o L i n e a r m o d e l q ~ o - 1 0 0 0 1 0 0 ,,o ~ °° ~ % O 8 2 0 0 3 0 0 4 0 0 A Q s Measured (W m -2) Fig. 7. Performance of the three storage heat flux models (see text for explanation). 202 C. Souch et aL/Journal of Hydrology 184 (1996) 189-208 Table 3 Statistics for hourly storage heat flux (AQs) (n = 100) and latent heat flux (QE) (n = 107) model evaluations (see text for model notation; flux units are W m - 2) AQs QE AQsL AQs.~ ~ Q s m P T ~ = 1.26 Equil.a = 1.00 P1 P2 P3 Mean: ~m 95.5 95.5 95.5 143.3 113.7 113.7 116.3 114.4 SD: SDm 143.1 144.2 144.5 116.4 92.4 92.3 93.9 92.9 Slope 0.96 0.98 0.98 1.26 1 0.997 1.015 1.003 Intercept 3.7 2.2 1.9 1.9 1.5 1.5 2.0 1.5 r 2 0.961 0.977 0.980 0.954 0.954 0.954 0.957 0.955 r.m.s.e. 28.8 22.2 20.6 45.8 19.8 19.8 19.9 19.8 r . m . s . e . - - s y 5.7 3.4 2.9 38.5 1.2 1.2 4.0 1.9 r . m . s . e . - - u s y 28.2 22.2 20.4 24.9 19.7 19.7 19.5 19.7 d 0.990 0.994 0.995 0.952 0.988 0.988 0.988 0.988 n&s 0.961 0.977 0.980 0.743 0.952 0.952 0.952 0.952 M B E 0.0 - 0 . 0 - 0 . 0 30.8 1.2 1.2 3.8 1.8 M A E 23.2 18.4 16.5 35.8 15.7 15.7 15.9 15.8 M e a n observed storage heat flux (AQs) 95.5 W m -2, standard deviation (SD) 145.9 W m-2; m e a n observed latent heat flux (QE) 112.6 W m -2, SD 90.5 W m -2. The slope, intercept and r 2 (correlation coefficient) refer to the linear fit between the observed (o) and the modelled (m) data. The root m e a n square error (r.m.s.e.) consists of systematic (sy) and unsystematic (usy) portions (W m-Z). d, Index o f agreement (Willmott, 1981); n&s, goodness of fit (Nash and Sutcliffe, 1970); MBE, m e a n bias error; MAE, m e a n absolute error. and for night-time (Q* < O) hours as a * AQs~ = 1.657Q* + 0.094 OQ~ + 1.1 (9) ot Fig. 7 illustrates the performance of the fitted models. The AQsm model has the best performance (Table 3), with the lowest overall systematic and unsystematic root mean square errors (r.m.s.e.). The hysteresis models remove the scatter that is present with the linear model. By stratifying the data and calculating model coefficients separately for day and night, the fit for the night-time hours is improved (see Fig. 7). Obviously, there is a need to verify all of these results with an independent data set. The AQs values used in the subsequent analyses are those modeled using the AQs,2 model. 4.2. Latent heat flux models The Priestley and Taylor (1972) evaporation model is a commonly used operational procedure to estimate evaporation from wetlands (for examples of its application, see Roulet and Woo (1986), Price and Woo (1988) and Price (1992)): S , QEvr = OgPT s - ~ ( Q - AQs) (10) The psychrometric 'constant', y, is determined from c p P 3' = - - (11) ely C. Souch et aL/Journal of Hydrology 184 (1996) 189-208 203 where cp is the specific heat of moist air (1010 J kg -1 K-I), P is atmospheric pressure, e is the ratio of molecular weight of water vapor to that for dry air (0.622), and Lv is the latent heat of vaporization, which in this study was calculated using the method of Henderson Sellers (1984). The equations of Lowe (1977) are used to determine s. When ot = 1, this equation becomes the equilibrium evaporation model, which describes evaporation when there is no vapor pressure deficit in the atmosphere. In practice (on average) some vapor deficit always exists. Priestley and Taylor (1972) found that over ocean and saturated land ~vr, the empirical coefficient, equals 1.26. This figure has become the normally quoted average value for potential evapotranspiration from a wet surface or small lake (see, e.g. Stewart and Rouse (1976) and de Bruin and Keijman (1979)). However, many experi- mental values for well-watered surfaces show a departure o f Otvr from 1.26 (Monteith, 1981). Ingram (1983) concluded that the relationship between actual and potential eva- poration for wetlands depends largely on the vegetation; ratios for treeless bogs lie between 1.0 and 1.1, whereas for fens the quotient is about 1.4 or a little less. Measured hourly evaporation from the wetland was compared with two forms of the Priestley-Taylor model: the first with ot = 1.26, the second substituting o~ = 1.00 (Fig. 8, Table 3). In addition, ot was back-calculated from the measured data by substituting actual evaporation and solving for ~x. Eq. (10) can be rearranged to This form has the advantage that data only directly measured in this study are used to determine ol, including 3, the ratio of the two directly measured fluxes ( Q H / Q E ) . Based on the ensemble hourly results the mean back-calculated o~ was determined as 1.035. Penman (1948), using a combination of the energy balance and bulk transfer formulae, derived an equation for evaporation from open water and saturated land surfaces. Pen- man's formula, either in the original or slightly modified form, is widely used for estimat- ing potential evaporation (for examples of its application in wetland environments, see Koerselman and Beltman (1988) and Lafleur (1990b)). The original Penman model implicitly assumed a roughness length, and, as expressed by Shuttleworth (1992), has the form QEp, = s 7 (Q* - AQs) + [6.43(1 + 0.536U)D] (13) The Penman model was modified by Monteith (1965) to incorporate aerodynamic and surface resistance controls. The Penman-Monteith model is the most advanced resistance-based model of evaporation that is currently commonly used (Shuttleworth, 1992): s ( Q * - AQs) + P a C p D / r a QEpr~ = S + 3'(1 + r s / r a ) (14) where Oa is the density of air, D is the vapor pressure deficit, r a is the aerodynamic resistance, and rs is the surface resistance. Under potential evaporation conditions the surface resistance (rs) equals zero. 204 3 0 0 2 0 0 100 O4 ' 3 0 0 E 2OO " ~ IO0 0 kU 0 o 3 0 0 2 0 0 100 C. Souch et al./Journal of Hydrology 184 (1996) 189-208 (a) PT I . . , ! ~ . ~ / - 2 - (C) P'I I I I I (e) P3 I I I I I 0 1 O0 2 0 0 3 0 0 J 0 (b) E Q I I I I (d / p2 L ~ I I I 100 200 3 0 0 QE Measured (W m-2) Fig. 8. Performance of latent heat flux models (see text for explanation): (a) Priestley-Taylor (PT); (b) equili- brium (EQ); (c) Penman 1 (P1); (d) Penman-Monteith 2 (P2); (e) Penman-Monteith 3 (P3). A e r o d y n a m i c resistance (ra) can b e d e t e r m i n e d either b y the m e t h o d o f T h o m and O l i v e r (1977): 4"72{ln[(Zm - d ) / z ° ] } 2 (15) ra = 1 + 0 . 5 3 6 U C. Souch et al./Journal o f Hydrology 184 (1996) 189-208 205 where Zm is the observation height, d is the displacement length, and z0 is the roughness length, or using the method of Thom (1972): {ln[(Zm - d ) / z o ] - ~b} {ln[(Zm - d ) / z o v ] - fly} r a = k2 U (16) where ~b and ~bv are stability functions for momentum and water vapor, respectively, Z0v is the water vapor roughness length, and k is the von K~irm~in constant (0.4). In this study, the original Penman equation (Eq. (13); P1), the Penman-Monteith model using Eq. (15) to calculate ra (P2), and the Penman-Monteith model using Eq. (16) to calculate ra (P3), were evaluated. The stability conditions are assumed to be neutral, which Shuttleworth (1989) found to be satisfactory over forests. The roughness length and displacement length were determined as a function o f the height o f the vegetation (Zv, maximum height of vegetation 1.5 m, average height approximately 1.0 m) following 'rules of thumb' (z0 -- 0.11zv; d = 0.667zv) (Stull, 1988). Following Brutsaert (1982) Z0v was taken to be 0.1z0. Vapor pressure deficit (D) was determined from observations o f air temperature and relative humidity, and the Lowe (1977) equation for saturation vapor pressure (es). The results of the latent heat flux model comparisons are shown statistically in Table 3 and graphically in Fig. 8. There is very little difference between the equilibrium QE (i.e. Eq. (10) with ot = 1) and the original Penman equation (Eq. (13)), both o f which perform well. The energy term (left-hand side of Eq. (13)) is by the far the most significant control on QE (discussed above and indicated in Fig. 4). As noted above, the Great Marsh is located in close proximity to a large water body in a humid temperate environment, and is significantly affected by the local-scale daytime flow of humid air. Practically at this site the aerodynamic term (right-hand side of Eq. (13)) does not warrant inclusion, given the extra data requirements. The P2 and P3 forms of the Penman model, which require further specification of the surface, through z0 and d, also do not provide any improvement in model performance. The results also suggest that the assumption of neutral stability (i.e. neglect of the stability functions in Eq. (16)) is reasonable in this context, and any resulting errors are small. It is likely that the mis-specification o f the surface parameters is more likely to introduce greater error than improve model performance. The Priestley-Taylor avr of 1.26 is clearly not appropriate for this wetland system (see Table 3, most notably the slope between measured and observed data). 5. Conclusions The eddy correlation determination of the turbulent fluxes reported in this study are among the first for wetlands. Overall, latent heat flux dissipated 48% o f the available radiant energy, storage heat flux 35%, and sensible heat flux 17%. In the morning, when the atmosphere is fairly stable and wind speeds are low, the air above the wetland is virtually saturated. Thus the radiant energy is used to warm the Great Marsh. Later in the day, as the atmosphere becomes more unstable and the wind picks up, the turbulent transfer of heat into the atmosphere is enhanced and the latent and sensible heat fluxes become more significant. The latent heat flux is strongly related to net all-wave radiation, 206 C. Souch et al./Journal o f Hydrology 184 (1996) 189-208 and is suppressed by the flow of humid air off Lake Michigan (very similar to the equili- brium rate, average a = 1.035). The hysteresis storage heat flux model presented here works well and offers great potential. It has the advantage of only requiring data on net all-wave radiation; conse- quently, the storage heat flux, essential for latent heat flux modeling, can be estimated relatively easily. The relative success of the simple models (Penman and Priestley-Taylor ct = 1), with their very limited data requirements, indicates they are appropriate for longer- term modeling of energy and water exchanges in this type of wetland environment. Although the modeling here is conducted at an hourly time scale, model performance is generally better when time periods are aggregated. There is an obvious need to collect more flux data to independently assess both the temporal and spatial performance o f the models, as well as the numerical stability of the empirical coefficients. In addition, direct observations of the storage heat flux term need to be conducted at the same time as the eddy correlation flux data collection. Acknowledgements Assistance in the field by Mark McKee, Tom King, and Mark Hubble was greatly appreciated. This research was supported by Indiana University Purdue University India- napolis, Indiana University Bloomington, Save the Dunes Council, National Biological Service, Indiana Dunes State Park and Nature Preserve, and Indiana Dunes National Lakeshore. References Brutsaert, W., 1982. Evaporation into the Atmosphere. D. Reidel, Dordrecht, 299 pp. Camuffo, D. and Bernardi, A., 1982. An observational study o f heat fluxes and the relationship with net radiation. Boundary-Layer Meteorol., 23: 359-368. de Bruin, H.A.R. and Keijman, J.Q., 1979. The Priestley-Taylor evaporation model applied to a large shallow lake in the Netherlands. J. Appl. Meteorol., 18: 898-903. Grimmond, C.S.B., Cleugh, H.A. and Oke, T.R., 1991. An objective urban heat storage model and its comparison with other schemes. Atmos. Environ., 25B: 311-326. Halliwell, D.H. and Rouse, W.R., 1987. Soil heat flux in permafrost: characteristics and accuracy o f measure- ment. J. Climatol., 7: 571-584. Henderson Sellers, B., 1984. A new formula for latent heat o f vaporization of water as a function of temperature: Q. J. R. Meteorol. Soc., 110: 1186-1190. Idso, S.B., Aase, J.K. and Jackson, R.D., 1975. Net radiation-soil heat flux relations as influenced by soil water content variations. Boundary-Layer Meteorol., 9: 113-122. Ingram, H.A.P., 1983. Hydrology. In: A.J.P. Gore (Editor), Mires: Swamp, Bog, Fen and Moor. Elsevier, New York, pp. 67-158. Koerselman, W. and Beltman, B., 1988. Evapotranspiration from fens in relation to Penman's potential free water evaporation and pan evaporation. Aquat. Bot., 31: 307-320. Lafleur, P.M., 1990a. Evaporation from wetlands. Can. Geogr., 34: 79-88. Lafleur, P.M., 1990b. Evaporation from sedge-dominated wetland surfaces. Aquat. Bot., 37: 341-353. Latimer, J.R., 1972. Radiation measurement. Int. Field Year for the Great Lakes Tech. Manual Ser. 2. N R C - U S N A S - I H D , Ottawa, Ont., 53 pp. C. Souch et al./Journal o f Hydrology 184 (1996) 189-208 207 Linacre, E.T., 1976. Swamps. In: J.L Monteith (Editor), Vegetation and the Atmosphere, Vol. 2. Case Studies. Academic Press, Bristol, pp. 329-350. Linacre, E.T., Hicks, B.B., Sainty, G.R. and Grauze, G., 1970. The evaporation from a swamp. Agric. Meteorol., 7: 363-374. Loiacono, N.J., 1986. Hydrologic and hydrochemical characterization of the shallow ground-water system of the Great Marsh, Indiana Dunes National Lakeshore. M.Sc. Thesis, Purdue University, West Lafayette, IN, 118 pp. Lowe, P.R., 1977. An approximating polynomial for the computation of saturation vapor pressure. J. Appl. Meteorol., 16: 100-103. Monteith, J.L., 1965. Evaporation and the environment. Symp. Soc. Exp. Biol., 19: 205-234. Monteith, J.L., 1981. Evaporation and surface temperature. Q. J. R. Meteorol. Soc., 167: 1-27. Nash, J.E. and Sutcliffe, J.V., 1970. River flow forecasting through conceptual models. Part I - - a discussion of principles. J. Hydrol., 10: 282-290. NOAA, 1994. South Bend Local Climatological Data. National Oceanic and Atmospheric Administration, US Department of Commerce, Asheville, NC. Oke, T.R., 1987. Boundary Layer Climates, 2nd edn. Methuen, London, 435 pp. Penman, H.L., 1948. Natural evaporation from open water, bare soil and grass. Proc. R. Soc. London, Ser. A, 193: 120-145. Price, J.S., 1992. Blanket bog in Newfoundland. Part 2. Hydrological processes. J. Hydrol., 135: 87-101. Price, J.S. and Woo, M.K., 1988. 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B, 324: 199-224. Shuttleworth, W.J., 1992. Evaporation. In: D.R. Maidment (Editor), Handbook of Hydrology. McGraw-Hill, New York, pp. 4.1-4.53. Silis, A., Rouse, W.R. and Hardill, S., 1989. Energy balance of the intertidal zone of western Hudson Bay: I. Ice- free period. Atmos. Ocean, 27: 327-354. Stewart, R.B. and Rouse, W.R., 1976. Simple models for calculating evaporation from dry and wet surfaces. Arct. Alp. Res., 8: 263-274. Stull, R.B., 1988. An Introduction to Boundary Layer Meteorology. Kluwer Academic, Dordrecht, 666 pp. Tanner, B.D. and Greene, J.P., 1989. Measurements of sensible heat flux and water vapor fluxes using eddy correlation methods. Final report to US Army Dugway Proving Grounds, DAAD 09-87 D-0088, 94 pp. Thom, A.S., 1972 Momentum, mass and heat exchange of vegetation. Q. J. R. Meteorol. Soc., 99: 154-170. Thom, A.S. and Oliver, H.T., 1977. On Penman's equation for estimating regional evaporation. Q. J. R. Meteorol. Soc., 193: 345-357. Thompson, T.A., 1987. Sedimentology, internal architecture and depositional history of the Indiana Dunes National Lakeshore and State Park. Ph.D. Thesis, Indiana University, Bloomington, IN, 129 pp. Webb, E.K., Pearman, G.I. and Leuning, R., 1980. Correction of flux measurements for density effects due to heat and water vapour transfer. Q. J. R. Meteorol. Soc., 106: 85-100. Wessel, D.A. and Rouse, W.R., 1993. Modelling evaporation from wetland tundra. Boundary-Layer Meteorol., 68: 109-130. 208 C. Souch et al./Journal o f Hydrology 184 (1996) 189-208 Wilhelm, G.S., 1990, Report on the special vegetation of the Indiana Dunes National Lakeshore. Indiana Dunes National Lakeshore Research Program, Pep. 90-2, 373 pp. Willmott, C.J., 1981. On the validation of models. Phys. Geogr., 2: 184-194. Winter, T.C., 1981. Uncertainties in estimating the water balance of lakes. Water Resour. Bull., 17: 82-115. WMO, 1966. Measurement and estimation of evaporation and evapotranspiration. World Meteorological Orga- nization, Geneva, Technical Note 83. 
work_ukwaue3xwnd6jgng2ddgo5xf6y	----	ROP volume 37 issue 4 Cover and Front matter THE REVIEW OF POLITICS Tli«' U.S. and Eastorii Europe Robert F. ityrnes >«'\v Dimensions in International llelalions •Invquvs Frvytnond Tli«k Catliolit* I Hiv«»rsilv iierhart Niemvyer Mtichard Vornon Tunisia and Lebanon John f*. Eittelia Two w ArliHes Vol.37 • October, 1975 • No. 4 University of Notre Dame N o t r e Dame, Indianahttp s: // w w w .c am b ri d g e. o rg /c o re /t er m s. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 50 35 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t https://www.cambridge.org/core/terms https://doi.org/10.1017/S0034670500015035 https://www.cambridge.org/core THE REVIEW OE POLITICS THOMAS STItlTCH Acting Editor I N W I S Win. MOHAN Assistant Editor M. A. FITZSIMONS S T E P H E N KEHTESX Advisorv Editors WALHEMAK <.l III \ \ M. A. FITZSIMOMS Forinor Editors Copyright 1975 by the. University of Notre Dame. Published quarterly at the University of Notre Dame. Issued each January, April, July and October. Entered as second-class matter April 1, 1939, at the post office at Notre Dame, Indiana, under act of March 2, 1879. Subscriptions: $7 the year in the United States; foreign $7.50; single copies $2. h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 50 35 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t https://www.cambridge.org/core/terms https://doi.org/10.1017/S0034670500015035 https://www.cambridge.org/core THE REVIEW OF POLITICS Published Quarterly by the University of Notre Dame, Indiana Vol. 37 October 1975 No. 4 ROBERT F. BYRNES United States Policy Toward Eastern Europe: Before and After Helsinki 435 JACQUES FREYMOND New Dimensions in International Relations 464 GERHART NIEMEYER The New Need for the Catholic University 479 RICHARD VERNON The Secular Political Culture: Three Views 490 JOHN P. ENTELIS Reformist Ideology in the Arab World: The Cases of Tunisia and Lebanon 513 Reviews: Robert H. West: Some Popular Literature of Witchcraft Since 1969 Review Article 547 A. J. Beitzinger: First Principles and American Political Thought Review Article 556 John Lyon: Lion, Lamb and Lettuce 564 Brainard Cheney: Old Gene 566 Michael R. Dillon: The Dilemma of French Political Thought 568 James C. Hunt: Stresemann, The League and German Minorities ....• 572 Edward H. Buehrig: Bureaucratic Success .... _ 574 Howard J. Dooley: The Guns of October 576 Walter D. Gray: Midi Politics 581 Patrick J. Furlong: Roll Call Analysis of the House 583 Michael J. Francis: Munro Doctrine 585 Robert J. Brugger: Slavery's Dominion ... 587 Carleton W. Sterling: Cui Bono -. 590 h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 50 35 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t https://www.cambridge.org/core/terms https://doi.org/10.1017/S0034670500015035 https://www.cambridge.org/core Contributors to This Issue ROBERT F. BYRNES is Distinguished Professor of History at Indiana University (Bloomington). JACQUES FREYMOND is Director of The Graduate Institute of International Studies at Geneva, Switzerland, and its Professor of the History of International Relations. GERHART NIEMEYER, a Deacon in the Episcopal Church, is Professor of Govern- ment at Notre Dame and Director of its Committee on Academic Progress. RICHARD VERNON teaches Political Science in the University of Western Ontario. J O H N P. ENTELIS is Associate Professor of Political Science at Fordham. ROBERT H . W E S T , Emeritus Professor of Renaissance English at the University of Georgia, is President of the Milton Society of America. A. J. BEITZINGER, Professor of Government at Notre Dame, has recently published a history of American political thought. J O H N LYON is Chairman of the General Program of Liberal Studies at Notre Dame. BRAINARD C H E N E Y , novelist, essayist and journalist, was formerly Assistant to the Governor of Tennessee. MICHAEL R. DILLON is Associate Professor of Political Science at LaSalle College, Phila- delphia. JAMES C. H U N T teaches at St. Joseph's College, North Windham, Maine. EDWARD H. BUEHRIG is Professor of Political Science at Indiana University (Bloomington). HOWARD J. DOOLEY teaches in the Humanities Area in the College of General Studies at Western Michigan University. WALTER D. GRAY teaches European History at Loyola University of Chicago. PATRICK D. FURLONG teaches American History at Indiana University (South Bend). MICHAEL J. FRANCIS specializes in Latin America in the International Relations program at Notre Dame. ROBERT J. BRUGGER is in the History Depart- ment of the University of Virginia. CARLETON W. STERLING teaches Political Science at Notre Dame. T H E REVIEW OF POLITICS, without neglecting the analysis of institutions and techniques, is primarily interested in the philosophical and historical approach to political realities. All manuscripts, books for review, exchanges, inquiries, and subscriptions should be addressed to the Editors, T H E REVIEW OF POLITICS, Notre Dame, Indiana 46556. Opinions expressed in the articles printed in T H E REVIEW OF POLITICS are those of the authors alone and not necessarily opinions held by the Editors. The contents of this publication cannot be reissued or republished in any form without special permission from the Editors. The articles in T H E REVIEW OF POLITICS are indexed in die International Index to Periodicals and the Index of Catholic Periodicals and abstracted in the International Political Science Abstracts. They are abstracted and indexed in ABC POL. SCI. and HISTORICAL ABSTRACTS. h tt p s: // w w w .c am b ri d g e. o rg /c o re /t er m s. h tt p s: // d o i.o rg /1 0. 10 17 /S 00 34 67 05 00 01 50 35 D o w n lo ad ed f ro m h tt p s: // w w w .c am b ri d g e. o rg /c o re . C ar n eg ie M el lo n U n iv er si ty , o n 0 6 A p r 20 21 a t 02 :1 2: 26 , s u b je ct t o t h e C am b ri d g e C o re t er m s o f u se , a va ila b le a t https://www.cambridge.org/core/terms https://doi.org/10.1017/S0034670500015035 https://www.cambridge.org/core 
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work_vwkcqo7vtvhvlop6ztl62uqcx4	----	EM-JMEJ180014 90..92 VIEWPOINTS Research on Black male teachers, then and now In 1994, I was teaching elementary school at a charter school in Harlem. At the same time, I was working on Master’s degree at Teacher’s College, Columbia University. During the day, I was working hard to meet the academic, social and emotional needs of about 30 mostly poor Black and Brown students in a school led by a group of friends with a paternalistic view of the children, their families and their conditions. I recall being at odds with teachers who professed that “many of these children will be dead or locked up by the time their teenagers”. I recall teaching third graders about the legacy of slavery, Malcolm X and the Black Panther Party’s 10-point program. So, of course, I was also at odds with the administration. They wanted to know why I insisted on politicizing the children. I reminded them, as I had learned through my reading of Freire, “everything is political and that Black children needed to know their history”. I left my third grade classroom in Harlem and headed to 120th and Amsterdam where I took classes with some of the brightest minds in the nation. I was introduced to critical pedagogy and to the literature on urban schools. It’s where I was introduced to the work of Lisa Delpit and Gloria Ladson-Billings. Lisa Delpit addressed the fundamental issue of facing African American teachers: How do we as African American teachers advance an agenda for Black education in professional communities committed to the continued marginalization of these children and their communities? As an African American teacher, I took a stand on behalf of African American children. Delpit’s (1995) work spurred me to want to know more about what other teachers like me were experiencing. I began to read narratives about teachers of color. Enter Gloria Ladson-Billings (1994). I read, and re-read The Dreamkeepers (1994). I shared it with parents in the school where I taught. The book, with its focus on the effective practices of mostly African American women teachers who were successful teachers of African American children, provided me with emotional and intellectual sustenance. I was assured that what I was doing in my classroom was aligned with best practices for teaching African American children. I also knew, at that point, that I wanted to conduct research on African American teachers. I went on to teach in the Chicago Public Schools to fulfill my five-year teaching obligation as a Golden Apple Foundation Scholar of Illinois. It became abundantly clear to me that while teaching was my calling, in one sense, I had developed a strong interest in research. After only two years, I found myself back in academia. While in my doctoral program, I began systematically studying the literature on African American teachers. I was reading the work of scholars such as Michele Foster, Jacqueline Jordan Irvine, Sabrina Hope King, Michael Fultz, Joyce King, Annette Henry and others. It is beyond the scope of this viewpoint article to perform a substantive review of this work. I have done this elsewhere (Lynn, 2002, 2006a, 2006b). While there was a good amount of research conducted on African American women, there was very little written about African American men in the classroom. I vividly recall the portraits of the Black male teachers in Michele Foster’s (1997) seminal work Black Teachers on Teaching. I decided then that I would commit to studying JME 12,2 90 Journal for Multicultural Education Vol. 12 No. 2, 2018 pp. 90-92 © Emerald Publishing Limited 2053-535X DOI 10.1108/JME-03-2017-0017 http://dx.doi.org/10.1108/JME-03-2017-0017 and writing about this unique and significantly understudied population. What I did not know at the time is that I was charting new territory. That was in 1999. In that year, I published an article as part of a special issue of the Journal of Negro Education edited by Robert Cooper. The article, written in a collaboration with a teacher and a school principal at small mostly Black private school in the “Black Beverly Hills” section of Los Angeles also known as Baldwin Hills, described the “prophetic practices” of an African American male middle school teacher working with African American students, Kamal Hassan (Lynn et al., 1999). That same year, I was fortunate to publish another piece where in the journal, Urban Education, which used critical race theory as a lens to analyze the perceptions of mostly Black teachers on their work and lives. The article, “Toward a Critical Race Pedagogy” (Lynn, 1999) was an effort to re-conceptualize pedagogy as it relates to race. It garnered a good amount of attention and has been reprinted a few times. I have had the good fortune to written many more articles on the subject in the past two decades. Reflecting over these past two decades, I was not fully aware that I was entering into such uncharted territory. As I entered the academy in 2001, I was sometimes referred to as “the lead researcher” on African American male teachers. In fact, for a period, I was the only researcher in the USA whose research focused on African American male teachers. Nearly two decades later, research on African American male teachers has become more commonplace. A number of scholars, such as Edward Brockenbrough, Donald Easton- Brooks, Reitumetse Mabokela (along with co-author Jean Madsen), Chance Lewis, Rich Milner, Ivory Toldson, Anthony Brown, Thurman Bridges, Wilbur Parker, Amber Pabon, Julius Davis and others have established strong reputations for conducting high quality research on Black male teachers. This research examines a number of issues such as pop culture, gender, sexuality, masculinity and race and the way it connects to the work and lives of African American male teachers in a variety of contexts. The research on African American male teachers is diverse today because it draws on a number of epistemological and methodological frameworks. I’m proud to have played a role in developing the next generation of scholars like Julius Davis, Thurman Bridges and Wilbur Parker. I brought Thurman to the University of Maryland from Virginia where he was working as a middle school teacher. After I left Maryland for Chicago, Thurman continued to thrive while working under the stewardship of scholarly giants like Tara Brown and Patricia Hill Collins. I served on the dissertation committees of Julius Davis and Wilbur Parker. All of these gentlemen work at Historically Black Colleges and Universities. Thurman and Julius are tenured. Wilbur who worked for many years at the National Board recently began his academic career – also at an HBCU. For many others, I have reviewed their work for journals or reviewed their dossiers for tenure and promotion. I have co-authored conference presentations. I recall serving on a panel many years ago with Rich Milner and Chance Lewis on the topic of Black male educators. Chance Lewis and I have also co-presented on the topic at the American Association of Colleges for Teacher Education. Today, a new area of research is emerging: research that explores perspectives of Black male teachers with origins outside of the USA. Researchers such as Audrey Osler and Christine Callender have conducted research on Black women teachers in the UK for decades. Only recently has Callender begun to turn her attention to male teachers. Other scholars, such as Wilbur Parker, are examining the experiences of African male teachers in the USA. I am reminded of my own research with a teacher from Ghana who drew on his own cultural reservoirs to help his African American students see the link between African and African American culture. I recall how he drew on his own schooling experiences in a very competitive boarding school in Ghana to set high standards for his own students in Research on Black male teachers 91 urban Los Angeles. I did not know, at that time, that telling this teacher’s story would lead others to see this is a valuable and worthwhile area of investigation. As my soul continues to look back in wonder at “how I got over”, I am gratified to know that I have contributed to the development of this exciting, robust and rapidly growing area of study. Marvin Lynn School of Education, Indiana University South Bend, South Bend, Indiana, USA References Delpit, L. (1995), Other People’s Children: Cultural Conflict in the Classroom, W. W. Norton & Company, New York, NY. Foster, M. (1997), Black Teachers on Teaching, The New Press, New York, NY. Ladson-Billings, G. (1994), The Dreamkeepers: Successful Teachers of African American Children, Jossey-Bass Publishers, San Francisco. Lynn, M. (1999), “Toward a critical race pedagogy: a research note”, Urban Education, Vol. 33 No. 5, pp. 606-626. Lynn, M. (2002), “Critical race theory and the perspectives of Black men teachers in the Los Angeles public schools”, Equity & Excellence in Education, Vol. 35 No. 2, pp. 119-130. Lynn, M. (2006a), “Education for the community: exploring the culturally relevant practices of Black male teachers”, Teachers College Record, Vol. 108 No. 12, pp. 2497 Lynn, M. (2006b), “Dancing between two worlds: a portrait of the life of Black male teacher in South Central LA”, International Journal of Qualitative Studies in Education, Vol. 19 No. 2, pp. 221-242. Lynn, M., Johnson, C. and Hassan, K. (1999), “Raising the critical consciousness of African American students in Baldwin hills: a portrait of an exemplary African American teacher”, Journal of Negro Education, Vol. 68 No. 1, pp. 42-53. JME 12,2 92 Outline placeholder flink1 References 
work_wairt357lnfn7jkqnpgwxwvvjy	----	Volume I, Number 3 NURSING LAW & ETHICS March 1980 Should Handicapped People Be Allowed To Attend Nursing School? by Kent Hull, Esq. The recent Supreme Court decision in the Davis case,1 which allowed a federally-assisted college to exclude a severely hearing impaired woman from its registered nurse training program, has caused great concern among hand- icapped people and their advocates. In- stitutions of higher education also have reason for dissatisfaction with the deci- sion since it fails to provide sufficient guidance for those recipients of federal funding to measure their compliance with section 504 of the Rehabilitation Act of 1973. A letter dated October 5, 1979, from Patricia Harris, Secretary of Health, Education and Welfare (HEW), to college presidents is the latest offi- cial statement concerning the decision. The letter indicates a middle-of-the- road approach to Davis. While recog- nizing that colleges can establish legitimate academic requirements, it states that they must demonstrate the necessity and legitimacy of policies which result in the exclusion of hand- icapped people, and affirms the De- partment's determination to continue enforcing the section 504 regulations much as they are presently written. However, the letter may invest a legiti- macy in the Davis decision which it doesnot merit. The plaintiff in Davis was a severely hearing impaired woman who, after working for several years as a licensed practical nurse, sought admission to Kent Hull is Director of Legal Services at the National Center for Law and Handi- capped, Inc., in South Bend, Indiana and the author ofTHE RIGHTS OF PHYSICALLY HANDICAPPED PEOPLE(AnACLU Hand- book) (Avon, 1979). the registered nursing program of a col- lege which received federal financial assistance. The college rejected her ap- plication, apparently on the grounds that her hearing impairment would pre- sent such a safety hazard to patients that she would not be able either to complete the clinical portion of her training or become licensed. She brought suit against the college par- tially on the grounds that the college had violated section 504 in rejecting her. That law prohibits discrimination against "otherwise qualified handi- capped individuals" on the basis of handicap by recipients of federal finan- cial assistance. The federal district court rejected her claim stating that her handicap pre- vented her from being "otherwise qual- ified."2 The court's decision uncriti- cally accepted the assertions of the col- lege without considering evidence of her actual abilities (the extent of her hearing loss is still in debate) or of the achievements of other hearing impaired nurses in their professional work. . . . the college decided that the applicant was physically unqualified without conducting a thorough ex- amination of her abilities or of the capacities of other hearing impaired After the case was appealed to the Fourth Circuit,3 HEW promulgated regulations which defined the obliga- tions of post-secondary recipients of HEW assistance.4 For purposes of these programs, the term "otherwise qualified handicapped person" was de- Contents Should Handicapped People Be Allowed to Attend Nursing School? by Kent Hull 1 Health Law Notes: When Insti- tutionalized Mental Patients Can Refuse Psychotropic Medication by George J. Annas 3 Ethical Dilemmas: Hospital Policies: Enforcement Equals Endorsement by Jane Greenlaw 5 Dear Mary 6 Reviews 7 Medicolegal Reference S h e l f . . . 8 fined as an individual who met "the ac- ademic and technical standards requi- site to admission or participation in the recipient's education program or activ- ity."5 Additionally, the HEW regu- lations mandated accommodations for handicapped individuals to insure that academic requirements did not dis- criminate against the handicapped. However, the regulations provided: "Academic requirements that the recipient can demonstrate are essential to the program of instruction being pur- sued by such student or to any directly related licensing requirement will not be regarded as discriminatory... . " 6 Commentary published with the reg- ulations noted that the requirement did "not obligate an institution to waive course or other academic requirements to the needs of individual handicapped students." As an example, the com- ment said an institution "might permit i Continued on page 4) 
work_whpqjfhdqzgflm4quieroob4oe	----	Esslinger, Dean R. Immigrants and the City: Ethnicity and Mobility in a Nineteenth Century Midwestern City. Port Washington, New York: Kennikat Press, 1975. Pp. 56. Tables, maps. $9.95 All Rights Reserved © Urban History Review / Revue d'histoire urbaine, 1977 Ce document est protégé par la loi sur le droit d’auteur. L’utilisation des services d’Érudit (y compris la reproduction) est assujettie à sa politique d’utilisation que vous pouvez consulter en ligne. https://apropos.erudit.org/fr/usagers/politique-dutilisation/ Cet article est diffusé et préservé par Érudit. Érudit est un consortium interuniversitaire sans but lucratif composé de l’Université de Montréal, l’Université Laval et l’Université du Québec à Montréal. Il a pour mission la promotion et la valorisation de la recherche. https://www.erudit.org/fr/ Document généré le 5 avr. 2021 22:12 Urban History Review Revue d'histoire urbaine Esslinger, Dean R. Immigrants and the City: Ethnicity and Mobility in a Nineteenth Century Midwestern City. Port Washington, New York: Kennikat Press, 1975. Pp. 56. Tables, maps. $9.95 Michael B. Katz Numéro 2-77, october 1977 URI : https://id.erudit.org/iderudit/1019581ar DOI : https://doi.org/10.7202/1019581ar Aller au sommaire du numéro Éditeur(s) Urban History Review / Revue d'histoire urbaine ISSN 0703-0428 (imprimé) 1918-5138 (numérique) Découvrir la revue Citer ce compte rendu Katz, M. B. (1977). Compte rendu de [Esslinger, Dean R. Immigrants and the City: Ethnicity and Mobility in a Nineteenth Century Midwestern City. Port Washington, New York: Kennikat Press, 1975. Pp. 56. Tables, maps. $9.95]. Urban History Review / Revue d'histoire urbaine,(2-77), 133–134. https://doi.org/10.7202/1019581ar https://apropos.erudit.org/fr/usagers/politique-dutilisation/ https://www.erudit.org/fr/ https://www.erudit.org/fr/ https://www.erudit.org/fr/revues/uhr/ https://id.erudit.org/iderudit/1019581ar https://doi.org/10.7202/1019581ar https://www.erudit.org/fr/revues/uhr/1977-n2-77-uhr0908/ https://www.erudit.org/fr/revues/uhr/ 133 structure and consciousness in 19th century Britain with which the North American experience can be compared. Furthermore, considering the flow of Scottish immigrants to this continent, Gray1 s work may provide a more direct insight into the development of industrial capitalism in North America. Mark J. Stern York University * * * Esslinger, Dean R. Immigrants and the City: Ethnicity and Mobility in a Nineteenth Century Midwestern City. Port Washington, New York: Kennikat Press, 1975. Pp. 156. Tables, maps. $9.95. Immigrants and the City is a study of immigrant mobility in South Bend, Indiana, between 1850 and 1880. As it grew in size from 1,378 to 7,070, South Bend shifted from a commercial to a small industrial city with a predominantly native-born population. Esslinger studies the minority: all immigrants (at first English, Irish, and German, later Polish) and their children. The work is primarily quantitative, supplemented by material from newspapers and other local historical sources. Esslinger traces the geographic origins of the population, the extent of population persistence, residential patterns, occupational mobility, and community leadership. He finds that only about one-fifth of the foreign population remained in the city during intervals of ten years and that industrialization had little effect on persistence. Residential patterns were not segregated, though by the end of the period more clustering by ethnicity and occupation had become evident. The Polish immigrants remained in semi-skilled factory work while the Irish, English, and Germans more often entered skilled work or non- manual occupations. Native-born sons of foreign men had more 134 occupational success than their foreign-born peers. Immigrants other than Poles managed to attain positions of leadership within the city largely through participation in a reasonably extensive network of voluntary societies. In essence, Esslinger interprets the immigrant experience as modified rosy. Esslinger does not compare the experience of immigrants to that of natives, which makes it hard to interpret his findings. Nor does he specify his methodology in any detail. There is no indication, for instance, of how he linked people from one census to another. The analysis rests primarily on simple two-way cross-tabulation without the introduction, in important places, of controls for age or other variables. In some places no evidence for conclusions is offered. According to Esslinger, the rate of upward mobility among manual workers in South Bend was much higher than in Newburyport, Massachusetts, as reported by Thernstrom. (p. 81) His conclusion rests on an incredible error. He presented Thernstrom1s figures as though they applied to all foreign-born manual workers in Newburyport and compared them to those for all foreign-born manual workers in South Bend. However, Thernstrom1s figures apply only to common laborers who, quite naturally, ended up far less often as skilled workers or small proprietors than men who began as skilled workers. In South Bend, as in most places, the skilled workers outnumbered the unskilled laborers and dominated the original group whose movement Esslinger traced. His comparison with Thernstrom is thus totally spurious and comparative rates of mobility in Newburyport and South Bend remain an open question. Michael B. Katz Department of History York University 
work_yh7siapthbd6lgyupaekvc6fmu	----	Reviews 489 RUSSIA U N D E R C A T H E R I N E T H E GREAT, vol. 2: C A T H E R I N E T H E G R E A T ' S I N S T R U C T I O N ( N A K A Z ) T O T H E L E G I S L A T I V E C O M M I S - SION, 1767. Edited by Paul Dukes. Newtonville, Mass.: Oriental Research Partners, 1977. 129 pp. $12.00, cloth. $5.50, paper. This volume presents a recently discovered English translation of Catherine's Instruc- tion to the Legislative Commission of 1767-68. On the basis of information provided by Robert Allen of the Library of Congress, Professor Dukes introduces it as a trans- lation which was "almost certainly" commissioned by Sir George Macartney—then British ambassador to St. Petersburg—probably early in 1767. W h o did the trans- lating is unknown. But Dukes finds the "Macartney" translation superior to the 1768 version ascribed to "Michael Tatischeff" and familiar to English-reading students through W. F. Reddaway's collection of documents. Following the example of N. D. Chechulin, Dukes has appended to the Macartney text the pair of supplemental chapters promulgated in 1768 and the Instruction to the procurator general of the Legislative Commission, which Dukes himself translated. He has also supplied an introduction, a bibliography, and some notes correcting the Macartney text. Of the two English translations, this one appears superior. It is more succinct and its language is chosen more carefully. But in several respects the editorial information included is less helpful than one would wish. Instead of accompanying the text, Dukes's notes follow it. His introduction does not present the apparent strengths of the Macartney text—for example, the choice of "absolute government" over "mon- archy" for samoderzhavnoe praVlenie (article 13)—nor does he discuss the inherently subjective nature of all translations (Catherine's original French for the same phrase is Souverainete). Finally, for the most part, the introduction merely reports what others have said about the Instruction, its intellectual antecedents, or its merits. The resulting potpourri resembles a Heath pamphlet, with the utility and limitations that this implies. There is no room for attention to the contexts within which ideas were received and opinions given. Near the end of his introduction Dukes writes that to understand the Instruction, "the economic resurgence of the 1760's must be examined as well as the political situa- tion of the Russian empire and of Catherine and her entourage." These issues are already receiving serious attention, however. It is unfortunate that Dukes chose not to include the results of such attention in this book. KAREN RASMUSSEN Indiana University, South Bend T H E C O L L A B O R A T I O N O F NECAEV, O G A R E V A N D B A K U N I N IN 1869, NECAEV'S E A R L Y Y E A R S . By Stephen T. Cochrane. Osteuropastudien der Hochschulen des Landes Hessen, series 2. Marburger Abhandlungen zur Geschichte und Kultur Osteuropas, vol. 18. Giessen: Wilhelm Schmitz Verlag, 1977. x, 365 pp. DM 70, paper. Dr. Cochrane has surely earned his degree with this well-researched dissertation. It is one of the few scholarly examinations of Nechaev's career and, by any measure, the most generous of the recent ones. Though Cochrane evidently did not have direct access to Soviet archives, he has made excellent use of the materials made available by B. P. Koz'min (the most assiduous Soviet historian who studied the 1860s), newer documentary collections published by Arthur Lehning and Michael Confino, and other materials provided by helpful scholars. Furthermore, he has painstakingly tracked down the Nechaev materials available in the West. To his credit, Cochrane does not simply go over earlier ground. He has sifted the evidence meticulously and rejected errors made by previous students of Nechaev, who often perpetuated each others' mistakes. 
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work_wtap6ivyuzarhg5vpbhaioupi4	----	PB85-916313 NATIONAL TRANSPORTATION SAFETY BOARD___ HEAD-ON COLLISION OF CHICAGO, SHORE AND SOUTH BEND RAILROAD TRAINS NOS. 123 AND 2 1 8 GARY, INDIANA JANUARY 2 1 , 1 9 8 5 WASHINGTON, D.C. 20594 REPORT NTSB/RAR-85/13. UNITED STATES GOVERNMENT TECHNICAL REPORT DOCUMENTATION PAGE Report No. N T S B / R A R - 8 5 / 1 3 2 .Government Accession No. P B 8 5 - 9 1 6 3 1 3 *t. Title and Subtitle Railroad A c c i d e n t R e p o r t - - H e a d - O n Collision o f C h i c a g o , South Shore and South Bend Railroad Train N o s . 123 and 218, Gary, Indiana, January 21 1985 _ 7. Author(s) 3 .Recipient's Catalog No. 5 . Report Date O c t o b e r 21, 1985 6.Performing Organization" Code 8. Performi ng Organ i zat ion" Report No. Performing Organization Name and Address N a t i o n a l Transportation S a f e t y Board Bureau o f A c c i d e n t Investigation Washington, D . C . 20594 1 0 .Work Unit No. 4103B 11.Contract or Grant No. 12.Sponsoring Agency Name and Address NATIONAL TRANSPORTATION SAFETY BOARD Washington, D. C. 20594 3 -Type of Report and Period Covered R a i l r o a d A c c i d e n t R e p o r t January 21, 1985 1 V. Sponsoring Agency Code 15.Supplementary Notes jaaL 7 6 . Abstract A b o u t 6:51 p.m., e.s.L, bn January 21, 1985 and South Bend Railroad (South Shore) ti ain N o . 123 and westbound South Shore train N o . 218 c o l l i d e d head-on on the eastward main tijack_alJdU$^$90 feet! west o f the west end o f the Gary Station platform at Gary, Indiana. T h e k e a ^ w a l ^ i ! ^ T n l ? a c K was being used for s i n g l e - t r a c k operation for about 3.5 miles b e t w e e n the end o f the double track east of Gary Station and Clark Crossover west o f Gary Station because d a m a g e caused by cold w e a t h e r breaks t o the catenary propulsion p o w e r system o v e r the westward main track made the track unusable by e l e c t r i c a l l y propelled trains. T h e lead cars of the s e l f - p r o p e l l e d units of each train w e r e crushed and d e r a i l e d . S e v e n t y - n i n e passengers, 6 c r e w m e m b e r s , and 2 o f f - d u t y e m p l o y e e s w e r e injured in the c o l l i s i o n . T h e South Shore e s t i m a t e d the d a m a g e t o be about $2,433,000. eastbound C h i c a g o , South Shore The N a t i o n a l Transportation S a f e t y Board d e t e r m i n e s that the probable cause of this a c c i d e n t was the failure o f the dispatcher to c o o r d i n a t e the m o v e m e n t of the t w o trains properly; the lack o f a clear provision in G e n e r a l N o t i c e N o . 62 for a meeting of t w o opposing trains scheduled to depart Gary Station at the same t i m e ; and the mistaken d e t e r m i n a t i o n by the c r e w o f eastbound train N o . 123 w h i l e at Clark Road Station that there was sufficient t i m e f o r the train t o reach Gary Station and c l e a r the single track b e f o r e t h e scheduled departure o f westbound train N o . 218. 17 - Key Words Head-on c o l l i s i o n ; MU Trains; catenary; pantograph; single track operation; g e n e r a l order, train order; OS circuit stop and p r o c e e d signal a s p e c t ; deadman c o n t r o l ; operating rules; flat t i m e 1 8 .Distribution Statement This document is a v a i l a b l e to the public through the N a t i o n a l T e c h n i c a l I n f o r m a t i o n S e r v i c e , Springfield, Virginia 22161 19 Security Classification (of th i s report) UNCLASSIFIED 2 0 .Security Classification (of this page) UNCLASSIFIED 21 No. of Pages 4 1 2 2 . Price N T S B F o r m 1 7 6 5 2 ( R e v . 9 / 7 4 ) E R R A T A ************************************ * THESE C O R R E C T I O N S SHOULD BE * * MADE TO THE P R E V I O U S L Y P U B L I S H E D * * R E P O R T I D E N T I F I E D A S FOLLOWS * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * RAILROAD ACCIDENT REPORT NTSB/RAR-85/13 (PB85-916313) The cover page on this report should be corrected to read as followed HEAD-ON COLLISION OF CHICAGO, SOUTH SHORE AND SOUTH BEND RAILROAD TRAINS NOS. 123 AND 218 GARY, INDIANA JANUARY 21, 1985 November 27, 1985 C O N T E N T S S Y N O P S I S 1 I N V E S T I G A T I O N 1 Events Preceding The A c c i d e n t 1 The A c c i d e n t 5 Injuries t o Persons 8 D a m a g e 8 C r e w m e m b e r Information 12 Training 12 Train Information 14 Track Information 15 Method o f Operation 15 M e t e o r o l o g i c a l Information 18 M e d i c a l and P a t h o l o g i c a l Information 18 Survival A s p e c t s 18 Tests and Research 19 Other Information 19 A N A L Y S I S 20 Train Operations 20 The Dispatcher 22 Train N o . 218 C r e w m e m b e r s 25 Train N o . 123 C r e w m e m b e r s 25 Training 27 Survival F act ors 2 8 C O N C L U S I O N S 29 Findings 29 Probable Cause 30 R E C O M M E N D A T I O N S 30 A P P E N D I X E S 33 Appendix A — I n v e s t i g a t i o n 33 Appendix B — C r e w m e m b e r Information 34 Appendix C — O p e r a t i n g Rules 36 Appendix D — C a t e n a r y Information 39 Appendix E—Excerpt from T i m e t a b l e 40 i i N A T I O N A L T R A N S P O R T A T I O N S A F E T Y B O A R D W A S H I N G T O N , D . C R A I L R O A D A C C I D E N T R E P O R T Adopleds O c t o b e r 219 1985 H E A D - O N C O L L I S I O N O F C H I C A G O S O U T H S H O R E A N D S O U T H B E N D R A I L R O A D T R A I N NOS„ 123 A M D 218 G A R Y , I N D I A N A J A N U A R Y 21, 1985 S Y N O P S I S About 6:51 p . m . , e.s.t., on January 21, 1985, eastbound C h i c a g o , South Shore and South Bend Railroad (South Shore) train N o . 123 and westbound South Shore train N o . 218 collided head-on on the eastward main track about 1,490 f e e t west of the west end of the Gary Station platform at Gary, Indiana. T h e eastward main track was being used tor s i n g l e - t r a c k operation for about 3.5 miles b e t w e e n the end of the double track east of Gary Station and Clark Crossover west o f Gary Station because damage caused by cold weather breaks to the catenary propulsion p o w e r system o v e r the westward main track made the track unusable by e l e c t r i c a l l y propelled trains. T h e lead cars o f the s e l f - p r o p e l l e d units of each train w e r e crushed and d e r a i l e d . S e v e n t y - n i n e passengers, 6 c r e w m e m b e r s , and 2 o f f - d u t y e m p l o y e e s w e r e injured in the collision. T h e South Shore estimated the damage to be about $2,433,000. The National Transportation Safety Board determines that the probable cause of this accident was the failure o f the dispatcher to coordinate the m o v e m e n t of the t w o trains properly; the lack o f a clear provision in G e n e r a l N o t i c e N o . 62 for a meeting o f t w o opposing trains scheduled to depart Gary Station at the same t i m e ; and the mistaken determination by the c r e w of eastbound train N o . 123 while at Clark Road Station that t h e r e was sufficient t i m e tor the train t o reach Gary Station and clear the single track b e f o r e the scheduled departure of westbound train N o . 218, I N V E S T I G A T I O N Events P r e c e d i n g T h e A c c i d e n t T r a c k Conditions.—The C h i c a g o , South Shore and South Bend Railroad (South Shore) provides propulsion p o w e r for its multiple-unit, e l e c t r i c a l l y p o w e r e d c o m m u t e r trains through a 1,500-volt d.c. catenary system 1/ spanning both main line tracks b e t w e e n Gary, Indiana, and C h i c a g o , Illinois. On January 19, 1985, a low ambient t e m p e r a t u r e of minus 22° F in the Gary area caused s e v e r a l tensile stress breaks in the catenary system o v e r both tracks b e t w e e n Gary Station and Clark Crossover, which is about 2.7 miles west o f Gary Station. The breaks b e t w e e n those locations made the c a t e n a r y system unusable for normal s e r v i c e by e l e c t r i c a l l y propelled trains. 1/ A n overhead wiring system from which propulsion p o w e r is drawn by means of a pantograph. - 2 - On January 20, 1985, train orders w e r e used t o m o v e eastbound and westbound trains through the area on the eastward main track using d i e s e l - e l e c t r i c l o c o m o t i v e units in shuttle s e r v i c e . By about 4 a.m. on January 21, 1985, the catenary o v e r most o f the eastward main track had been repaired, and trains w e r e moved on the eastward main track by e l e c t r i c p o w e r using train orders. A b o u t 10:15 a.m., the South Shore Superintendent o f Transportation, who is l o c a t e d at Michigan C i t y , Indiana, issued G e n e r a l N o t i c e N o . 62, which specified that the eastward main track would be used for s i n g l e - t r a c k operation o f eastbound and westbound trains under s i n g l e - t r a c k o p e r a t i n g rules b e t w e e n Clark C r o s s o v e r at milepost ( M P ) 61.6 and the east end o f the double track at MP 58.1, which is about 0.8 mile east o f Gary Station. The n o t i c e e l i m i n a t e d the requirement for the train dispatcher t o issue a train order to move each train b e t w e e n the track limits specified in the n o t i c e . A l l the area c o v e r e d by the n o t i c e was within Gary yard l i m i t s . (See figure 1.) T h e n o t i c e was posted about 10:15 a.m. on January 21, 1985, at the reporting point for trainerews and e n g i n e c r e w s in Michigan C i t y . A b o u t the same t i m e , copies o f the n o t i c e w e r e forwarded by a train messenger to be posted at the Randolph S t r e e t Station in C h i c a g o . A l s o , on January 21, 1985, the Superintendent o f Transportation issued G e n e r a l N o t i c e N o . 61 specifying a drop pan 2 / area b e t w e e n MP 59.4 and MP 60 on the eastward main track where the catenary could not be used because o f d a m a g e . A u t o m a t i c wayside block signal 591, which governs eastbound train movements on the eastward main track, is l o c a t e d at MP 59.42, which was within the drop pan l i m i t s . Signal 591 was not r e m o v e d from s e r v i c e , and it would have displayed a s t o p - a n d - p r o c e e d aspect (see appendix C , rule 291) as its most r e s t r i c t i v e aspect i f : ( a ) a train w e r e occupying the eastward main track at Gary Station, ( b ) a train w e r e b e t w e e n signal 591 and Gary Station, ( c ) a switch on the eastward main track b e t w e e n signal 591 and Gary Station w e r e open, ( d ) the inside switch just east of Gary Station leading from the A D D track to either the eastward or westward main tracks w e r e aligned to p e r m i t a train m o v e m e n t from the A D D track to the eastward main track (the switch normally is aligned from the A D D track to the westward main t r a c k ) , ( e ) the eastward main track switch leading to the A D D track (through the inside s w i t c h ) either was unlocked or was open, ( f ) a broken rail was in the signal block, or ( g ) t h e r e was a malfunctioning signal. Train N o . 2 1 3 . — A t 12:40 p.m. on January 21, 1985, a c r e w consisting o f a conductor, an engineer, and a c o l l e c t o r / b r a k e m a n reported at Michigan C i t y for their assignment. T h e c r e w m e m b e r s c o m p a r e d the t i m e shown on their watches with the t i m e shown on the standard c l o c k at Shops and on each other's watches when they r e p o r t e d for 2 / Usually a damaged section o f the catenary system that requires the engineer to l o w e r the pantographs while passing beneath that s e c t i o n . NOT TO SCALE Figure l . « P i a n v i e w o f accident s i t e . - 4 - work. T h e y said that the t i m e s shown on their watches w e r e " a c c e p t a b l e " in both instances. T h e c r e w deadheaded 3/ t o Randolph S t r e e t Station where they a r r i v e d about 2:10 p . m . The c r e w was assigned to o p e r a t e train N o . 213 to G a r y . A t 2:57 p.m., the dispatcher issued c l e a r a n c e card N o . 210 t o the conductor of train N o . 213 s p e c i f y i n g no train orders. A t 3:15 p.m., a f t e r a s a t i s f a c t o r y brake test, train N o . 213, consisting o f t h r e e multiple-unit e l e c t r i c cars, departed Randolph S t r e e t Station for Gary. T h e c r e w was a w a r e o f General N o t i c e Nos. 61 and 62. T h e trip toward Gary was unremarkable until the train passed Clark C r o s s o v e r and the engineer could see automatic wayside signal 593 l o c a t e d west o f Gary Station a t MP 60.17. 4/ Signal 593 was displaying an approach aspect ( s e e appendix C , rule 285), which indicated to the engineer that he must reduce the speed o f his train to 30 mph and be prepared to stop at the next signal, signal 591, because it could be displaying a s t o p - a n d - p r o e e e d aspect. The engineer said that he reduced the train's speed t o 30 mph to c o m p l y with the speed requirement o f the approach aspect and at the same t i m e he radioed the dispatcher about the approach signal aspect. He said that the dispatcher asked him for the block (signal) number, that he told the dispatcher the number, and that the dispatcher said "okay." When the engineer of train N o . 213 was able to see signal 591, he said that it was displaying a s t o p - a n d - p r o c e e d ( r e d ) aspect. T h e engineer said that about the t i m e he saw signal 591, he was b e t w e e n MP 59.4 and MP 60 and dropped the train's pantographs in c o m p l i a n c e with the drop pan order specified in General N o t i c e N o . 6 1 . The train's forward momentum was sufficient to carry it beyond the drop pan area, where the pantograph could be raised again to draw p o w e r . If the engineer had stopped the train in the drop pan area, the train would have had to be t o w e d from that point because the pantographs could not be used to draw propulsion power from the damaged catenary. T h e engineer said that he c a l l e d the dispatcher and said, " I ' v e g o t a 591 red, it's right in the pan drop, stop and p r o c e e d , what should I d o ? " He said that the dispatcher replied, " W e l l , you sure. . . can't stop. You are in the middle o f a pan drop. You w i l l be dead, so what are you t e l l i n g me? You can't stop, you are going to have t o whistle and p r o c e e d . " T h e engineer of train N o . 213 said that a f t e r this communication with the dispatcher he slowed the coasting train's speed to about 20 t o 25 mph, blew t w o blasts on the whistle as the train approached signal 591, and continued past the signal. A f t e r clearing the drop pan area, he raised the train's pantographs and p r o c e e d e d into Gary Station where the train a r r i v e d at 4:05 p.m. T h e engineer said that later during the tour o f duty, while in C h i c a g o , he told the conductor about his conversation with the dispatcher concerning the s t o p - a n d - p r o c e e d aspect displayed by signal 591. T h e dispatcher later denied that he had a conversation about signal 591 with the engineer o f train N o . 213, and he said that he did not authorize the engineer o f train N o . 213 to pass signal 591 without stopping. T h e normal operating procedure for a train c o m i n g upon a signal displaying a s t o p - a n d - p r o c e e d aspect is for the engineer to stop the train, blow t w o blasts on the whistle, and then p r o c e e d past the signal at r e s t r i c t e d speed. 5/ T h e dispatcher took no e x c e p t i o n to the arrival of train N o . 213 at the Gary Station. A trouble report maintained by the dispatcher and/or the telephone switchboard o p e r a t o r had no entry indicating a failed signal for either signal 593 or signal 591 on January 21, 1985. 3/ A c r e w in pay status but not operating a train in an assigned position. 4/ Signal numbers do not correspond with milepost indicators. 5/ D e f i n i t i o n — P r o c e e d prepared t o stop short of train or obstruction e x p e c t i n g to find broken rail or open switch, or anything that may require the speed of a train t o be reduced, not to e x c e e d f i f t e e n (15) miles per hour. - 5 - A f t e r train N o . 213 a r r i v e d at Gary Station, the equipment was moved onto the A D D track 6/ to clear the eastward main track, and a fourth car was added. A b o u t 4:10 p.m., the conductor telephoned the dispatcher to report the a r r i v a l of train N o . 213 at Gary and to obtain a c l e a r a n c e card for the c r e w ' s next assignment, train N o . 216, scheduled t o depart Gary at 4:45 p.m. for C h i c a g o . A t 4:10 p.m., the dispatcher issued c l e a r a n c e card N o . 215 to westbound train N o . 216 to the conductor specifying "no train orders." A b o u t 4:35 p . m . , the equipment for train N o . 216 was m o v e d from the A D D track onto the eastward main track at the station platform and a f t e r passengers boarded, the train departed Gary on schedule at 4:45 p.m. The required brake tests w e r e p e r f o r m e d at Gary with a c c e p t a b l e results. Eastbound train N o . 115 en route from C h i c a g o was scheduled to depart Gary Station i o r Michigan C i t y , at 4:45 p . m . , the same departure t i m e as train N o . 216. T h e c r e w m e m b e r s of train N o . 216 did not discuss the l o c a t i o n of train N o . 115 among themselves or with the dispatcher. The c r e w m e m b e r s said later that train N o . 115 was usually 5 to 7 minutes l a t e and that train N o . 216, because of its westward d i r e c t i o n , was the superior train. 7/ H o w e v e r , a f t e r train N o . 216 l e f t Gary Station, and was near MP 61, the engineer radioed the engineer o f train N o . 115 t o inquire about the train's l o c a t i o n . A t that t i m e train N o . 115 was west o f Clark Crossover and did not a r r i v e at Clark Crossover until after train N o . 216 had crossed to the westward main t r a c k . Train N o . 216 arrived in Randolph S t r e e t Station at 5:35 p.m. T h e c r e w ' s next assignment was t o o p e r a t e eastbound train N o . 123 t o Michigan C i t y . The A c c i d e n t Train N o . 1 2 3 . — A t 5:47 p.m., the dispatcher issued c l e a r a n c e card N o . 219 t o the conductor o f train N o . 123 specifying "no train orders." T h e c r e w was a w a r e that G e n e r a l N o t i c e N o s . 61 and 62 w e r e still in e f f e c t . A t 5:58 p.m., train N o . 123 departed Randolph S t r e e t Station, a f t e r a r e p o r t e d l y s a t i s f a c t o r y brake test, with the c r e w o p e r a t i n g the same f o u r - c a r set o f equipment they had o p e r a t e d inbound as train N o . 216. En route t o Gary, train N o . 123 was delayed s e v e r a l minutes at Kensington Interlocking while moving from the Illinois C e n t r a l Gulf Railroad ( I C G ) onto the South Shore track because o f signal trouble at the Kensington I n t e r l o c k i n g . A l s o , when train N o . 123 arrived at S t a t e L i n e Interlocking, the engineer radioed the dispatcher that he had a stop signal. T h e dispatcher c o n t a c t e d the o p e r a t o r at the S t a t e L i n e Interlocking, who changed the signal to p r o c e e d , and the train p r o c e e d e d t o w a r d G a r y . Just east o f Kensington Interlocking, it is customary for the engineer of a South Shore train to radio the South Shore dispatcher when the train has entered onto the South Shore track. T h e dispatcher recorded the t i m e the engineer o f train N o . 123 r e p o r t e d onto the South Shore track as 6:25 p.m. T h e dispatcher l a t e r stated that this reporting t i m e is not significant in figuring a train's running t i m e , 8/ because o f variations in the reporting and recording o f these t i m e s . A c c o r d i n g to the dispatcher the t i m e only serves to l e t the dispatcher know that the train is on the South Shore l i n e . 6 7~A~sforage~ track l o c a t e d just east of the Gary Station and b e t w e e n the t w o main tracks used to store equipment. ( S e e figure 1.) 7/ Rule S - 7 1 , South Shore T i m e t a b l e N o . 5, e f f e c t i v e 4:01 a.m., Sunday, O c t o b e r 31, 1982, reads "westward trains are superior to eastward trains of the same class." 8/ T h e train's schedule s p e c i f i e s the t i m e a train should require b e t w e e n stations. In most instances a train can run b e t w e e n t w o stations in less t i m e than is shown in the schedule. If a train is l a t e , the dispatcher can c a l c u l a t e the t i m e a train can be e x p e c t e d to a r r i v e at a station by knowing the actual running t i m e versus the scheduled running t i m e . - 6 - T h e engineer o f train N o . 123 said that while the train was stopped at Clark R oad Station about 0.2 mile west o f Clark Crossover to discharge passengers, he r e f e r r e d t o his t i m e t a b l e to v e r i f y the scheduled 6:50 p.m. departure t i m e from Gary Station for westbound train N o . 218. Further, he v e r i f i e d the scheduled 6:50 p.m. departure t i m e from Gary Station eastbound to Michigan C i t y for train N o . 123 and c h e c k e d the t i m e train N o . 123 was due t o pass Clark C r o s s o v e r . He c o n f i r m e d that train N o . 123's scheduled t i m e at Clark Crossover was 6:42 p.m. He said that he then checked his watch for the t i m e , which he r e m e m b e r e d as being 6:44 p.m. or 6:45 p.m. The engineer said that a f t e r the passengers detrained he looked back at the conductor, who was on the ground, for a signal and that the conductor was pointing to his watch. T h e engineer said that he understood the conductor's action to be a r e f e r e n c e to t i m e and that t o him it meant the conductor b e l i e v e d that sufficient t i m e was a v a i l a b l e for train N o . 123 to continue t o Gary Station and a r r i v e by 6:50 p . m . He said that he b e l i e v e d this meant he could depart Clark Road Station, pass Clark Crossover, continue into Gary Station, and c l e a r the track for train N o . 218. A t the same t i m e he t o o concluded that t h e r e was sufficient t i m e to o p e r a t e train N o . 123 to Gary Station and a r r i v e there b e f o r e 6:50 p.m. He e s t i m a t e d that it would take a maximum o f 3.5 minutes to p r o c e e d into Gary Station from Clark C r o s s o v e r . He departed Clark Road Station, continued past Clark C r o s s o v e r , and p r o c e e d e d t o w a r d Gary Station. (Even though a conductor g i v e s a p r o c e e d signal t o an engineer, the engineer does not have to l e a v e that location unless the engineer b e l i e v e s that the train can reach the next c l e a r a n c e point or station in t i m e to clear the track for an opposing superior train. (See appendix C , rule 1005.)) The conductor t e s t i f i e d that when he checked the t i m e on his watch at Clark R oad Station it was 6:45 p.m. He said that this a l l o w e d train N o . 123 f i v e minutes to p r o c e e d t o Gary Station and t o c l e a r the eastward main track at Gary Station for train N o . 218. He t e s t i f i e d that he b e l i e v e d 5 minutes was sufficient t i m e for this m o v e . T h e r e f o r e , he g a v e the engineer a p r o c e e d signal. N e i t h e r man said initially in their i n t e r v i e w s how they e x p e c t e d to c l e a r train N o . 123 from the eastward main track for train N o . 218, but they said that they e x p e c t e d train N o . 218 to be in the A D D track until train N o . 218's scheduled 6:50 p.m. departure t i m e . L a t e r , the conductor and engineer said that they had e x p e c t e d to back onto the s t o r a g e track west o f Gary Station to clear the eastward main track for train N o . 218, either unloading passengers b e f o r e g e t t i n g in the c l e a r or a f t e r train N o . 218 had l e f t . T h e engineer said that when train N o . 123 approached signal 591, it was displaying a s t o p - a n d - p r o c e e d aspect. H o w e v e r , he said that he b e l i e v e d the circumstances at that t i m e w e r e the same that had confronted him earlier in the day on train N o . 213, so he did not c a l l the dispatcher. He said that he dropped the train's pantographs and sounded t w o blasts on the whistle, and that the train c o a s t e d past signal 591 at an e s t i m a t e d speed of b e t w e e n 25 and 30 mph. (In later testimony, the engineer said that the speed was 15 t o 17 mph.) A l m o s t i m m e d i a t e l y after train N o . 123 passed signal 591, the train c a m e to the end of the drop pan area, and the engineer o p e r a t e d the c o n t r o l to raise the pantographs. He said that he looked back o v e r the train t o see if all the pantographs had raised properly, and that when he looked forward again he saw a train's headlight in front of him at a distance he e s t i m a t e d to be from 1,000 t o 1,200 f e e t . He said that he may have grabbed the radio r e c e i v e r (handset) to c a l l the other train, but he did not use i t . Instead, he released the deadman c o n t r o l f o o t pedal and ran back into the passenger c o m p a r t m e n t . He said he b e l i e v e s that he shouted a warning to the passengers, but he was not c e r t a i n . He said that after reaching the passenger c o m p a r t m e n t , he started to seat himself in a coach seat, but that he was suddenly thrown into the seat when the trains c o l l i d e d . ~7~ Train N o . 2 1 8 . - - A t 2:45 p.m., on January 21, 1985, a c r e w consisting o f a conductor, an engineer, and a c o l l e c t o r / b r a k e m a n , reported for work on their regular assignment at Michigan C i t y . T h e c r e w m e m b e r s compared the t i m e shown on their watches with the t i m e shown on the standard clock at Shops and on each other's watches when they reported for work. T h e y said that the t i m e s shown on their watches w e r e either c o r r e c t or within an a l l o w a b l e 30-second deviation and that the t i m e s on their individual watches compared s a t i s f a c t o r i l y . T h e c r e w deadheaded to the Randolph S t r e e t Station where they arrived at 4:30 p . m . T h e c r e w was assigned to o p e r a t e eastbound train N o . 121, destined to Michigan C i t y , as tar as Gary. A t 5:12 p.m., the dispatcher issued c l e a r a n c e card N o . 218 to the conductor of train N o . 121 s p e c i f y i n g "no train orders." A t 5:28 p.m., a f t e r a proper brake t e s t , train N o . 121, consisting o f six multiple-unit e l e c t r i c cars, departed Randolph S t r e e t Station for Gary, where it a r r i v e d about 6:35 p.m., 10 minutes l a t e . T h e crew's next assignment was to o p e r a t e westbound train N o . 218, scheduled to l e a v e Gary Station at 6:50 p.m., from Gary to C h i c a g o . A c c o r d i n g to the t e s t i m o n y o f the dispatcher and conductor of train N o . 218, the conductor telephoned the dispatcher about 6:40 p . m . to obtain a c l e a r a n c e card for train N o . 218. A t 6:41 p.m., the dispatcher issued c l e a r a n c e card N o . 220 to the conductor of train N o . 218 s p e c i f y i n g "no train orders." The c r e w was a w a r e that G e n e r a l N o t i c e N o s . 61 and 62 w e r e in e f f e c t . T h e conductor said that when he r e c e i v e d the c l e a r a n c e card, he asked the dispatcher if "he [westbound train N o . 218] should lay back and a l l o w [eastbound] train N o . 123 t o c o m e into Gary." The conductor wanted to know if he should be g i v e n instructions or a train order to wait for train N o . 123, which he knew was due to depart Gary Station eastbound for Michigan C i t y at 6:50 p.m., the same t i m e train N o . 218 was scheduled to depart westbound for C h i c a g o . The conductor said that the dispatcher rep lied , "you've g o t your orders, you [ t r a i n N o . 218] are the superior train; if he c o m e s in [ i n t o Gary S t a t i o n ] it's his head." The conductor said that the dispatcher then g a v e him v e r b a l permission to bring the equipment for train N o . 218 out o f the A D D track and to occupy the eastward main track at Gary Station. The dispatcher later t e s t i f i e d that he saw no c o n f l i c t b e t w e e n train N o s . 123 and 218 because he b e l i e v e d that train N o . 123 was about 10 to 11 minutes l a t e . L a t e r in his testimony, he said that he could v e r i f y only that train N o . 123 was 7 minutes l a t e and that he anticipated some delay because o f the drop pan s e c t i o n . He said that based on his b e l i e f that eastbound train N o . 123 was l a t e , he b e l i e v e d it would not proceed east o f Clark Crossover until a f t e r westbound train N o . 218 a r r i v e d at that l o c a t i o n and crossed o v e r to the w e s t w a r d main track t o c l e a r the eastward main t r a c k . The conductor informed the engineer and c o l l e c t o r / b r a k e m a n o f train N o . 218 of his conversation with the dispatcher. T h e conductor g a v e instructions t o a mechanical d e p a r t m e n t e m p l o y e e (a car inspector) to bring the equipment for train N o . 218 from the A D D track up to the s w i t c h leading to the eastward main track. A b o u t 6:45 p.m., the c r e w boarded the equipment for train N o . 218, which consisted of t w o multiple-unit e l e c t r i c cars, and moved it onto the eastward main track at the Gary Station p l a t f o r m so passengers could board and the train would be ready to depart on schedule at 6:50 p.m. N o flag p r o t e c t i o n was established to p r o t e c t the equipment. T h e car inspector and the engineer made a s a t i s f a c t o r y brake test on the equipment. T h e c r e w m e m b e r s t e s t i f i e d later that a f t e r only t h r e e passengers boarded the rear car, train N o . 218 departed Gary Station westbound about 6:50:20 p.m. I m m e d i a t e l y a f t e r the train l e f t the station, a running brake test was made by the engineer and a c k n o w l e d g e d by the c o l l e c t o r / b r a k e m a n , which signified to the engineer that the brakes w e r e o p e r a t i n g p r o p e r l y . T h e engineer said that when train N o . 218 was about 1,000 f e e t west o f Gary Station, while in a 2°39' curve to the l e f t and at the beginning of a 1.92-percent descending g rad e w e s t w a r d , he saw the headlight o f an approaching train on the eastward main track. He said that he placed the train brakes into e m e r g e n c y and ran back into the passenger c o m p a r t m e n t , which was occupied only by the conductor. He shouted t o the conductor to "hit the f l o o r , " and then he dropped to the f l o o r just b e f o r e the trains c o l l i d e d . T h e collision occurred about 6:50:42 p.m. about 1,490 f e e t west of Gary Station while train N o s . 123 and 218 w e r e moving about 30 mph and 15 mph, r e s p e c t i v e l y . T h e lead car o f each train was derailed as a result o f the collision. T h e front o f each car was crushed s e v e r e l y in the vestibule area. When the t w o trains c o l l i d e d , the c a t e n a r y p o w e r was disrupted. T h e propulsion p o w e r monitoring system indicated that p o w e r was disrupted at 6:50:42 p.m. 9/ The engineer o f train N o . 218 radioed the dispatcher o f the a c c i d e n t , who in turn c a l l e d for e m e r g e n c y assistance. Injuries to Persons C r e w m e m b e r s Injuries N o . 218 N o . 123 F a t a l 0 0 N o n f a t a l 3 3 None 0 0 T o t a l 3 3 Damage T h e forward vestibule areas o f the t w o lead cars w e r e crushed on i m p a c t . F r a m e and body d e f o r m a t i o n was evident t o a depth o f about 8 f e e t into the passenger c o m p a r t m e n t of each unit. (See figures 2, 3, and 4 . ) T h e t w o lead cars w e r e e s t i m a t e d to be a t o t a l loss, while the trailing cars r e c e i v e d only minor d a m a g e . Damage to the track was n e g l i g i b l e , and t h e r e was no d a m a g e t o the catenary or signal systems. T h e South Shore estimated the d a m a g e to b e : Car N o . Damage 1 $ 8,000 26 1,200,000 9 5,000 17 1,200,000 21 5,000 27 15,000 $ 2 , 4 3 3 , 0 0 0 O f f - d u t y e m p l o y e e s Passengers T o t a l 0 0 0 2 79 87 0 26 26 2 105 113 9/ S p e c i f i c a l l y , the recorded t i m e was shown as 1850.7 (6:50:42) on the monitoring equipment. CO 1 F i g u r e 2.—East v i e w of first and seeond cars o f t r a m N o . 123 ( f o r e g r o u n d ) and train N o . 218 (background). F i g u r e 4.—Interior o f lead car o f train N o . 123. - 1 2 - Crewmember Information T h e e r e w m e m b e r s of each train and the dispatcher w e r e all qualified for their r e s p e c t i v e positions in accordance with South Shore operating rules. B e f o r e reporting for duty on January 21, 1985, all c r e w m e m b e r s and the dispatcher had the required rest specified by t h e F e d e r a l Hours o f S e r v i c e L a w , 49 C F R 228,19. In addition, all train c r e w m e m b e r s and the dispatcher t e s t i f i e d that they w e r e satisfied with their assignments, and that they w e r e physically rested and a l e r t b e f o r e and while on duty on January 2 1 . T h e dispatcher had been qualified as a dispatcher since N o v e m b e r 1979, and on January 21, 1985, he was working his regularly assigned 3 p . m . - t o - l l p.m. shift. He had served as a c o l l e c t o r / b r a k e m a n and an engineer, and in A p r i l 1980 he was p r o m o t e d to the position of dispatcher. Some South Shore train and enginecrew e m p l o y e e s told S a f e t y Board investigators that they w e r e reluctant to c o m m u n i c a t e with the train dispatcher because he was curt and g a v e them the impression that they w e r e not to bother him. T h e chief dispatcher, who had been in that c a p a c i t y only for about 4 weeks, said that he had observed this discourteous communications manner in the dispatcher and that about the t i m e o f the accident he was planning to speak to him about his a t t i t u d e . The c r e w m e m b e r s o f each train w e r e working regular assignments, e x c e p t the engineer o f train N o . 123, who had been an e m e r g e n c y 10/ engineer since O c t o b e r 30, 1980, and an extra train dispatcher since A p r i l 27, 1984. He had served as a c o l l e c t o r / b r a k e m a n and worked as an engineer in freight and passenger s e r v i c e . He also worked each Friday from 3 p.m. t o 11 p.m. as a train dispatcher. He t e s t i f i e d that the irregular work routine had not caused him any concern and that he b e l i e v e d he p e r f o r m e d his job s a f e l y . ( F o r additional c r e w m e m b e r / d i s p a t e h e r information, s e e appendix B . ) Training Training for South Shore operating e m p l o y e e s is accomplished by o n - t h e - j o b training ( O J T ) . A l l e m p l o y e e s in train and engine s e r v i c e begin training as c o l l e c t o r s / b r a k e m e n in passenger s e r v i c e . T h e trainees begin training by studying the first 35 pages o f the operating rules book, which includes operating rule 99 and the current t i m e t a b l e , and by b e c o m i n g familiar with the work in passenger and freight s e r v i c e . T h e trainees a r e assigned to one or more senior e m p l o y e e s for O J T . These instructor e m p l o y e e s a r e s e l e c t e d on the basis o f their p e r f o r m a n c e record, c o n g e n i a l i t y , and ability to instruct and c o m m u n i c a t e e f f e c t i v e l y . The senior e m p l o y e e s s e l e c t e d to train newly hired e m p l o y e e s are not g i v e n any s p e c i f i c training as instructors to prepare them for their roles as instructors, and they are not g i v e n additional pay for training junior e m p l o y e e s . A f t e r the t r a i n e e works up t o 15 days with the senior e m p l o y e e s , and if the trainee is considered qualified by the senior e m p l o y e e s , each instructor signs a l e t t e r o f introduction previously presented t o him by the trainee. T h e l e t t e r o f introduction g i v e n to the trainee by the Superintendent o f Transportation identifies the trainee and specifies that he is authorized to be on the p r o p e r t y and that he is to be trained as a new e m p l o y e e . The t r a i n e e is assigned next to work in freight s e r v i c e as a head brakeman for 10 t o 20 days. T h e t r a i n e e is then t e s t e d orally by the Superintendent o f Transportation or an assistant on the training r e c e i v e d , which includes questions on the portion o f the o p e r a t i n g rules the trainee was assigned to learn. T h e r e is no d e f i n i t e policy g o v e r n i n g the 107 T h e South Shore r e f e r s t o extraboard personnel as e m e r g e n c y c r e w s . T h e y f i l l job vacancies resulting from vacations, illnesses, e t c . -13- procedure to be followed if a trainee fails the tests. However, if the trainee does not show an aptitude for the work to be performed as a railroad employee, he is dismissed. If he passes this first test, he still must serve a 60-day probationary period to prove himself. Except for the OJT program, there is no formal training curriculum established, and no specific list of tasks or skills to be mastered is provided to either the instructor or the trainee. Following his initial OJT, the trainee must work 8 to 12 months as a collector/brakeman or head brakeman, after which the trainee must pass an oral and written examination on the operating rules. A passing grade of 85 percent is required for the trainee to continue OJT. There are no specific questions pertaining to the operating rules that must be answered correctly for the trainee to obtain a passing grade. Those employees who fail the test are returned to OJT, and they continue to study the operating rules and test material. The questions missed on the failed test are not reviewed with the employee. A retest must be taken within a week. The retest is the same test given the first time. A second failure results in dismissal. If the employee passes the test, a company officer reviews with the trainee those questions he missed, if any. Following successful completion of this phase of training, the trainee must perform 1 day of OJT with a qualified rear brakeman to qualify as a rear brakeman in freight service. Following the OJT as a rear brakeman, another test is given the trainee consisting of 171 written questions and additional oral questions. The same passing qualifications and test review procedures apply to this test as to that which follows the initial OJT. A f t e r 1 or 2 years, the employee may be required to take a promotion to the position of either conductor or engineer. If vacancies exist in both categories, the employee may choose a position; otherwise, the employee can be assigned to a vacancy in either category by a supervisor. To prepare and qualify for promotion to the position of either conductor or engineer, the employee is given a still different test from the one following his initial OJT and qualification as a rear brakeman. This test is composed of a 687-question examination on operating rules given as a take-home test. In format it consists of the operating rules with the omission of key words which the employee must supply. Then the employee is examined on the rules by a company officer, rule by rule. The employee must answer 85 percent of the questions correctly to pass the examination. If the employee has elected or has been appointed to become a conductor, the employee receives 3 to 5 days OJT from a senior passenger conductor. Following this training, the employee receives OJT under the supervision of a senior freight conductor for 12 to 30 days. Completion of this training qualifies the employee as a conductor, and the employee's name is placed on the list of emergency (extraboard) conductors. Advancement thereafter is in accordance with seniority and ability. The engineer trainee undergoes a similar training procedure under the supervision of a qualified senior engineer. The employee is placed in passenger service for 15 to 20 days in OJT. After passing this phase of training, the employee receives O J T training in freight service for about 30 days. During the OJT, the Road Foreman of Engines monitors the employee's progress by direct observation. The OJT is followed by an oral examination covering operating rules, and the location of switches, crossovers, and signals. Completion of this training qualifies the employee as an engineer, and the employee's name is placed on the list of emergency (extraboard) engineers. Advancement thereafter is in accordance with seniority and ability as judged by operations management. - 1 4 - Conductors and engineers may be p r o m o t e d to train dispatcher as the need arises. Train dispatchers are s e l e c t e d on the basis o f their p e r f o r m a n c e on their assigned j o b , on their a t t i t u d e , k n o w l e d g e o f operating rules, and personality as observed by operations management personnel. N o f o r m a l evaluation tests are g i v e n . This is an optional advancement for management-approved train s e r v i c e e m p l o y e e s when a v a c a n c y occurs. The dispatcher trainee puts in an a v e r a g e o f 120 t o 150 hours o f O J T . F o l l o w i n g O J T in the dispatcher's o f f i c e , the trainee is examined orally on the operating rules by a company o f f i c e r . C o m p l e t i o n o f this training qualifies the e m p l o y e e as a dispatcher, and the e m p l o y e e ' s name is placed on the list o f e m e r g e n c y ( e x t r a b o a r d ) dispatchers. Vacancies that occur in operations management usually are f i l l e d from the dispatcher's o f f i c e . A l l e m p l o y e e s are required to be r e e x a m i n e d on the operating rules e v e r y 2 y e a r s . A passing g r a d e o f 85 p e r c e n t is required for an e m p l o y e e to remain in company s e r v i c e . T h e biennial rules examination consists o f a 100-question, m u l t i p l e - c h o i c e test which is p r e f a c e d with a s l i d e - t a p e presentation of actual occurrences on the railroad which highlight applications o f rules. If an e m p l o y e e fails the reexamination, he is required to be r e e x a m i n e d . His reexamination can be taken i m m e d i a t e l y , and he has t h r e e opportunities to pass. Train Information T h e multiple-unit e l e c t r i c cars involved in the accident w e r e built b e t w e e n 1981 and 1983 by Sumitome Corporation o f A m e r i c a and Nippon, Sharyo, S e i z o , Kaisha, L t d . o f Japan. T h e cars are p o w e r e d from a 1,500-volt d.c. catenary s y s t e m . Four e l e c t r i c traction motors produce a t o t a l o f 640 horsepower per c a r . T h e a v e r a g e e m e r g e n c y braking r a t e tor stops from all speeds o f 70 mph or less with a full seated passenger load is 2.5 mphps. 1 1 / The car bodies are 85 f e e t long, are constructed of stainless s t e e l , and seat 93 passengers. Operating controls are l o c a t e d at each end o f the car. T h e airbrakes are c o n t r o l l e d by a t y p e 26B-1 airbrake c o n t r o l v a l v e . T h e t o t a l braking system includes an airbrake blended with dynamic brakes. The cars w e r e built and tested to c o m p l y with applicable standards prescribed by the F e d e r a l Railroad Administration ( F R A ) or the Association o f A m e r i c a n Railroads ( A A R ) . T h e cars are equipped with a public address system, an intercom system for intracrew communication, and a radio with three operable frequencies. T h e cars are equipped with a deadman c o n t r o l o p e r a t e d by a f o o t pedal at the engineer's o p e r a t i n g position. T h e deadman c o n t r o l f o o t pedal is interconnected with the t h r o t t l e so that when both a r e released, an e m e r g e n c y brake application w i l l be made. First aid kits a r e p r o v i d e d for each car and stored in each end v e s t i b u l e . An e m e r g e n c y t o o l kit for each car is stored under the first passenger seat on the noncab side of the car at the " B " end (brake e n d ) . The seating arrangement o f each car is such that about o n e - h a l f o f the seats f a c e in one d i r e c t i o n and o n e - h a l f f a c e in the opposite d i r e c t i o n . Doors into the vestibules are l o c a t e d at each end of the passenger c o m p a r t m e n t . Side doors p r o v i d e access to the vestibules. A pair o f side sliding doors is l o c a t e d in the middle o f the car on each side. A n e m e r g e n c y window e x i t is at each end o f the car on opposite sides, and t w o e m e r g e n c y window e x i t s are on e i t h e r side near the c e n t e r o f the c a r . Instructions for opening the doors manually in the e v e n t o f p o w e r failure a r e posted. Windows are g l a z e d with s a f e t y glass. When catenary p o w e r is lost, e m e r g e n c y lights in the cars are p o w e r e d by 1 1 / D e c e l e r a t i o n r a t e in miles per hour per second. - 1 5 - r e c h a r g e a b l e s t o r a g e b a t t e r i e s . T h e e m e r g e n c y lights in the t w o lead cars did not function a f t e r the collision because the crushing d e f o r m a t i o n o f the cars s e v e r e d the cables supplying p o w e r to the lights. T h e radios w e r e not t e s t e d f o l l o w i n g the a c c i d e n t because the crash d a m a g e t o the t w o head cars crushed the radios. H o w e v e r , the radio on train N o , 123 had o p e r a t e d s a t i s f a c t o r i l y e a r l i e r during the eastbound trip, and t h e r e had been no complaints about the radio on train N o . 218. Track Information In a w e s t e r l y d i r e c t i o n from Gary Station, the d o u b l e - t r a c k main line is built on a contained f i l l about 25 f e e t a b o v e the s t r e e t l e v e l . P r o t e c t i v e handrails are p r o v i d e d along the tops o f the retaining walls. T h e track is constructed o f 115-pound, R E continuous-welded rail set on 13-inch t i e plates and 7-inch by 9-inch by 8 - f o o t 6-inch wood crossties. T h e main tracks are built on about 3 1 - f o o t c e n t e r s at the point o f the a c c i d e n t because o f a c e n t e r track which ends just east o f t h e point o f c o l l i s i o n . T h e catenary system in the area o f the a c c i d e n t is supported o v e r the tracks on s t e e l structures. T h e c a t e n a r y system was installed about 1906, o r i g i n a l l y as a 6,600-volt a.c. s y s t e m . It was rebuilt b e t w e e n 1926 and 1929 as a 1,500-volt d.c. compound-catenary s y s t e m . T h e catenary is aligned a p p r o x i m a t e l y t o f o l l o w the c e n t e r l i n e o f the track. A 9-inch deviation is t o l e r a t e d t o either side o f the track c e n t e r l i n e . T h e t r o l l e y w i r e is maintained a p p r o x i m a t e l y 22 f e e t a b o v e the t o p o f the rail ( A T R ) . T h e South Shore patrols the catenary system a t 6-month intervals, and d e f i c i e n c i e s a r e noted and r e p a i r e d . A n o m a l i e s , such as t r o l l e y w i r e tension in c o l d w e a t h e r and sag in hot w e a t h e r , are watched constantly, and action is taken to p r o t e c t the system when i r r e g u l a r i t i e s are o b s e r v e d . E x c e s s i v e sag can c r e a t e a need for drop pan orders. T h e c o n t a c t w i r e is r e n e w e d as required. G e n e r a l N o t i c e N o . 61 was issued because o f a break, caused by c o l d t e m p e r a t u r e s , that o c c u r r e d in the t r o l l e y w i r e at MP 59.68 in G a r y . Breaks a r e prone t o occur because o f m e t a l f a t i g u e or at heavy wear locations such as at station p l a t f o r m s , where trains a r e continually starting, or at overhead bridges and at points w h e r e the c a t e n a r y v a r i e s in height A T R . Most breaks occur in the t r o l l e y w i r e i t s e l f , with some occurring in the secondary messenger. T h e primary messenger almost n e v e r breaks. ( F o r additional catenary information s e e appendix D . ) Method of Operation South Shore operating rule N o . 3 requires that train and e n g i n e c r e w e m p l o y e e s c o m p a r e their company^-approved standard watches with a standard c l o c k when g o i n g on duty. Standard c l o c k s a r e l o c a t e d at Shops in Michigan C i t y where the c r e w s r e p o r t for duty and a t the dispatcher's o f f i c e . T h e standard clocks a r e set a u t o m a t i c a l l y each day at 6 a.m. and 6 p.m. by an a u t o m a t i c t i m e - s y n c h r o n i z i n g signal. T h e t i m e indicated by the standard c l o c k v a r i e s by only 3 or 4 seconds per t i m e - s e t p e r i o d . I f a trainman's watch is more than 30 seconds fast or slow, it must be set t o indicate the c o r r e c t t i m e . In addition, members o f a traincrew are required t o c o m p a r e the t i m e indicated by their watches with the t i m e shown by each other's watches at the beginning o f a tour o f duty and to synchronize them if necessary. - 1 6 - Trains a r e o p e r a t e d o v e r the double track main line of the South Shore b e t w e e n Kensington Interlocking on the I C G a t 115th S t r e e t in C h i c a g o and the east end o f the double track east o f Gary by the aspects o f a u t o m a t i c wayside c o l o r light signals, and by t i m e t a b l e , train orders, and g e n e r a l n o t i c e s . B e t w e e n the east end o f the double track at Gary and South Bend, Indiana, train movements a r e g o v e r n e d by the aspects o f a u t o m a t i c wayside c o l o r light signals and s i n g l e - t r a c k operating rules, which include t i m e t a b l e , train orders, and g e n e r a l n o t i c e s . S p e c i a l instruction rule 83a contained in t i m e t a b l e N o . 5, e f f e c t i v e 4:01 a.m., Sunday, O c t o b e r 3 1 , 1982, provides for a delay of 3 minutes for a train l e a v i n g South Bend if the schedule o f t w o trains would cause them to m e e t a t South Bend. T h e t i m e t a b l e for the s i n g l e - t r a c k portion of the South Shore b e t w e e n Gary and South Bend does not indicate any eastbound and westbound trains due at the same station at the same t i m e unless t h e r e is a siding shown. The t i m e t a b l e indicates where a scheduled m e e t with an opposing train w i l l occur. T h e meeting t i m e is shown in bold print, and the train being met is indicated. ( S e e appendix E.) T h e headblock ( h o m e ) signals 12/ a r e provided with lightout p r o t e c t i o n and arranged so that if a bulb burns out in the g r e e n ( c l e a r ) p r o c e e d position, the y e l l o w (approach) aspect w i l l be displayed. This decreases the possibility o f a dark signal, which in most cases would require a train to stop. T h e train dispatcher is l o c a t e d at Michigan C i t y . The dispatcher does not have c o n t r o l f a c i l i t i e s to o p e r a t e track signals or switches, but does c o n t r o l train order signals at Gary and at Shops in Michigan C i t y by which he can signal an engineer t o stop a train and have a c r e w m e m b e r c a l l him for instructions. T h e dispatcher is p r o v i d e d with a d e d i c a t e d dispatcher's t e l e p h o n e and company and A T & T d i a l - t e l e p h o n e c i r c u i t s . H e can c o m m u n i c a t e with the train engineers by radio. T h e South Shore does not have a tape monitor on the dispatcher's communications c i r c u i t s . T h e South Shore does not have manned reporting stations along the line t o r e p o r t the t i m e a train passes a g i v e n l o c a t i o n . In s o m e instances during the day, a t i c k e t agent may report a train's passing at his station, but at night t h e r e are no t i c k e t agents on duty. H o w e v e r , the dispatcher can obtain the t i m e a train passes a g i v e n l o c a t i o n by calling the train's e n g i n e e r . When a train arrives at Gary, Michigan C i t y , Randolph S t r e e t Station, or South Bend, the train's conductor reports t o the dispatcher the train's a r r i v a l t i m e . In addition, the dispatcher can obtain the t i m e a train enters or l e a v e s the " O S " 13/ track sections ( r e f e r r e d t o as the "OS t i m e " ) at the p o w e r substations from the propulsion p o w e r monitoring equipment. ( T h e controls and an information printout unit for the equipment a r e in the dispatcher's o f f i c e . ) When a train is scheduled to l e a v e its initial station, the conductor is required to c o n t a c t the dispatcher, which usually is done by t e l e p h o n e , t o d e t e r m i n e if the dispatcher has any train orders or special instructions for the train. T h e dispatcher g i v e s the conductor train orders orally and/or g i v e s a c l e a r a n c e card s p e c i f y i n g either the train orders for that train or that there a r e no train orders. When the main track is kept in s e r v i c e and short spans o f the catenary system a r e not usable for e l e c t r i c train operation, the dispatcher must issue a "drop pan" train order, or p r o v i d e such information on a c l e a r a n c e card. An engineer is e x p e c t e d to a l l o w the train to attain enough speed so that it w i l l coast through a drop pan area with 1 2 / T h e signal at the entrance to a signal block indicating a condition a f f e c t i n g the m o v e m e n t o f a train. 13/ T h e r e c o r d e d t i m e a train passes a designated l o c a t i o n . the pantographs l o w e r e d . If a drop pan area spans a wayside signal, the signal may be taken out of s e r v i c e by a train order or a g e n e r a l n o t i c e . South Shore's Superintendent o f Transportation said, h o w e v e r , that a signal is never taken out s e r v i c e if the signal is operating p r o p e r l y . If t i m e permits, or if the drop pan order w i l l be needed for an extended t i m e , a g e n e r a l n o t i c e is issued specifying the limits o f the drop pan a r e a . A c c o r d i n g to operating rule N o . 291 an engineer is required to stop a train for a s t o p - a n d - p r o c e e d signal aspect e v e n if it is in a drop pan area. A c c o r d i n g t o the train dispatcher, t h e r e is no provision in the rules which a l l o w s a train to pass a s t o p - a n d - p r o c e e d signal aspect in a drop pan area, and he t e s t i f i e d that he did not have the authority to a u t h o r i z e a train to pass a s t o p - a n d - p r o c e e d signal aspect. South Shore's rules examiner said that while a train dispatcher cannot orally countermand an o p e r a t i n g rule, he can issue a train order or message o v e r the Superintendent o f Transportation's name and modify or bypass an o p e r a t i n g rule. M o r e o v e r , the dispatcher can issue a "call order" to a train, which d i r e c t s a member o f the t r a i n c r e w to c a l l the dispatcher b e f o r e the train moves past a designated l o c a t i o n . Under s i n g l e - t r a c k operating rule N o . S-71 ( T i m e t a b l e Special Instructions) on the South Shore, a westbound train is superior to an eastbound train, i . e . , an eastbound train must c l e a r the main track if it meets a westbound train o f the same class. Opposing trains of the same class 14/ are a l l o w e d t o m e e t on " f l a t t i m e , " which means that an eastbound inferior train c o m p l i e s with operating rule N o . S-71 i f it clears the main track at a designated point b e f o r e a westbound superior train is scheduled to l e a v e that same point. For trains o f the same class, no c l e a r a n c e margin o f t i m e is required. South Shore operating o f f i c e r s said that train N o . 123 should have c l e a r e d the track for train N o . 218 at Clark Crossover (by remaining west o f the c r o s s o v e r ) or at Marshall, or at the west end o f Gary Station b e f o r e 6:50 p.m., the scheduled departure t i m e o f train N o . 218. ( S e e figure 1.) A c c o r d i n g to the South Shore rules examiner, equipment for a scheduled train cannot be brought out to occupy the single main track b e f o r e the train's scheduled departure t i m e without instructions from the dispatcher. A scheduled train has no right to occupy the track until its scheduled t i m e . The c r e w m e m b e r s i n v o l v e d in this a c c i d e n t said that it is a p r a c t i c e at Gary Station that passenger equipment is brought onto the appropriate main track ahead of the train's scheduled departure t i m e so that passengers can board and the train depart on t i m e . T h e dispatchers regularly authorized the t r a i n c r e w s at Gary Station t o bring the equipment for the train they are scheduled t o o p e r a t e onto the main track ahead o f the scheduled departure t i m e . I f equipment is moved onto the main track ahead o f a train's scheduled departure t i m e , flag p r o t e c t i o n must be p r o v i d e d t o the front and t o the rear of the train on single track and to the rear on double track when operating with the current of t r a f f i c . Special instruction N o . 975 in the current t i m e t a b l e and operating rule N o . 99 specify the conductor's responsibility in supervising a t r a i n c r e w , including his responsibility t o ensure that flag p r o t e c t i o n is provided under circumstances where it is required. T h e train c r e w m e m b e r s i n v o l v e d in this a c c i d e n t did not r e m e m b e r e v e r providing flag p r o t e c t i o n when equipment was brought onto the main track at Gary Station b e f o r e a train's scheduled departure t i m e . 14/ Trains are assigned a class by t i m e t a b l e . A f i r s t - c l a s s train is superior to a second-class train, e t c . - 1 8 - T h e r e is a p r o g r a m m e d 3-minute delay b e f o r e the eastward main track switch leading t o the A D D track can be aligned to d i v e r t an eastbound train from the e a s t w a r d main track onto the A D D track if a train is b e t w e e n MP 60.29 ( w e s t o f Gary Station) and the s w i t c h . T h e timing c y c l e is started when the switch lock is r e m o v e d from the hasp, thus unlocking the s w i t c h . When the switch is unlocked, signal 591 i m m e d i a t e l y displays a stop-and-proceed a s p e c t , and signal 593 displays an approach aspect. T h e t i m i n g c y c l e is intended to p r e v e n t the switch's alignment from being changed to the A D D track i m m e d i a t e l y ahead o f an eastbound train that already might have passed signal 591. Meteorological Information A t 6:50 p.m. on January 21, 1985, i t was dark with some blowing snow. T h e t e m p e r a t u r e was 12° F with v i s i b i l i t y about 5 miles, and the wind was from 270° a t 10 knots gusting t o 20 knots. Data provided by the N a t i o n a l Weather S e r v i c e at Gary indicates that the t e m p e r a t u r e dropped from about 28° F during the afternoon o f January 18 t o minus 22° F by about 6 a.m., on January 20. T h e t e m p e r a t u r e rose from minus 22° F t o 15° F by about 1 p.m. on January 2 1 . T h e l o w e s t t e m p e r a t u r e r e c o r d e d from January 18 through January 21 was minus 22° F. Medieal and Pathological Information South Shore o p e r a t i n g o f f i c e r s requested a t o x i c o l o g i c a l t e s t o f both engineers, but not o f the dispatcher or other c r e w m e m b e r s . Blood and urine samples w e r e drawn a t 10:40 p . m . and 11 p.m. on January 21 from the engineers of train N o s . 218 and 123, r e s p e c t i v e l y . T h e test results w e r e n e g a t i v e for alcohol and drugs for the engineer o f train N o . 218. T h e test results w e r e n e g a t i v e for alcohol but p o s i t i v e for acetaminophen for the engineer of train N o . 123. A c e t a m i n o p h e n is a drug used as a pain suppressant in some c o m m o n l y used patent medicines. It does not have adverse human behavioral e f f e c t s at therapeutic l e v e l s . Of the 87 persons injured in the a c c i d e n t , 9 passengers and 2 c r e w m e m b e r s w e r e a d m i t t e d t o area hospitals, while 70 passengers, 2 o f f - d u t y e m p l o y e e s , and 4 c r e w m e m b e r s w e r e t r e a t e d and released. T h e nature of the injuries r e c e i v e d by those injured w e r e r e p o r t e d to be concussions, multiple bruises, lacerations, and fractures o f the arms, l e g s , and thighs. Survival Aspects T h e forward outside body shell of the vestibule on each lead car was crushed so that the vestibule was c o m p a c t e d . T h e first rows o f seats for a distance o f about 8 f e e t w e r e squeezed t o g e t h e r . T h e sides o f the cars bulged outward near the i m p a c t e d ends. T h e l u g g a g e racks in the forward ends o f the cars bent, and some b e c a m e detached. T h e seats in the cars, e x c e p t for those in the crush areas, did not separate from their f l o o r moorings. N o seat cushions w e r e knocked loose in any seats behind those a f f e c t e d by t h e crushing f o r c e s . Passengers could not e x i t through the forward ends o f the lead cars, but the doors t o the rear and the side doors could be opened manually by f o l l o w i n g the e m e r g e n c y sequence indicated in the printed information on the coach walls. T h e engineer o f train N o . 218 informed the dispatcher o f the collision using the radio at the rear o f the second car of his train. T h e dispatcher i m m e d i a t e l y n o t i f i e d e m e r g e n c y personnel who arrived in about 15 minutes. Rescue e f f o r t s w e r e d i f f i c u l t because the trains collided where the track was about 25 f e e t a b o v e s t r e e t l e v e l . H o w e v e r , a ramp on the north side of the track structure provided adequate a c c e s s . Units from the Gary f i r e and p o l i c e departments and those of s e v e r a l surrounding communi t i es responded quickly, g a v e first aid, and e v a c u a t e d the injured t o l o c a l hospitals. - 1 9 - Tests and Research A l l signal equipment was found t o be operating properly on January 21, 1985. Sight and distance tests w e r e conducted about 9 p . m . on January 24, 1985. T w o cars o f the same design as the cars i n v o l v e d in the accident w e r e positioned at the point o f i m p a c t , simulating train N o s . 123 and 218. T h e weather was c l e a r , and the t e m p e r a t u r e was in the low 20s° F. A t the beginning o f the tests, the t w o cars w e r e backed a w a y from each other at 5 0 - f o o t i n t e r v a l s , and the v i e w o f each engineer t o w a r d the other train was e v a l u a t e d . T h e b a c k o f f continued until the t w o cars w e r e 1,000 f e e t apart. P o s i t i v e i d e n t i f i c a t i o n as a train was established at distances from 50 t o 500 f e e t apart. T h e i d e n t i f i c a t i o n o f a car as a train was less p o s i t i v e at distances o f from 500 t o 700 f e e t apart. I n t e r s t a t e 90 parallels the railroad at the accident s i t e , and headlights from highway v e h i c l e s i n t e r m i n g l e d with the headlights o f rail t r a f f i c . In addition, mercury vapor lights at a nearby s t e e l mill f a c i l i t y w e r e conspicuous in the background near the a c c i d e n t s i t e . These w e r e lighted on the night o f the a c c i d e n t . On March 7, 1985, the South Shore o p e r a t e d train N o . 113, consisting o f four cars in revenue s e r v i c e , for a running t i m e test b e t w e e n Clark Crossover and Gary Station. T h e speed authorizations in e f f e c t on January 21 w e r e o b s e r v e d . T h e t e m p e r a t u r e was 38° F, and the rails w e r e dry. T h e 2.7 miles w e r e c o v e r e d in 4 minutes 20 seconds, with a l l wayside signals displaying c l e a r p r o c e e d aspects. A l s o on March 7, about 4:50 p.m., revenue train N o . 115, with four cars, was o p e r a t e d b e t w e e n C l a r k Crossover and Gary Station with the engineer observing the drop pan requirements b e t w e e n MP 59.4 and MP 60 and the r e s t r i c t i v e signal aspects displayed by signals 593 and 591 that confronted the engineer o f train N o . 123 on January 2 1 . Under these conditions, with the t e m p e r a t u r e about 37° F, the running t i m e b e t w e e n Clark Crossover and Gary Station was 4 minutes 45 seconds, including the required stop at signal 591, which was assumed t o be displaying a s t o p - a n d - p r o c e e d a s p e c t . Other Information A substation supervisory system, i d e n t i f i e d by its t r a d e name as Q E I , g i v e s the train dispatcher various supervisory c o n t r o l functions and indication features for the system that provides p o w e r t o the c a t e n a r y . T h e dispatcher can use the system t o r e m o v e and/or r e s t o r e p o w e r at substations by opening/closing c i r c u i t b r e a k e r s w i t c h e s . T h e system has a " t y p e r unit" in the dispatcher's o f f i c e which prints out the t i m e that faults occur in the s y s t e m . T h e t i m e on t h e "typer unit" printout is indicated t o the nearest 0.1 minute. In addition, the y e a r , month, and d a t e are shown. A c o l o r c a t h o d e ray tube displays the same i n f o r m a t i o n that is printed on t h e " t y p e r unit" printout. T h e 3 p . m . - t o - l l p.m. dispatcher on duty when this a c c i d e n t occurred t e s t i f i e d that he monitors the t i m e indicated by the Q E I system by comparing it t o the t i m e indicated by the standard c l o c k in the dispatcher's o f f i c e or by comparing it with a standard t i m e source obtained by telephone from C h i c a g o . If i t varies as much as 15 seconds, he resets it to the c o r r e c t standard t i m e . T h e printout t i m e r e c o r d is not used to r e c o r d train passing t i m e s . - 2 0 - T h e QEI system records OS t i m e s on approach and departure circuits for the substations on each track. When a train actuates the approach c i r c u i t and when the train l e a v e s the circuit, the t i m e is printed on the "typer unit" printout. For the Madison Substation, near the accident s i t e , the eastbound west OS t i m e circuit extends 1,788 f e e t from MP 59.42 t o MP 59.08 and the eastbound east OS t i m e circuit extends 1,807 f e e t from MP 59.08 to MP 58.73 (0.16 mile east o f Gary S t a t i o n ) . 15/ The printout for the OS t i m e s does not identify the train by number, but the dispatcher can c o r r e l a t e these t i m e s with a train and obtain a passing t i m e . T h e "typer unit" printout for January 21, 1985, recorded s e v e r a l t i m e s associable with the a c c i d e n t . A t 18:45.8 (6:45:48 p . m . ) the printout indicates that a westbound train actuated the eastbound east OS t i m e circuit for the Madison Substation. T h e train was i d e n t i f i e d by a South Shore o f f i c e r as the equipment for train N o . 218 entering onto the eastward main track from the A D D track at Gary Station. A t 18:50.2 (6:50:12 p . m . ) the printout indicates that an eastbound train actuated the eastbound west OS t i m e c i r c u i t 0.62 m i l e west o f Gary Station. T h e train was i d e n t i f i e d as train N o . 123 approaching Gary. T h e collision occurred ap p roximately 213 f e e t west of the east end of the eastbound west OS t i m e c i r c u i t . Because the QEI system records t i m e in tenths o f a minute, a r e c o r d e d t i m e can lag the e v e n t by up to 6 seconds (0.1 t i m e s 60 seconds). In addition, t h e r e can b e a 2 - to 3-second scanning t i m e d e l a y . Because of these f a c t o r s , the speed of train N o . 123 for the ap p ro x imately 1,575 f e e t only can be placed in the range o f 25 mph t o 35 mph based upon the t i m e s recorded by the QEI system. A N A L Y S I S Train Operations G e n e r a l N o t i c e N o . 62 s p e c i f i e d that the eastward main track would be used for s i n g l e - t r a c k operations and that s i n g l e - t r a c k operating rules would be in e f f e c t t o g o v e r n train m o v e m e n t s until the catenary o v e r the westward main track was repaired. B a s i c a l l y , the operation o f trains under the authority of General N o t i c e N o . 62 was no d i f f e r e n t than when train orders w e r e used b e f o r e the issuance o f the n o t i c e . A s a m a t t e r of operational e x p e d i e n c y , the Superintendent o f Transportation issues a G e n e r a l N o t i c e in the f o r m a t o f G e n e r a l N o t i c e N o . 62 when one o f the t w o main tracks in d o u b l e - t r a c k t e r r i t o r y is t o be used for s i n g l e - t r a c k operations for an extended t i m e . Since s i n g l e - t r a c k operating rules are used regularly b e t w e e n Gary and South Bend, and operating e m p l o y e e s are qualified on t h e m , by issuing a G e n e r a l N o t i c e t o establish s i n g l e - t r a c k operation for a g i v e n length o f track, the superintendent can a v o i d delay t o trains and reduce the workload o f the train dispatcher. The most serious problem arising from the establishment o f s i n g l e - t r a c k operation b e t w e e n Clark Crossover and the east end o f the double track r e l a t e d to the concurrent scheduled departure of eastbound and westbound trains at Gary Station. Under double-track operating rules and procedures, this arrangement did not present a problem because each train occupied its own d i r e c t i o n a l main track. A l s o , equipment for an originating scheduled train could enter onto a main track at Gary Station without d i f f i c u l t y because trains would be moving in only one direction on each track. T h e South Shore superintendent who prepared General N o t i c e N o . 62 said that when the n o t i c e 15/ T h e directions east and west r e f e r to directions from the substation. T h e eastbound west OS t i m e circuit extends westward from the Madison Substation and usually would be a c t i v a t e d by an eastbound train. - 2 1 - was issued, he did not o v e r l o o k the concurrent scheduled departure t i m e s and possible c o n f l i c t s for opposing trains at G a r y . H e said that the intent o f General N o t i c e N o . 62 was t o d e f i n e t h e l i m i t s o f the s i n g l e - t r a c k o p e r a t i o n , and t o establish s i n g l e - t r a c k operating rules to g o v e r n train m o v e m e n t s . Further, he said that he e x p e c t e d the t r a i n c r e w s and the dispatcher t o r e s o l v e any operating c o n f l i c t s that might arise during the m o v e m e n t o f trains, such as the concurrent departure t i m e s of t w o trains at Gary Station, by use of the appropriate operating r u l e ( s ) . O p e r a t i n g rule S-71 establishing the superiority o f trains was one o f the rules he e x p e c t e d to be used in resolving a possible c o n f l i c t such as was present for train N o s . 123 and 218. T h e dispatcher apparently discerned no problem with continuing the established p r a c t i c e o f a l l o w i n g equipment t o enter a track e a r l y t o load passengers at Gary Station since G e n e r a l N o t i c e N o . 62 had not s p e c i f i c a l l y prohibited the equipment o f a westbound train from occupying the eastward main track b e f o r e its scheduled departure t i m e . T h e c r e w m e m b e r s o f train N o s . 123 and 218 as w e l l as the dispatcher, being qualified on the South Shore operating rules, understood that westbound trains w e r e superior to eastbound trains o f the same class. T h e y also understood that there was no minimum t i m e f a c t o r i n v o l v e d in the main track c l e a r a n c e requirements for trains o f the same class. It appears that the c r e w m e m b e r s of each train, the dispatcher, and the operating o f f i c e r s depended e x c l u s i v e l y upon the rule g o v e r n i n g the superiority o f trains t o deal with any c o n f l i c t s o f opposing trains. Throughout the industry railroad operating rules o f f i c e r s d i f f e r in their understanding and application o f the rules as to when equipment b e c o m e s a train. S o m e maintain that the equipment b e c o m e s a train subject to all r e l e v a n t rules when the conductor r e c e i v e s a c l e a r a n c e card from the dispatcher or o p e r a t o r . Others b e l i e v e that the equipment does not b e c o m e a train until its scheduled departure t i m e at a station. By definition in t h e South Shore operating rules, the equipment for train N o . 218 was a train ( s e e appendix C ) . H o w e v e r , train N o . 218 had no o p e r a t i o n a l rights until the t i m e t a b l e schedule authorized those rights a t 6:50 p.m. A c c o r d i n g to the South Shore operating rules, where one t i m e is shown in a t i m e t a b l e for a train at a station, it is the departure t i m e unless it is o t h e r w i s e indicated. Thus, the t i m e s shown in the t i m e t a b l e for train N o s . 123 and 218 at Gary Station a r e departure t i m e s (see appendix E ) . H o w e v e r , the rules further s t a t e (rule N o . 5, s e e appendix C ) that w h e r e t h e r e is neither a siding nor f i x e d signals, the t i m e indicated for a train applies where t r a f f i c (passengers) is r e c e i v e d or discharged. Since t h e r e was no siding or a f i x e d signal at Gary Station, the application o f this rule resulted essentially in an impasse, because it a l l o w e d both trains t o be at the station platform at the same t i m e . In consideration o f the "flat t i m e " m e e t permissible by the South Shore o p e r a t i n g rules, this situation should have been addressed in G e n e r a l N o t i c e N o . 62. The S a f e t y Board b e l i e v e s that South Shore rule S-83 was applicable in this situation. Rule S-83 states, " A train must n o t . . . pass from one o f t w o or more tracks t o single track, until i t has been ascertained whether a l l trains due, which a r e superior, have a r r i v e d or l e f t . " T h e conductor o f train N o . 218, in calling the dispatcher b e f o r e moving the equipment for his train o n t o the eastward main track, did a t t e m p t t o l o c a t e train N o . 123, but the dispatcher did not p r o v i d e him this i n f o r m a t i o n . While South Shore rule 93 a l l o w s inferior trains t o use the main track within y a r d l i m i t s if superior trains a r e not d e l a y e d , rule 93 precluded train N o . 218's equipment from entering the eastward main track at Gary Station until 6:50 p . m . , because until that t i m e train N o . 123 was t h e superior train. The dispatcher erred in authorizing train N o . 218's equipment t o occupy the eastward main track without knowing the l o c a t i o n of train N o . 123. Since train N o . 123 was not scheduled to depart Gary Station until 6:50 p . m . , and so long as it a r r i v e d - 2 2 - t h e r e at or b e f o r e 6:50 p.m., nothing would have been gained by train N o . 123 c l e a r i n g the eastward main track west o f Gary Station b e f o r e the passengers w e r e discharged. T h e passengers could have been unloaded and train N o . 123 could have l e f t Gary Station a t 6:50 p . m . ( f l a t t i m e ) and continued t o w a r d Michigan C i t y . This analysis is predicated on o n - t i m e train p e r f o r m a n c e , which should have been the basis for the instructions contained in G e n e r a l N o t i c e N o . 62, and emphasizes the importance o f considering e v e r y possible aspect o f train operations in formulating t e m p o r a r y d e v i a t i o n s from standard procedures. Even though it had superior rights until 6:50 p . m . a c c o r d i n g t o the rules, train N o . 123 was 3 t o 4 minutes l a t e on i t s schedule, and it should not have a t t e m p t e d to reach Gary Station in the f a c e of train N o . 218's scheduled departure t i m e at 6:50 p.m. T h e S a f e t y Board concludes that G e n e r a l N o t i c e N o . 62 was not s u f f i c i e n t l y e x p l i c i t in dealing with the operating c o n f l i c t s that could and did arise. South Shore operating rule 83a provides for a delay o f 3 minutes for a train l e a v i n g South Bend if the schedule o f t w o trains would cause them to m e e t at South Bend, If a rule such as rule 83a, which is applicable only to the s i n g l e - t r a c k operation at South Bend, had been put into e f f e c t at Gary by G e n e r a l N o t i c e N o . 62, or if a similar provision t o e l i m i n a t e the consequences o f c r e w m e m b e r s misjudging the t i m e by s e v e r a l minutes had e x i s t e d , train N o . 123 might have reached Gary Station s a f e l y . Rule 3, requiring the adjustment o f the watches o f c r e w m e m b e r s , would p e r m i t up to a 1-minute error in t i m e i f the t i m e s indicated by the watches w e r e 30 seconds slow in one instance and 30 seconds fast in another. Thus, a rule similar t o rule 83a, providing for a 3-minute delay in the scheduled departure t i m e from a station i f the schedule o f t w o trains would cause them t o m e e t a t that point, would have provided a margin o f s a f e t y and at most caused train N o . 218 t o depart Gary at 6:53 p . m . , 3 minutes l a t e . This e x t r a t i m e would h a v e a l l o w e d train N o . 123 t o have a r r i v e d at Gary Station s a f e l y . A l s o , i f eastbound trains, and train N o . 123 in particular, had been issued a "call order" 16/ for the conductor or engineer o f train N o . 123 t o c a l l the dispatcher b e f o r e the train passed Clark C r o s s o v e r , the a c c i d e n t could have been p r e v e n t e d . Since the South Shore dispatcher's communication circuits w e r e not t a p e - m o n i t o r e d , t h e r e is no record o f the communications that occurred at any t i m e during the e v e n i n g o f January 21. T h e S a f e t y Board has i n v e s t i g a t e d s e v e r a l accidents 17/ in which communications b e t w e e n the dispatcher and engineer or interlocking operators w e r e r e c o r d e d by a tape r e c o r d e r . These records, which also p r o v i d e the t i m e o f the communications, have been invaluable in improving operating p r a c t i c e s and in a c c i d e n t reconstruction. T h e South Shore should consider installing a tape monitor in the dispatcher's o f f i c e to record and p r e s e r v e communications b e t w e e n the dispatcher and mobile units or telephones. The Dispatcher T h e dispatcher's actions in s o m e regards and lack o f action in other regards indicated that he b e l i e v e d the c r e w o f train N o . 123 knew their train was the inferior train and that they w e r e g o v e r n e d by rule S-71 (see appendix C ) that required an inferior train t o c l e a r the main track for a superior train. He did not a l l o w any margin for e r r o r . 167~ A " I o r m ~ T 9 ~ l r a i n order issued by the dispatcher for a train c r e w m e m b e r t o c a l l the dispatcher b e f o r e passing a specified l o c a t i o n . 1 7 / R a i l r o a d A c c i d e n t R e p o r t s — " R e a r - e n d Collision B e t w e e n C o n t r o l Trains O I P I - 6 and E N P I - 6 X , near Saltsburg, Pennsylvania, February 26, 1984" ( N T S B / R A R - 8 5 / 0 2 ) ; " H e a d - o n C o l l i s i o n o f N a t i o n a l Railroad Passenger Corporation ( A m t r a k ) Passenger Train N o s . 151 and 168, A s t o r i a , Queens, N e w Y o r k , July 23, 1984" ( N T S B / R A R - 8 5 / 0 9 ) . - 2 3 - T h e dispatcher was i n d i f f e r e n t to the location o f train N o . 123 according to the conductor o f train N o . 218 when the conductor asked the dispatcher about his responsibility as conductor of train N o . 218 if the t w o trains m e t . T h e dispatcher said that he b e l i e v e d train N o . 123 was d e l a y e d at Kensington Interlocking and S t a t e L i n e Interlocking and would be running about 7 t o 11 minutes l a t e . A l s o , he said that he anticipated an additional delay for train N o . 123 at the drop pan area b e t w e e n MP 59.4 and MP 60. H o w e v e r , this delay would have occurred a f t e r train N o . 123 passed Clark C r o s s o v e r . T h e dispatcher did not make any a l l o w a n c e for the possibility that train N o . 123 might make up some o f the lost t i m e b e t w e e n S t a t e L i n e Interlocking and Clark C r o s s o v e r . It is apparent that when the conductor of train N o . 218 was talking to the dispatcher, the dispatcher did not know the l o c a t i o n o f train N o . 123, which s e e m i n g l y should have d i c t a t e d his trying to c o n t a c t the engineer o f train N o . 123 t o d e t e r m i n e the train's l o c a t i o n . E x c e p t under unusual circumstances a dispatcher is e x p e c t e d t o and should know the l o c a t i o n o f a first-class passenger train to a c l o s e r t o l e r a n c e than 7 to 11 minutes. A dispatcher should be able to p r e d i c t a train's a r r i v a l at a g i v e n l o c a t i o n f a i r l y a c c u r a t e l y because he knows the existing conditions, the p e r f o r m a n c e c h a r a c t e r i s t i c s o f an engineer, and the range of running t i m e s o f a train b e t w e e n various points. T h e dispatcher in this case should have had a g o o d k n o w l e d g e o f running t i m e s based on his e x p e r i e n c e both as an engineer and as a train dispatcher. If the t i m e that engineers report their trains onto the South Shore tracks at Kensington Interlocking cannot be used reliably t o c a l c u l a t e running t i m e s o f trains, South Shore operating o f f i c e r s should establish a s p e c i f i c reporting point. T h e dispatcher i n c o r r e c t l y assumed that train N o . 123 would be 7 t o 11 minutes l a t e when he a l l o w e d the equipment for train N o . 218 to occupy the eastward main track at the Gary Station p l a t f o r m b e f o r e 6:50 p . m . Since it was a c c e p t e d p r a c t i c e t o p e r m i t the equipment for a train to occupy the w e s t w a r d main track b e f o r e a train's scheduled departure t i m e under a normal d o u b l e - t r a c k o p e r a t i o n , the dispatcher apparently saw no problem in p e r m i t t i n g N o . 218's equipment to occupy the eastward main track in a similar manner. H o w e v e r , in a proper application o f the rules he should not have g i v e n the conductor o f train N o . 218 permission to bring the equipment onto the eastward main track without a message or train order. T h e train and engine c r e w s operating into and out o f Gary Station knew that it was the p r a c t i c e t o bring the equipment onto the w e s t w a r d main track b e f o r e a train's scheduled departure t i m e ; t h e r e f o r e , the c r e w m e m b e r s o f train N o . 218 apparently did not b e l i e v e it was unusual or unsafe for their equipment to occupy the eastward main track ahead o f the scheduled departure t i m e . This b e l i e f was strengthened by the conversation the conductor o f train N o . 218 had with the dispatcher concerning train N o . 123. If train N o . 123 had e n t e r e d Gary Station at 6:50 p.m. or e a r l i e r , it would not have been a b l e t o c l e a r the main track without some shifting moves because train N o . 218's equipment would have been blocking the main track. In part, the dispatcher's job in this situation was t o d e a l with the ambiguity c r e a t e d by G e n e r a l N o t i c e N o . 62 by making a p o s i t i v e command decision. Instead, he a l l o w e d the ambiguity to remain and did not a c t t o r e s o l v e t h e c o n f l i c t b e t w e e n train N o s . 123 and 218 as operations management had a n t i c i p a t e d . T h e dispatcher had t w o resources a v a i l a b l e t o him for determining the l o c a t i o n o f train N o . 123. H e could have c o n t a c t e d the engineer o f train N o . 123 by radio. A l s o , the QEI printout would have provided him with an a p p r o x i m a t e l o c a t i o n . He did not use e i t h e r source o f i n f o r m a t i o n . T h e Q E I system can be used to p r o v i d e the dispatcher useful information about train m o v e m e n t s . For e x a m p l e , the dispatcher could and should r e c o r d passing t i m e s o f trains at designated points on his train sheet so they w i l l be a v a i l a b l e for i m m e d i a t e r e f e r e n c e ; this can be accomplished by use o f the QEI "typer printout." - 2 4 - T h e S a f e t y Board has found a dispatcher's lack o f k n o w l e d g e o f train l o c a t i o n s t o be a f a c t o r in previous a c c i d e n t s . On M a y 28, 1982, f o l l o w i n g its investigation of a head-on collision b e t w e e n t w o trains in B e v e r l y , Massachusetts, 1 8 / the S a f e t y Board issued S a f e t y R e c o m m e n d a t i o n R - 8 2 - 2 7 t o the Boston and Maine C o r p o r a t i o n : E n f o r c e Boston and Maine Corporation o p e r a t i n g rule 222 that requires operators t o promptly r e p o r t and the dispatcher t o promptly r e c o r d train passing t i m e s at locations w h e r e passing reports a r e required. In that a c c i d e n t , the dispatcher did not r e c o r d p r o m p t l y the OS t i m e s o f trains as t h e y passed r e p o r t i n g points. In the absence o f proper and prompt r e c o r d i n g o f OS t i m e s , it was d i f f i c u l t f o r him t o k e e p in mind the a p p r o x i m a t e locations o f his trains. Consequently, he a l l o w e d t w o opposing trains onto the same track and they c o l l i d e d . T h e S a f e t y Board b e l i e v e s that i f the South Shore dispatcher had r e c o r d e d the passing t i m e s o f train N o . 123 past the QEI OS points, he would have been able t o respond t o the request o f the conductor o f train N o . 218 for the l o c a t i o n o f train N o , 123. T h e dispatcher also failed t o respond fully t o the requirements o f his position b e f o r e the Gary a c c i d e n t when he did not d e t e r m i n e the cause, i f any, for the s t o p - a n d - p r o c e e d signal aspect displayed by signal 591 when the engineer o f train N o . 213 inquired about i t e a r l i e r in the day. While the engineer of train N o . 213 should not have g o n e past the signal without stopping, the dispatcher must share with the engineer the responsibility f o r the rules v i o l a t i o n , whether he authorized the engineer of train N o . 213 t o o p e r a t e past the s t o p - a n d - p r o c e e d signal aspect without stopping or not, because he did not r e p o r t t o his supervisor that train N o . 213 did not stop at the signal, as operating rule 291 r e q u i r e d . (Since the dispatcher was not c a l l e d upon t o p r o v i d e a diesel l o c o m o t i v e t o t o w train N o . 213 into Gary, he had t o have been a w a r e o f the f a c t that train N o . 213 did not stop at signal 591.) T h e d i f f i c u l t y the engineer o f train N o . 123 had e a r l i e r in obtaining p o s i t i v e guidance from the dispatcher, when he was operating train N o . 213 and encountered the s t o p - a n d - p r o c e e d signal a s p e c t , l e d t o his not calling the dispatcher again when he o p e r a t e d train N o . 123 through the signal just b e f o r e the collision. While the dispatcher may have discouraged engineers and conductors from calling him because o f his discourteous manner, the engineer o f train N o . 123 said this was not a f a c t o r in his decision not t o inquire about the signal. T h e engineer most l i k e l y did not c a l l the dispatcher about the s t o p - a n d - p r o c e e d signal when he observed it while operating train N o . 123 because he did not e x p e c t any new or additional information from the dispatcher concerning the signal. On the other hand, the dispatcher denied the conversation r e l a t e d t o the s t o p - a n d - p r o c e e d aspect displayed by signal 591; m o r e o v e r , the trouble r e p o r t f a i l e d t o confirm the engineer's report o f the signal abnormality. T h e South Shore should have had a provision for the dispatcher t o m o v e a train past a stop signal in a drop pan area when the a l t e r n a t i v e was t o stop the train and h a v e i t t o w e d t o a point w h e r e the c a t e n a r y was usable or t o the next station. N e v e r t h e l e s s , the S a f e t y Board b e l i e v e s that the dispatcher did not comprehend his authority when he s t a t e d that he could not a l l o w a train t o pass a s t o p - a n d - p r o c e e d signal aspect without stopping. N o r m a l l y , the full authority for the operation o f trains v e s t e d in the Superintendent o f Transportation t o m o v e trains as expeditiously and s a f e l y as possible is d e l e g a t e d t o the dispatchers. I f an unusual situation d e v e l o p s , the dispatcher can issue train orders or messages and v a l i d a t e them by signing the superintendent's initials or name. T h e s e instruments then b e c o m e valid operating instructions e v e n i f c o n t r a d i c t o r y t o an 1 8 / R a i l r o a d A c c i d e n t R e p o r t — " H e a d - o n Collision o f Boston and Maine C o r p o r a t i o n Extra 1731 East and Massachussetts Bay Transportation A u t h o r i t y T r a i n N o . 570 on F o r m e r Boston and Maine C o r p o r a t i o n T r a c k s , B e v e r l y , Massachusetts, August 11, 1981" ( N T S B / R A R - 8 2 / 0 1 ) . - 2 5 - o p e r a t i n g rule. Such a means could have been used t o m o v e train N o . 213 past signal 591 w h i l e it was displaying a s t o p - a n d - p r o c e e d a s p e c t . If, on the o t h e r hand, the dispatcher was c o r r e c t when he assumed that on the authority g i v e n to him by the Superintendent o f Transportation he could not countermand an o p e r a t i n g rule by using a train o r d e r or a message, the South Shore operating o f f i c e r s should publish revised dispatching procedures so that the dispatchers and operating c r e w m e m b e r s w i l l understand the a c t i o n t o be taken when a train encounters a signal displaying a s t o p - a n d - p r o c e e d aspect in a drop pan a r e a . Train N o . 218 Crewmembers T h e conductor o f train N o . 218 a t t e m p t e d to d e t e r m i n e from the dispatcher i f he needed a train order for a m e e t with train N o . 123, or if train N o . 218 should w a i t at Gary Station f o r train N o . 123's a r r i v a l . Since the dispatcher was the conductor's d i r e c t supervisor for authorizing train m o v e m e n t s , the conductor p r o c e e d e d as required when the dispatcher stated that train N o . 218 was superior t o train N o . 123, and that train N o . 218's equipment could occupy the eastward main track. By his actions, the dispatcher demonstrated his b e l i e f that the c r e w o f train N o . 123 would c l e a r the eastward main track for train N o . 218. T h e conductor should have pursued his concern and insisted on his right to be advised o f the l o c a t i o n and m o v e m e n t plans o f train N o . 123. L i k e w i s e , the engineer o f train N o . 218 appears t o have e x p e c t e d the c r e w m e m b e r s o f train N o . 123 t o w a i t at Clark Crossover a c c o r d i n g t o the o p e r a t i n g rules concerning the superiority o f westbound trains. He a c c e p t e d the authority he was g i v e n t o occupy the eastward main track at the station p l a t f o r m without considering the possibility o f train N o . 123's a r r i v i n g at Gary Station b e f o r e or a t 6:50 p . m . H o w e v e r , the engineer o f train N o . 218 could have used his radio and a c t e d on his own behalf and authority t o c o n t a c t the engineer o f train N o . 123 to d e t e r m i n e his l o c a t i o n and plans. When train N o . 123 had not a r r i v e d at Gary Station by 6:50 p.m., by t i m e t a b l e train N o . 218 was authorized to l e a v e the station, which according to the engineer's e s t i m a t e was not until about 6:50:20 p . m . T h e c o l l e c t o r / b r a k e m a n o f train N o . 218 displayed the same c o m p l a c e n c y shown by t h e other c r e w m e m b e r s in r e s p e c t t o train N o . 123. He was t h e junior c r e w m e m b e r and he appears t o have a c c e p t e d the judgments o f the conductor, engineer, and dispatcher. Train N o . 123 Crewmembers T h e engineer o f train N o . 123 should have talked d i r e c t l y with his conductor no l a t e r than the t i m e the train reached Clark C r o s s o v e r , where the t w o of them should h a v e made a decision concerning m e e t i n g train N o . 218. T h e engineer thought that he understood from the motion the conductor made t o w a r d his watch at Clark Road Station that t h e y had sufficient t i m e t o p r o c e e d to Gary Station and a r r i v e by 6:50 p . m . In addition, the engineer thought it was the conductor's intent for him t o p r o c e e d into Gary Station because it was the conductor's responsibility to stop the train at Clark C r o s s o v e r or make arrangements to c l e a r the eastward main track at Marshall or the w e s t end o f Gary Station if t h e r e was not sufficient running t i m e a v a i l a b l e for p r o c e e d i n g to Gary Station. H o w e v e r , South Shore rule 1005 (see appendix C ) charges the engineer with t h e responsibility o f not l e a v i n g a station e v e n on the conductor's signal if in his judgment he does not have sufficient t i m e to reach the next c l e a r a n c e point s a f e l y . T h e engineer's e s t i m a t e o f a 3.5-minute running t i m e b e t w e e n Clark C r o s s o v e r and Gary Station proved to be i n c o r r e c t . If the t i m e the conductor and engineer observed when train N o . 123 was at Clark Road Station was c o r r e c t , then they had sufficient running t i m e (5 minutes) b e t w e e n Clark Road Station and Gary Station. T h e running t i m e - 2 6 - tests indicated that a normal running t i m e b e t w e e n Clark Crossover and Gary Station was 4 minutes 20 seconds. R e p l i c a t i n g the conditions and circumstances that the engineer o f train N o . 123 encountered on January 2 1 , it took the test train 4 minutes 45 seconds f o r the same run. A l s o , the engineer o f train N o . 123 apparently did not consider the possibility o f a delay because o f the drop pan requirement or o f encountering r e s t r i c t i n g signal aspects. H e should have been concerned about delays because o f the drop pan area and the p o t e n t i a l for a stop-and-proceed aspect being displayed by signal 591, since these conditions had e x i s t e d earlier when he o p e r a t e d train N o . 213 through that a r e a . More importantly, it appears that the t i m e the conductor and engineer observed at Clark Road Station was either i n c o r r e c t l y observed, i n c o r r e c t l y r e m e m b e r e d , or i n c o r r e c t l y stated in their testimony. Both men indicated that they had checked their company-approved standard watches with the standard t i m e c l o c k at Michigan C i t y , and that the t i m e indicated by their watches compared c l o s e l y with the standard c l o c k and each other. Y e t the Q E I printout shows that train N o . 123 a c t u a t e d the west OS t i m e circuit for the Madison Substation at 6:50:12 p . m . Based on the 6:45 p . m . t i m e indicated by the conductor and engineer that they had observed at Clark Road Station, it took train N o . 123 about 5 minutes t o c o v e r a pproximately 2.3 miles from Clark Road Station t o t h e west end o f the OS t i m e c i r c u i t at the Madison Substation, which was an a v e r a g e speed o f about 27.6 mph b e t w e e n those t w o l o c a t i o n s . Even though the engineer o f train N o . 123 questions the t i m e d e t e r m i n e d to be the t i m e o f the a c c i d e n t , the facts in their e n t i r e t y point t o 6:50:42 p . m . T h e engineer o f train N o . 218 said that he departed the station at Gary about 6:50:20. T h e t i m e g i v e n by the conductor o f train N o . 218 as t o when the equipment was brought onto the eastward main track is substantiated by the QEI s y s t e m . T h e r e f o r e , the S a f e t y Board concludes that the t i m e the conductor and engineer r e p o r t e d l y observed at Clark Road Station was i n c o r r e c t . T h e engineer o f train N o . 123 made up some o f the t i m e lost on the schedule at Kensington and S t a t e L i n e Interlockings b e t w e e n S t a t e Line and Clark C r o s s o v e r . A 5-minute running t i m e b e t w e e n Clark Road Station and the west end o f the OS t i m e circuit for the Madison Substation is not consistent with the engineer's train handling b e t w e e n Kensington Interlocking and Clark Road Station. T h e engineer should not have had any problem a c c e l e r a t i n g the train to the authorized track speed a f t e r l e a v i n g Clark Road Station g i v e n the a c c e l e r a t i n g c a p a b i l i t y o f the equipment. A g a i n , based on the f o r e g o i n g data, the S a f e t y Board concludes that the conductor and engineer l e f t Clark Road Station at a t i m e l a t e r than 6:45 p.m. as stated in their t e s t i m o n y . T h e engineer o f train N o . 123 e x e r c i s e d poor judgment in assuming that t h e s t o p - a n d - p r o c e e d signal aspect displayed by signal 591 for train N o . 123 was for the same reason as the s t o p - a n d - p r o c e e d aspect he encountered while operating train N o . 213. M o r e o v e r , had he inquired o f the dispatcher about the s t o p - a n d - p r o c e e d signal aspect for train N o . 123, train N o . 218's engineer might have overheard the radio message and been a l e r t e d t o the oncoming train's l o c a t i o n . A n inquiry might have a l e r t e d the dispatcher t o the f a c t that train N o . 123 was east of Clark C r o s s o v e r , in which c a s e he might h a v e taken note o f the situation and a c t e d t o have p r e v e n t e d the a c c i d e n t . T h e f a c t that the engineer o f train N o . 123 was a qualified train dispatcher might have influenced him in his decision and misled him into b e l i e v i n g that he knew how the dispatcher would c o p e with the r e s t r i c t i n g signal. T h e r e f o r e , he f e l t no need to c a l l the dispatcher about the s t o p - a n d - p r o c e e d signal aspect displayed by signal 591 for train N o . 123. T h e decision not t o c a l l was not based on a hesitancy t o c a l l . Since the l a t e s t t i m e train N o . 123 could have passed Clark C r o s s o v e r and c l e a r e d the eastward track for train N o . 218 by 6:50 p.m. was c r i t i c a l , the conductor should h a v e g i v e n the decision to g o to Gary or stay at Clark Crossover his full a t t e n t i o n and consulted with his e n g i n e e r . Had the conductor o f train N o . 123 d e l e g a t e d t h e - 2 7 - responsibility for detraining the passengers for Clark Road Station to the c o l l e c t o r / b r a k e m a n , he could have g i v e n the engineer p o s i t i v e guidance on the m e e t with train N o . 218. T h e hand motion made by the conductor at Clark Road Station as described by the engineer was not a c l e a r l y e x e c u t e d d i r e c t i v e in v i e w o f the significance o f the question to be r e s o l v e d , i . e . , where to c l e a r the track for train N o . 218. T h e conductor should have g i v e n the engineer p o s i t i v e guidance on this question. T h e c o l l e c t o r / b r a k e m a n made one a t t e m p t o v e r the intercom to c a l l to the a t t e n t i o n o f the engineer their m e e t with train N o . 218, but he r e c e i v e d no response. Since he shared responsibility with the conductor and engineer for the s a f e operation o f the train, he should have pursued the information and should not have concluded that the decision made by his senior c r e w m e m b e r s was adequate and c o r r e c t . His a c c e p t a n c e o f the decision can probably be best explained by his l i m i t e d e x p e r i e n c e and peer pressure. Once train N o . 123 passed Clark C r o s s o v e r , any o f the t h r e e c r e w m e m b e r s could have taken action or caused action to have been taken t o p r e v e n t the a c c i d e n t . T h e radio could have been used t o c o n t a c t t h e engineer of train N o . 218 t o advise him o f the planned m o v e m e n t and l o c a t i o n o f train N o . 123. T h e conductor or engineer could have stopped the train and established flag p r o t e c t i o n at 6:50 p.m. when they r e a l i z e d that they w e r e operating on train N o . 218's t i m e . T h e train could have c l e a r e d the eastward main track at Marshall. T h e r e f o r e , the S a f e t y Board concludes that if any of the seven principals i n v o l v e d in this a c c i d e n t had a c t e d to l o c a t e one or the other train or t o advise all concerned o f the m o v e train N o . 123 was planning to make, the a c c i d e n t would have been a v o i d e d . Training T h e South Shore's rules reexamination required o f all e m p l o y e e s is intended to r e i n f o r c e their k n o w l e d g e o f and their ability to apply the o p e r a t i n g rules. H o w e v e r , as was the c a s e here, s o m e o f the operating rules may be used infrequently by a g i v e n c r e w assignment. Consequently, frequent reexamination on such rules is essential to k e e p e m p l o y e e s constantly f a m i l i a r with their use and application. (Since the a c c i d e n t on January 21, 1985, the South Shore has changed from a biennial to an annual rules r e e x a m i n a t i o n . ) Since t r a i n c r e w s and dispatchers w i l l encounter varying train operations g o v e r n e d by the o p e r a t i n g rules during a 2-year p e r i o d , the S a f e t y Board b e l i e v e s that the South Shore's change to an annual rules reexamination should k e e p e m p l o y e e s more familiar with infrequently used rules. T h e Safety Board has found during s e v e r a l a c c i d e n t investigations that e m p l o y e e s o f t e n csan quote the rules and a c h i e v e a p e r f e c t s c o r e on the rules examination, y e t not understand how to apply the rules in actual circumstances. 19/ South Shore operating o f f i c e r s should r e v i s e their training materials t o include a method for ensuring that e m p l o y e e s understand when an operating rule needs t o be applied and how t o apply the rule. T h e annual reexamination should test an e m p l o y e e ' s k n o w l e d g e o f the application o f the rules both by observation and simulation. 19/ Railroad A c c i d e n t R e p o r t s — " H e a d - o n Collision o f A m t r a k Trains Extra 769 East and N o . 195, Bristol, Pennsylvania, March 29, 1982" ( N T S B / R A R - 8 2 / 0 5 ) ; " H e a d - o n Collision o f N a t i o n a l Railroad Passenger Corporation ( A m t r a k ) Passenger Trains N o . 151 and 168, A s t o r i a , Queens, N e w Y o r k , July 23, 1984" ( N T S B / R A R - 8 5 / 0 9 ) ; " H e a d - o n Collision o f Burlington Northern Railroad F r e i g h t Trains Extra 6714 West and Extra 7820 East, Wiggins, C o l o r a d o , A p r i l 13, 1984, and R e a r - e n d Collision o f Burlington Northern R a i l r o a d F r e i g h t Trains Extra 7843 East and Extra A T S F 8112 East, near N e w C a s t l e , Wyoming, A p r i l 22, 1984" ( N T S B / R A R - 8 5 / 0 4 ) . - 2 8 - O J T can be an e x c e l l e n t means o f teaching a t r a i n e e the requirements o f a job and helping the t r a i n e e d e v e l o p the skills needed t o p e r f o r m the tasks of the j o b . But the success o f the system depends on the capability o f the instructors conducting the trainee's O J T and the uniformity of evaluation. T h e S a f e t y Board notes that South Shore operational o f f i c e r s s e l e c t the instructors for a trainee's O J T based on the instructor's skill and r e c o r d , but that the instructors are not monitored and trained to ensure that their methods are c o r r e c t and consistent. Since the instruction o f a t r a i n e e is the d e l e g a t e d responsibility o f d i f f e r e n t senior e m p l o y e e s and the tests administered to a trainee may be g i v e n by d i f f e r e n t supervisors, the S a f e t y Board b e l i e v e s that the South Shore operations management should d e v e l o p and put into e f f e c t a c o m p r e h e n s i v e standard training curriculum and examination, c o v e r i n g s p e c i f i c job tasks and skills, t o ensure that a l l e m p l o y e e s are k n o w l e d g e a b l e of the c r i t i c a l e l e m e n t s of the position b e f o r e a t r a i n e e or senior e m p l o y e e is advanced to a more responsible position. Survival Factors T h e car equipment p e r f o r m e d w e l l from a crashwocthiness standpoint. T h e cars did not o v e r r i d e , but in f a c t the t w o lead cars coupled. T h e major i m p a c t f o r c e s w e r e expended in crushing the vestibules and the front part o f the c a r s . T h e engineers escaped serious injury because they v a c a t e d their o p e r a t i n g c o m p a r t m e n t s just b e f o r e the collision. N e i t h e r engineer could have survived the crash if he had remained at the controls o f his train because the cabs w e r e crushed upon i m p a c t . T h e crushing resistance absorbed most o f the i m p a c t f o r c e s . Since train N o . 123 was approaching Gary Station, passengers w e r e standing in preparation for detraining. This made them more vulnerable to injury by i m p a c t f o r c e s , and the f a c t that they w e r e standing undoubtedly is responsible for the number o f bruises, lacerations, and fractures r e p o r t e d . T h e value o f the dead man c o n t r o l was demonstrated in this a c c i d e n t because e v e n though the engineer o f train N o . 123 did not apply the train brakes in e m e r g e n c y , the brakes went into e m e r g e n c y a u t o m a t i c a l l y seconds a f t e r he released the deadman f o o t pedal c o n t r o l . This i m m e d i a t e braking action was desirable under the circumstances and showed the value o f a deadman c o n t r o l or a similar d e v i c e . T h e S a f e t y Board has i n v e s t i g a t e d a number o f accidents in which a d e v i c e similar to the deadman c o n t r o l might have p r e v e n t e d the a c c i d e n t or decreased its s e v e r i t y . Although most o f these accidents w e r e caused by the incapacity o f the engineer because o f his being asleep, the need for such s a f e t y backup d e v i c e s was d e m o n s t r a t e d . T h e S a f e t y Board issued S a f e t y R e c o m m e n d a t i o n R - 7 3 - 8 on March 14, 1973, to the F R A f o l l o w i n g the investigation o f an a c c i d e n t in Pennsylvania in 1972: 20/ In c o o p e r a t i o n with the Association o f A m e r i c a n Railroads, d e v e l o p a f a i l - s a f e d e v i c e t o stop a train in the e v e n t that the engineer b e c o m e s i n c a p a c i t a t e d by sickness or death, or falls a s l e e p . Regulations should b e promulgated to require installation and maintenance of such d e v i c e . 20/ R a i l r o a d A c c i d e n t R e p o r t — " H e a d - O n Collision o f T w o Penn C e n t r a l F r e i g h t Trains, Herndon, Pennsylvania, March 12, 1972" ( N T S B / R A R - 7 3 / 0 3 ) . - 2 9 - T h e r e c o m m e n d a t i o n was superseded by S a f e t y R e c o m m e n d a t i o n R - 8 4 - 3 1 issued to the F R A as a result of the Safety Board's investigation of an accident in Indiana in 1983: 2 1 / D e v e l o p and promulgate a requirement that l o c o m o t i v e s o p e r a t e d in main track s e r v i c e be equipped with an alerting d e v i c e which w i l l stop a train if the engineer fails t o respond to an alarm indicating that he or she has fallen asleep or has b e c o m e i n c a p a c i t a t e d . The F R A responded t o R e c o m m e n d a t i o n R - 8 4 - 3 1 that it was planning a " L o c o m o t i v e Cab S a f e t y Inquiry" project and that the question of a deadman s a f e t y c o n t r o l or similar d e v i c e would be considered at that t i m e . Based on that response, R e c o m m e n d a t i o n R - 8 4 - 3 1 was classified as " O p e n — A c c e p t a b l e A c t i o n . " C O N C L U S I O N S Findings 1. The train c r e w m e m b e r s and the dispatcher had passed the company operating rules examination, and they w e r e qualified for their r e s p e c t i v e positions. 2. S i n g l e - t r a c k operating procedures w e r e not new to the e m p l o y e e s involved in this accident since the operation of trains b e t w e e n Gary and South Bend regularly was conducted using s i n g l e - t r a c k operating rules. 3. General N o t i c e N o . 62 did not p r o v i d e for train operations on a single track when an eastbound and a westbound train w e r e scheduled to depart a station at the same t i m e . 4. The c r e w m e m b e r s of each train understood that train N o . 218 was superior to train N o . 123 by t i m e t a b l e d i r e c t i o n . 5. The conductor of train N o . 218 made an e f f o r t to d e t e r m i n e his responsibility insofar as meeting with train N o . 123 was concerned. 6. The dispatcher did not a c t responsibly when he made no a t t e m p t to d e t e r m i n e the l o c a t i o n of train N o . 123 when the conductor of train N o . 218 c o n t a c t e d him. 7. Train N o . 123 passed Clark Crossover with insufficient t i m e to reach Gary Station t o c l e a r the track for train N o . 218. 8. The d e t e r m i n a t i o n made by the engineer and conductor that t h e r e was sufficient a v a i l a b l e t r a v e l t i m e to reach Gary Station when train N o . 123 departed Clark R oa d Station was based on i n c o r r e c t t i m e observations. 9. A c c o r d i n g t o rule 99 the c r e w of train N o . 123 should have stopped and established flag p r o t e c t i o n against train N o . 218 at 6:50 p.m. 10. The equipment for train N o . 218 should not have been a l l o w e d to occupy the main track at Gary Station b e f o r e 6:50 p.m. 2 1 / Railroad A c c i d e n t R e p o r t — " R e a r - E n d Collision o f Seaboard System Railroad F r e i g h t Trains Extra 8051 North and Extra 1751 North, Sullivan, Indiana, S e p t e m b e r 14, 1983" ( N T S B / R A R - 8 4 / 0 2 ) . - 3 0 - 1 1 . T h e passing t i m e s obtainable from the Q E I system could have been used advantageously by the dispatcher to keep abreast o f the locations o f trains under his c o n t r o l . 12. The engineer of train N o . 123 should not have passed signal 591 displaying a s t o p - a n d - p r o c e e d aspect without stopping. 13. Radio was not used by either traincrew or the dispatcher to d e t e r m i n e the l o c a t i o n or plans o f train N o s . 123 and 218. 14. T h e car equipment p e r f o r m e d w e l l in this crash situation. 15. The South Shore relies on O J T for training operating personnel but does not have a comprehensive curriculum t o train and e v a l u a t e e m p l o y e e s . Probable Cause T h e N a t i o n a l Transportation S a f e t y Board determines that the probable cause of this accident was the failure of the dispatcher to coordinate the m o v e m e n t o f the t w o trains properly; the lack o f a clear provision in General N o t i c e N o . 62 for a m e e t i n g o f t w o opposing trains scheduled to depart Gary Station at the same t i m e ; and the mistaken d e t e r m i n a t i o n by the c r e w o f eastbound train N o . 123 while at Clark Road Station that there was sufficient t i m e for the train t o reach Gary Station and c l e a r the single track b e f o r e the scheduled departure o f westbound train N o . 218. R E C O M M E N D A T I O N S A s a result o f its investigation o f this accident, the National Transportation S a f e t y Board r e c o m m e n d e d that the C h i c a g o , South Shore and South Bend R a i l r o a d : P r o v i d e for a 3-minute delay similar t o that in rule 83a for a l l operations involving s i n g l e - t r a c k operating rules at locations where the a r r i v a l and departure t i m e s o f opposing trains a r e in c o n f l i c t . (Class I I , P r i o r i t y A c t i o n ) ( R - 8 5 - 1 0 6 ) Require that "call orders" be issued to trainerews t o c a l l the dispatcher b e f o r e a train enters the s i n g l e - t r a c k section when s i n g l e - t r a c k o p e r a t i n g procedures and rules a r e established t e m p o r a r i l y in double-track t e r r i t o r y . (Class I I , P r i o r i t y A c t i o n ) ( R - 8 5 - 1 0 7 ) Install a t a p e - m o n i t o r i n g system to record and p r e s e r v e a record o f communications to and from the dispatcher on the dispatcher's telephone and radio circuits. (Class I I , P r i o r i t y A c t i o n ) ( R - 8 5 - 1 0 8 ) Establish a r e l i a b l e reporting system to p r o v i d e the dispatcher more a c c u r a t e passing t i m e s o f trains entering upon the C h i c a g o , South Shore and South Bend tracks at Kensington Interlocking for use in estimating the m o v e m e n t o f trains. (Class I I , P r i o r i t y A c t i o n ) ( R - 8 5 - 1 0 9 ) Modify the p o w e r - m o n i t o r i n g system so that the t i m e trains pass the substations can be identified more readily, and require the dispatcher to record those t i m e s promptly on his train sheet. (Class I I , P r i o r i t y A c t i o n ) ( R - 8 5 - 1 1 0 ) - 3 1 - P r o v i d e w r i t t e n instructions t o operating personnel concerning the action required when a train encounters a s t o p - a n d - p r o c e e d signal aspect in a section o f track where no propulsion p o w e r is a v a i l a b l e . (Class I I , P r i o r i t y A c t i o n ) ( R - 8 5 - 1 1 1 ) D e v e l o p a comprehensive curriculum c o v e r i n g the c r i t i c a l e l e m e n t s and job skills, including communication skills and manner for each position, and require that an e m p l o y e e pass a uniform examination b e f o r e being advanced to a new position. (Class I I , P r i o r i t y A c t i o n ) ( R - 8 5 - 1 1 2 ) B Y T H E N A T I O N A L T R A N S P O R T A T I O N S A F E T Y B O A R D / s / JIM B U R N E T T Chairman / s / P A T R I C I A A . G O L D M A N V i c e Chairman / s / G . H . P A T R I C K B U R S L E Y Member O c t o b e r 21, 1985 -33- A P P E N D I X E S A P P E N D I X A I N V E S T I G A T I O N Personnel in the National Transportation Safety Board's Chicago Field Office heard a news media report of the collision on January 21, 1985, and a field investigator was dispatched to the scene immediately. The following day an investigator-in-charge was assigned from the Safety Board's Washington, D . C . , headquarters. He arrived at the scene early on the afternoon of January 22, and he was joined later by a team from headquarters comprised of a human performance specialist, an operations specialist, and a survival factors specialist. On April 14, 1985, the Chief, Railroad Accident Division, and staff members of the Safety Board took depositions at Michigan City, Indiana. Parties to the deposition proceeding were the Federal Railroad Administration, the Chicago, South Shore and South Bend Railroad, the American Train Dispatchers Association, and the United Transportation Union. Sworn testimony was taken from 10 witnesses. - 3 4 - A P P E N D K B C R E W M E M B E R I N F O R M A T I O N James C . Thompson, 32, was e m p l o y e d by the C h i c a g o , South Shore and South Bend Railroad as a c o l l e c t o r / b r a k e m a n on January 3, 1980, and his seniority dates from January 17, 1980. B e was promoted t o engineer on O c t o b e r 30, 1981, and worked his first assignment as a train dispatcher on A p r i l 27, 1984. He successfully passed his last operating rules examination on May 11, 1984. His last triennial m e d i c a l examination was passed on June 28, 1982. He had s a t i s f a c t o r i l y passed the operating e f f i c i e n c y and rules c o m p l i a n c e tests he was g i v e n . Conductor, Train N o . 123 John D . Gardner, 52, was e m p l o y e d by the C h i c a g o , South Shore and South Bend Railroad as a c o l l e c t o r / b r a k e m a n on March 26, 1962. A f t e r a b r i e f absence during which t i m e he was e m p l o y e d by the Elgin, J o l i e t and Eastern R a i l r o a d , he was r e e m p l o y e d by the South Shore on March 11, 1965. He was qualified for passenger s e r v i c e on A p r i l 24, 1962, and was p r o m o t e d to conductor on July 23, 1966. He s a t i s f a c t o r i l y passed his last o p e r a t i n g rules examination on May 10, 1984, and his last triennial m e d i c a l examination on N o v e m b e r 11, 1982. He had s a t i s f a c t o r i l y passed the operating e f f i c i e n c y and rules c o m p l i a n c e tests he was g i v e n . C o l l e c t o r / B r a k e m a n , Train N o . 123 R o b e r t T . C l a y , 30, was e m p l o y e d by the C h i c a g o , South Shore and South Bend Railroad as a c o l l e c t o r / b r a k e m a n on August 9, 1980, and his seniority dates from August 25, 1980. He qualified as a rear brakeman on February 24, 1981, and was p r o m o t e d to engineer on A p r i l 25, 1983. He s a t i s f a c t o r i l y passed his last operating rules examination on May 22, 1984, and his last triennial m e d i c a l examination on July 18, 1983. He had s a t i s f a c t o r i l y passed the operating e f f i c i e n c y and rules c o m p l i a n c e tests he was g i v e n . Engineer, Train N o . 218 Jon N . M i l l e r , 45, was e m p l o y e d by the C h i c a g o , South Shore and South Bend Railroad as a c o l l e c t o r / b r a k e m a n in 1975. A f t e r a b r i e f period o f s e r v i c e as a trainman, he e n t e r e d engine s e r v i c e in 1976. He s a t i s f a c t o r i l y passed his last operating rules examination on May 15, 1984, and his last triennial m e d i c a l examination on March 21, 1984. He had s a t i s f a c t o r i l y passed the operating e f f i c i e n c y and rules c o m p l i a n c e tests he was g i v e n . Conductor, Train N o . 218 Dennis A . Burke, 35, was e m p l o y e d by the C h i c a g o , South Shore and South B pril 15, 1975. He qualified as a conductor on N o v e m b e r 7, 1975. He s a t i s f a c t o r i l y passed his last o p e r a t i n g rules examination on May 9, 1984, and his last triennial m e d i c a l examination on June 2, 1982. He had s a t i s f a c t o r i l y passed the o p e r a t i n g e f f i c i e n c y and rules c o m p l i a n c e examinations he was g i v e n . Engineer, Train N o . 123 - 3 5 - C o l l e c t o r / B r a k e m a n Train N o . 218 M i c h a e l E. L e n o i r , 33, was e m p l o y e d by the C h i c a g o , South Shore and South Bend Railroad as a c o l l e c t o r / b r a k e m a n on August 23, 1978. He was p r o m o t e d to rear brakeman on July 2, 1979, and t o conductor on July 19, 1980. He s a t i s f a c t o r i l y passed his last operating rules e x a m i n a t i o n on May 16, 1984, and his last triennial m e d i c a l examination on D e c e m b e r 21, 1984. H e had s a t i s f a c t o r i l y passed the operating e f f i c i e n c y and rules c o m p l i a n c e tests he was g i v e n . Dispatcher David L . Riordan, 34, was e m p l o y e d by the C h i c a g o , South Shore and South Bend Railroad on June 15, 1976, as a c o l l e c t o r /brake man. He was qualified for passenger s e r v i c e on June 29, 1976, for rear brakeman in f r e i g h t s e r v i c e on D e c e m b e r 30, 1976, and p r o m o t e d t o engineer on June 6, 1978. He established his seniority as a train dispatcher on N o v e m b e r 12, 1979. He s a t i s f a c t o r i l y passed his last o p e r a t i n g rules examination on May 10, 1984, and his last triennial m e d i c a l e x a m i n a t i o n on March 17, 1979. His disciplinary r e c o r d has no remarkable e v e n t s r e c o r d e d . T h e r e a r e no records o f his having been g i v e n e f f i c i e n c y or rules c o m p l i a n c e tests since he has been working in the dispatcher's o f f i c e . -36- A P P E N D I X C E X C E R P T S F R O M C H I C A G O , S O U T H S H O R E A N D S O U T H B E N D R A I L R O A D O P E R A T I N G R U L E S DEFINITIONS T R A I N — A n engine or more than one engine cou pled, with or without cars, displaying markers REGULAR T R A I N . — A train authorized by a time table schedule. S U P E R I O R T R A I N — A train having precedence over another train. TRAIN O P S U P E R I O R RICHT — A train given precedence by train order. TRAIN O F S U P E R I O R CLASS — A train given precedence by timetable T R A I N O F S U P E R I O R D I R E C T I O N — A train given pre cedence in the direction specified by time-table as between opposing trains of the same class. T I M Z - T A B L E . — T h e authority lor the movement ol regular trains subject to the rules. It contains the classified schedules with special instructions r e ­ lating to the movement of trains. S C H E D U L E . — T h a t part of a time-table which pre­ scribes class, direction, number and movement for a regular train. M A I N T R A C K . — A track extending through yards and between stations, upon which trains are oper­ ated by time-table or train order, or both, or the use of which is governed by block signals. S I N G L E T R A C K . — A main track upon which trains are operated in both directions. T w o O R MORE T R A C K S —Two or more main tracks, upon any of which the current of traffic may be in either specified direction. * * * 5. Not more than two times are given for a train at any station; where one is given, it is unless other­ wise indicated, the leaving time; where two, they are the arriving and the leaving time. The time applies to the switch where an oppos­ ing train enters the siding; where there is no siding, it applies to the place from which fixed signals are operated; where there Is neither siding nor fixed signal, It applies to the place where traffic Is re­ ceived or discharged. Schedule meeting or passing stations are indi­ cated by figures in full-faced type. Both the arriving and leaving time of a train are in full-faced type when both are meeting or pass­ ing times, or when one or more trains are to meet or pass it between those times. Where there are one or more trains to meet or pass a train between two times, or more than one train to meet a train at any station, attention Is called to it by figures In small type. When trains are to be met or passed at a siding extending between two adjoining stations, the time at each end of the siding will be shown in full-faced rype. * * * S 7 1 . A t r a i n i s s u p e r i o r t o a n o t h e r t r a i n b y r i g h t , c l a s s o r d i r e c t i o n . R i g h t i s c o n f e r r e d b y t r a i n o r d e r ; c l a s s and d i r e c t i o n b y t i m e t a b l e . R i g h t i s s u p e r i o r t o c l a s s o r d i r e c t i o n . D i r e c t i o n i s s u p e r i o r as b e t w e e n t r a i n s o f t h e same c l a s s . * * * m S 83. A train must not leave its initial station on any division, or a junction, or pass from one of two or more tracks to single track, until it has been ascertained whether all trains due, which are superior, have arrived or left S 87. An inferior train must keep out of the way of opposing superior trains and failing to clear the main track by the time required by Rule, must be protected as prescribed by Rule 99. Extra trains must clear the time of opposing regular trains not less than five minutes, unless otherwise pro­ vided, and will be governed by train orders with respect to opposing extra trains. S 88. At meeting points between trains of the same class, the inferior train must clear the main track before the leaving time of the superior train. At meeting points between extra trains, the train in the inferior time-table direction must take the siding unless otherwise provided Trains must pull into the siding when practicable; if necessary to back in, the train must first be protected as prescribed by Rule 99, unless otherwise provided. * * * S 90. Trains must stop at schedule meeting points, if the train to be met is of the same class unless the switch is properly lined and the track clear. -37- A P P E N D I X C Trains must stop clear of the switch used by the train to be met in going on the siding. When the expected train of the same class is not found at the schedule meeting point, the superior train must approach all sidings prepared to stop, until the expected train is met. The engineer of each train will give Signal 14 (n) at least one mile before reaching a meeting or waiting point and conductor will acknowledge with Signal 16 (k) Should the engineer fail to give Signal 14 (n) the Con­ ductor must take immediate action to stop the train 93 Within yard limits the main track may be used, clearing the time an approaching designated first class train is due to leave the nearest station where time is shown. 93(b) T r a i n s and engines occupying the main track within y a r d limits must be protected in accordance with Rule 99 ( F l a g m a n ) during fogs, storms or other unfavor­ able conditions, also where the view of an approaching train is obstructed b y curvature or other conditions Trainmen and yardmen will be held for any failure to exercise reasonable precaution in protecting their trains or engines under such conditions. 99 When a train is moving on a main track at less than one-half the maximum authorized time­ table speed for any train at that location, under circumstances in which it may be overtaken, a crew member must put off single burning fusees at rear of train at intervals that do not exceed the burning time of the fusee. When a train is moving on a main track at more than one-half the maximum authorized timetable speed for any train at that location, under circum­ stances in which it may be overtaken, crew mem­ bers responsible for providing protection must consider grade, track curvature, weather conditions, sight distance, and speed of the train relative to following trains, when deciding if burning fusees should be put off. When a train stops on a main track, under cir­ cumstances in which it may be overtaken, protec­ tion against following trains on the same track must be provided A crew member must go back imme­ diately with flagman's signal equipment one-half the required distance where he will place two tor­ pedoes on the rail, and continue to the required distance from rear of train, where he will place two torpedoes on the rail, and place a burning fusee If no following train is seen or heard, he may return one-half the distance to the rear of his train where he must remain until he has stopped a following train or is recalled When recalled and no following train is seen or heard, he must leave a burning fusee, and while returning to train, must leave burning fusees at intervals that do not exceed the burning time of the fusee When the train departs, a crew member must leave a burning fusee and put off single burning fusees at intervals that do not exceed the burning time of the fusee until train attains a speed not less than one-half the maximum authorized timetable speed for any train at that location When rules require protecting the front of the train, a crew member with flagman's signal equip­ ment must immediately go forward one-half the required distance, place two torpedoes on the rail, and continue to the required distance from front of tram, where he will place two torpedoes on the rail, and place a burning fusee. If no approaching train is seen or heard, he may return one-half the dis­ tance to the front of his train, display a burning fusee, and remain at that location until he has stopped an approaching train or is recalled Should a train be seen or heard approaching be­ fore the crew member has reached the required distance, he must at once place two torpedoes on the rail, leave a burning fusee, and at night, or in o b ­ scure weather, or if the view is obscured, he will in addition, display a lighted fusee and continue toward the approaching train, displaying stop sig­ nals until they are answered. When flagman is recalled he may, if safety to his train will permit, remove from the rail the two torpedoes placed nearest the train In placing torpedoes they will be securely fas­ tened to the top of the rail on the Engineer's side at least on hundred feet apart, and when practicable, not closer than five hundred feet from a whistling post 9 9 ( a ) . Following are the minimum flagging distances corresponding with the maximum author­ ized speed of approaching trains: Maximum Minimum Authorized Speed Flagging Distance 0 - 1 5 mph y 4 mile 1 5 - 3 0 m p h %mile 30 - 45 mph 1 mile 4 5 - 70 mph l % m i l e A crew member providing flag protection must not permit other duties to interfere with the protection of his train 1005. Enginemen must know their time on the road, and will not start from a station, even though they receive a signal from the conductor, unless they can reach the next station In time to properly clear superior trains. SPECIAL INSTRUCTIONS S-71 Westward t r a i n s a r e s u p e r i o r t o E a s t w a r d t r a i n s o f t h e same c l a s s . 83a. Trains must not leave South Bend without obtaining train orders or clearance card issued by Train Dispatcher If meeting point is designated by full face type and opposing train has not arrived, superior train will wait three (3) minutes before leaving South Bend Station A P P E N D I X C -38- RULE C O L O R L I G H T N A M E I N D I C A T I O N S 281 If? C l e a r Proceed. 285 Iff A p p r o a c h P r o c e e d p r e p a r i n g t o stop a t next signal. T r a i n ex­ ceeding medium speed must a t once reduce t o t h a t speed. 290 Restricting P r o c e e d at restricted speed. M l Stop and Proeeed Stop, then p r o c e e d a t r e s t r i c t e d speed. - 3 9 - A P P E N D I X D C A T E N A R Y I N F O R M A T I O N T h e primary messenger (support w i r e ) is a 0.72 inch d i a m e t e r c a b l e . The secondary messenger is a 0.629-inch d i a m e t e r c a b l e . T h e t w o t r o l l e y or c o n t a c t w i r e s a r e 0.482-inch d i a m e t e r ( 4 / 0 A W G ) . T h e t r o l l e y w i r e and the c a t e n a r y messengers a r e not usually pulled t o the same d e g r e e of tension. T h e tension for a 3 0 0 - f o o t span of t r o l l e y w i r e a t 0 ° F would be 4,907 pounds, whereas the tension for the same span at 90° F would be 2,659 pounds. A shorter span would e n t a i l higher tension f o r c e s . T h e system does not have a constant tension construction. 24/ 24/ A n arrangement o f w e i g h t s and pulleys in the catenary system which compensates for variations in t e m p e r a t u r e and maintains a constant tension on the t r o l l e y w i r e . - 4 0 - A P P E N D I X E E X C E R P T F R O M C H I C A G O , S O U T H S H O R E A N D S O U T H B E N D R A I L R O A D T I M E T A B L E N O . 5 4 E A S T W A R D T R A I N S F I R S T C L A S S S T A T I O N S F I R S T C L A S S 111 113 S T A T I O N S 213 115 117 D A I L Y E X C E P T S A T . S U N A N D H O L I D A Y S S T A T I O N S D A I L Y E X C E P T S A T „ S U N A N D H O L I D A Y S • • • . . . . P M L 12 15 s 12 39 P M PM L 2 15 $ 2 39 P M (RANDOLPH S T ) C H I C A G O , KENSINGTON PM i 3 15 s 3 39 P M P M L 3 58 $ 4 23 P M PM L 4 2B $ 4 52 P M - • s 12 45 s 12 50 s 12 55 F 1 00 1 02 s 105 $ 2 45 s 2 5 0 $ 2 55 F 3 00 3 02 s 305 HECEWECH H A M M O N D EAST C H I C A G O CLARK X O V E R AMBRIDCE G A R Y • $ 3 45 $ 3 5 0 $ 3 55 f 400 f 4 02 A 4 05 P M $ 4 2 9 $ 4 3 3 $ 4 37 $ 4 4 5 $ 4 59 $ 504 $ 5 0 9 F 5 13 5 15 $ 5 20 • 1 07 F 1 10 F 1 15 V 17 11 20 F 1 22 F 1 24 1 26 F 1 27 F 1 32 1 33 1 35 s 1 40 A 1 45 PM 3 07 F 3 10 i S i ! * " F 3 1 5 ( 3 17 13 20 F 3 2 2 F 3 24 3 26 F 3 27 F 3 32 3 33 3 35 s 3 40 A 3 45 P M END DOUBLE TRACK MILLER (WstEnd WAGNER ] C , , , ) Eat End OGDEN DUNES ( Wot End 8A1LLY DUNE ACRES TREMONT SIDING TREMONT BEVERLY SHORES T A M A R A C K SHERIDAN MICHIGAN CFTY SHOPS . . . 4 47 F 4 51 J453 1454 F 4 5 6 J458 15 01 5 03 F 5 05 5 07 f 508 F 5 1 4 5 16 5 20 us $ 5 25 A 5 30 P M 5 22 F 5 25 15 27 15 28 F 5 30 I I 1 1 ™ F 5 37 F 538 5 40 F 5 41 F 5 45 5 46 550 $ 5 55 A 6 00 PM . . . B1RCHIM HUDSON LAKE N E W CARLISLE OUVE SOUTH BEND (BENDIX) . . . . .. . . . • • *U S GOVERNMENT PRINTING OFFICE; 1985-il'91-093i20056 
work_yodmzgtyhnffdcnybv6rzticye	----	Microsoft Word - Thomas Hart Bentons Indiana Murals in History and Memory_Elise K Grogan.docx THOMAS HART BENTON’S INDIANA MURALS IN HISTORY AND MEMORY A Thesis Submitted to the Temple University Graduate Board In Partial Fulfillment of the Requirements for the Degree MASTER OF ARTS by Elise Kathleen Grogan July 2016 Thesis Approvals: Dr. Gerald Silk, Thesis Advisor, Department of Art History Dr. Adele Nelson, Second Reader, Department of Art History ii ABSTRACT Thomas Hart Benton was commissioned to paint murals depicting Indiana history for the Indiana state pavilion at the 1933 Century of Progress Exposition in Chicago. The completed Indiana murals were twelve feet high and over two hundred feet long, wrapping around the entire exhibition hall. Visitors to the Indiana pavilion experienced Indiana’s history through a continuous stream of narrative imitating the flow of time. After several years of storage following the fair, the panels were given to Indiana University in Bloomington in 1938, where they currently reside. While most scholarship has focused on the original message and context of the Indiana murals, the murals’ nearly seventy-five year display at IU necessitates a more thorough analysis of the murals at the university, with specific attention to the contextual changes since the time of the fair. The relocation of the murals to IU and the resultant restructuring of their historical narrative have altered perceptions of their imagery and attributed new meanings to the historical scenes Benton depicted. The aim of this study it to better understand the complex nature of Benton’s Indiana murals by exploring the ways in which changes in context result in alteration of the original message and the viewers’ reception of the murals. My research explores the murals’ role in university politics, reactions to the murals by their university audience, and recent controversies. A study of the Indiana murals in terms of the fluidity of historical construction and the effects of collective memory on their reception is significant because it leads to a greater understanding of the present’s cultural ideals, and begins to explain why the murals continue to elicit such strong reactions from viewers—whether to protest against their presence at the university or promote their preservation for the benefit of future generations. iii For Jacob. iv ACKNOWLEDGMENTS I am grateful to Dr. Gerald Silk, for his guidance and advice throughout the process, and for his great patience. I also owe thanks to Dr. Adele Nelson, who generously provided many valuable suggestions, and to Dr. Susanna Gold, for her encouragement in the early writing stages. I was fortunate to have had the opportunity to work with the members of the graduate Art History department at Temple University, both faculty and peers, who supported my development as an art historian throughout my time at Temple. I would also like to thank Dr. William Scarpaci, who first encouraged my passion for art. I could not have completed this project without the love and support of my friends and family. To my parents, who responded thoughtfully to my frequent inquiries about their memories of Indiana, to my grandmother for her prayers, to every member of the extended Gibson family, to William for asking if he could read it when it’s done, and to my loving husband who has been with me every step of the way—thank you all. v TABLE OF CONTENTS Page ABSTRACT ........................................................................................................................ ii DEDICATION ................................................................................................................... iii ACKNOWLEDGMENTS ................................................................................................. iv LIST OF FIGURES ........................................................................................................... vi INTRODUCTION ........................................................................................................... xiii CHAPTER 1. THE INDIANA MURALS AT THE FAIR, 1933 .........................................................1 2. THE MURALS AT INDIANA UNIVERSITY ...........................................................32 3. PARKS, THE CIRCUS, THE KLAN, THE PRESS ...................................................61 CONCLUSION ..................................................................................................................89 BIBLIOGRAPHY ..............................................................................................................92 FIGURES .........................................................................................................................103 vi LIST OF FIGURES Figure Page 1. Thomas Hart Benton, “City Activities with Subway,” from America Today (1930–1931). mural cycle consisting of ten panels, Metropolitan Museum of Art, New York, New York ............................................................. 103 2. Thomas Hart Benton, “Arts of the City,” from The Arts of Life in America (1932), New Britain Museum of Art, New Britain, Connecticut ........ 103 3. Thomas Hart Benton, Bubbles (1914-1917), oil on canvas, Baltimore Museum of Art, Baltimore, Maryland ............................................................... 104 4. Jose Clemente Orozco, Epic of American Civilization (1932-1934), fresco, Baker-Berry Library, Dartmouth College, Hanover, New Hampshire .............. 104 5. Diego Rivera, Agrarian Leader Zapata (1931), fresco on reinforced cement in galvanized-steel framework, Museum of Modern Art, New York, New York ........................................................................................................... 105 6. Pierre Puvis de Chavannes, The Muses of Inspiration Hail the Spirit, the Messenger of Light (c.1893-1896), oil on canvas, Boston Public Library, Boston, Massachusetts ....................................................................................... 105 7. Map of the 1933 Fair showing location of the Court of States, indicated by blue box. Official Guide Book of the Fair: 1933 (Chicago: Century of Progress, 1933) .................................................................................................. 106 8. View of Hall of States and Federal Building, showing location of Indiana pavilion, Chicago World’s Fair (1933), postcard courtesy of ChicagoPostcardMuseum.org ............................................................................ 106 9. Indiana Hall interior facing west, towards entrance, (1933), photograph, Wallace Richards Papers, Archives of American Art, Smithsonian Institution ........................................................................................................... 107 10. Cover of Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton, (1933), by David Laurance Chambers ........................... 107 11. Thomas Hart Benton, “Palisades,” from The American Historical Epic: First Chapter (1919-24), Nelson-Atkins Museum of Art, Kansas City, Missouri ............................................................................................................. 108 vii 12. Indiana Hall interior, facing east, towards exit (1933), indicating parallel Cultural and Industrial cycles, photograph, Wallace Richards Papers, Archives of American Art, Smithsonian Institution .......................................... 108 13. Thomas Hart Benton, “The Indians” (Industrial 1), from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana ........................ 109 14. Thomas Hart Benton, “The Fur Traders” and “Pioneers” (Industrial 2 and 3), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ........................................................................................ 109 15. Thomas Hart Benton, “Home Industry” and “Internal Improvements” (Industrial 4 and 5), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ...................................................................... 110 16. Thomas Hart Benton, “Civil War” and “Expansion” (Industrial 6 and 7), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ........................................................................................ 110 17. Thomas Hart Benton, “The Farmer Up and Down” and “Coal, Gas, Oil, and Brick” (Industrial 8 and 9), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ......................................................... 111 18. Thomas Hart Benton, “Electric Power, Motor Cars, Steel” (Industrial 10), from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana ........................................................................................ 111 19. Thomas Hart Benton, “The Mound Builders” (Cultural 1), from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana ........... 112 20. Thomas Hart Benton, “The French” and “Frontier Life” (Cultural 2 and 3), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ........................................................................................ 112 21. Thomas Hart Benton, “Early Schools…Communities” and “Reformers and Squatters” (Cultural 4 and 5), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana .................................... 113 22. Thomas Hart Benton, “The Old-Time Doctor and the Grange” and “Woman’s Place” (Cultural 6 and 7), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana .................................... 113 23. Thomas Hart Benton, “Leisure and Literature” and “Colleges and City Life” (Cultural 8 and 9), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ...................................................................... 114 viii 24. Thomas Hart Benton, “Parks, the Circus, the Klan, the Press” (Cultural 10), from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana ........................................................................................ 114 25. Thomas Hart Benton, “Indiana Puts Her Trust in Thought” (Cultural 11), from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana ........................................................................................ 115 26. Thomas Hart Benton, “Indiana Puts Her Trust in Work” (Industrial 11), from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana ................................................................................................................ 115 27. Thomas Hart Benton, “Indiana Puts Her Trust in Work” (Industrial 11), detail, from the Indiana Murals (1933), whereabouts unknown ........................ 116 28. Thomas Hart Benton, “Indiana Puts Her Trust in Thought” (Cultural 11), detail, from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana ........................................................................................ 116 29. Indiana Hall interior, indicating location of the Civil War in the Industrial (left) and Cultural (right) panel cycles. Photograph, Wallace Richards Papers, Archives of American Art, Smithsonian Institution .......................................... 117 30. Thomas Hart Benton, Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ...................................................................... 117 31. Weimer Pursell, Wings of a Century, Romance of Transportation (1933-4), poster for 1933 Century of Progress Exposition ................................................ 118 32. Thomas Hart Benton, “Parks, the Circus, the Klan, the Press,” detail, from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana ........................................................................................ 118 33. Thomas Hart Benton, “Home Industry,” detail, from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana .................. 119 34. Thomas Hart Benton, detail from “Coal, Gas, Oil, and Brick,” detail, from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ................................................................................................................ 119 35. Thomas Hart Benton, “Indiana Puts Her Trust in Thought,” detail showing likeness of Governor Paul McNutt, from the Indiana Murals (1933), whereabouts unknown ....................................................................................... 120 ix 36. Thomas Hart Benton, “Parks, the Circus, the Klan, the Press,” detail, from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana ........................................................................................ 120 37. Time magazine cover featuring Thomas Hart Benton, (December 1934) ......... 121 38. Diagram of IU Auditorium indicating location of the “Hall of Murals” ........... 121 39. “Hall of Murals” in the IU Auditorium, Indiana University, Bloomington, Indiana ................................................................................................................ 122 40. Open space on west wall, Hall of Murals, IU Auditorium, Indiana University, Bloomington, Indiana ...................................................................... 122 41. IU Cinema, previously the University Theatre, Indiana University, Bloomington, Indiana ........................................................................................ 123 42. Woodburn Hall, room 100, Indiana University, Bloomington, Indiana ............ 123 43. “Indiana Puts Her Trust in Work” (left) and “Indiana Puts Her Trust in Thought” (right), arranged as originally displayed to frame the Indiana pavilion exit at the Century of Progress exposition ........................................... 124 44. Hall of Murals, facing northeast corner, IU Auditorium, Bloomington, Indiana ................................................................................................................ 124 45. Hall of Murals, east wall, “The French” and “Frontier Life” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ................................................................................................................ 125 46. Hall of Murals, east wall, “Early Schools…Communities” and “Reformers and Squatters” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ...................................................................... 125 47. Hall of Murals, east wall, “The Old-Time Doctor and the Grange” and “Woman’s Place” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ...................................................................... 126 48. Hall of Murals, north wall, “Leisure and Literature” and “Colleges and City Life” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ........................................................................................ 126 49. Hall of Murals, south wall, “The Fur Traders” and “Pioneers” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ........................................................................................ 127 x 50. Hall of Murals, west wall, “Home Industry,” “Internal Improvements,” and “Civil War” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ...................................................................... 127 51. Hall of Murals, west wall, “Expansion,” “The Farmer Up and Down,” and “Coal, Gas, Oil, Brick” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ......................................................... 128 52. Diagram showing arrangement of panels in the Hall of Murals. “C” indicates the Cultural sequence, and “I” indicates the Industrial sequence ...................... 128 53. Diagram indicating location of the examples of visual parallelism mentioned in the text ............................................................................................................ 129 54. Diagram of Hall of Murals with arrows indicating direction of most foot traffic .......................................................................................................... 129 55. Location of plaque on south staircase, Hall of Murals, IU Auditorium, Indiana University, Bloomington, Indiana ......................................................... 130 56. Hall of Murals, southeast corner, IU Auditorium, Indiana University, Bloomington, Indiana ........................................................................................ 130 57. Diagram of Hall of Murals with arrows indicating panels originally displayed directly across from one another at the Indiana Pavilion ................................... 131 58. Hall of Murals, east wall, “Early Schools…Communities” (Cultural 4) from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ................................................................................................................ 131 59. Charles J. Mulligan, The Rail-splitter (1911), cast bronze, Garfield Park, Chicago, Illinois ................................................................................................. 132 60. Thomas Hart Benton, “Home Industry” (Industrial 4), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ...... 132 61. Thomas Hart Benton, “Civil War” (Industrial 6), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana .................. 133 62. Thomas Hart Benton, “Internal Improvements” (Industrial 5), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ................................................................................................................ 133 63. Thomas Hart Benton, “Expansion” (Industrial 7), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana .................. 134 xi 64. Thomas Hart Benton, “Indiana Puts Her Trust in Work” (Industrial 11), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ................................................................................................................ 135 65. “Expansion” (Industrial 7) on the cover of Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton by David Laurance Chambers ........................................................................................... 136 66. Photograph of Union Pacific’s M-10000 and Burlington’s Zephyr at Kansas City Union Station (c. late 1930s), Union Pacific Railroad Museum, Council Bluffs, Iowa........................................................................................................ 136 67. Thomas Hart Benton “Internal Improvements” (Industrial 5), detail, from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ................................................................................................................ 137 68. “Leisure and Literature” and “Colleges and City Life” (Cultural 8 and 9), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ........................................................................................ 137 69. “Leisure and Literature” and “Colleges and City Life” (Cultural 8 and 9) on the cover of Thomas Hart Benton and the Indiana Murals by Kathleen A. Foster, Nanette Esseck Brewer, and Margaret Contompasis ............................. 138 70. “Literature and Leisure” (Cultural 8), detail, from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana ............................... 138 71. Diagram indicating location of Indiana University Theatre/Cinema in relation to IU Auditorium and Lee Norvelle Theatre and Drama Center ....................... 139 72. Interior of Indiana University Theatre from stage (1942), photograph, Gottscho-Schleisner Collection, Library of Congress ....................................... 139 73. Interior of IU Cinema, facing stage, Indiana University, Bloomington, Indiana ................................................................................................................ 140 74. Thomas Hart Benton, “The Mound Builders,” from the Indiana Murals (1933), left of screen in IU Cinema, Indiana University, Bloomington, Indiana ................................................................................................................ 140 75. Thomas Hart Benton, “The Indians” from the Indiana Murals (1933), right of screen in IU Cinema, Indiana University, Bloomington, Indiana ...................... 141 76. IU Cinema, view from stage, with “Indiana Puts Her Trust in Work” (left) and “Indiana Puts Her Trust in Thought” (right), Indiana University, Bloomington, Indiana ........................................................................................ 141 xii 77. Thomas Hart Benton, “Indiana Puts Her Trust in Thought,” detail of missing segment, from the Indiana Murals (1933) .......................................................... 142 78. Thomas Hart Benton, “Indiana Puts Her Trust in Thought,” from the Indiana Murals (1933), shown as displayed at Indiana University, Bloomington, Indiana ................................................................................................................ 142 79. Thomas Hart Benton, detail of “Parks, the Circus, the Klan, the Press” showing Klan rally, from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana ...................................................................... 143 80. Woodburn Hall, room100, with “Parks, the Circus, the Klan, the Press” (left) and “Electric Power, Motor Cars, Steel” (right), Indiana University, Bloomington, Indiana ........................................................................................ 143 81. Placement of “Parks, the Circus, the Klan, the Press,” in Woodburn Hall room 100, Indiana University, Bloomington, Indiana ....................................... 144 82. Educational display outside Woodburn Hall room 100, Indiana University, Bloomington, Indiana ........................................................................................ 145 xiii INTRODUCTION In 1932 Thomas Hart Benton was commissioned to paint a mural depicting Indiana History for the Indiana state pavilion at the Century of Progress Exposition in Chicago as the state’s principal contribution to the fair. Benton’s completed cycle was twelve feet high and over two hundred feet long, wrapping around the entire exhibition hall. There were two threads to the story: industry and culture. These two cycles started at the entrance and made their way around the room in opposite directions, coming together again at the exit. The Indiana murals depicted the history of the state featuring the daily lives of “average” people, from the activities of the prehistoric mound builders to city life of the 1930s.1 As they walked through the room, visitors to the Indiana pavilion experienced this history through a continuous stream of narrative imitating the flow of time. Benton did not sugarcoat the state’s history, and a number of visitors found parts of the murals offensive, including a scene with the Ku Klux Klan engaged in a cross- burning, a mineworker throwing a rock at a soldier during a strike in the Terre Haute mining field, and an unattractive barefoot pioneer woman. But the majority of visitors responded positively to Benton’s extensive knowledge of Indiana history and his heroic 1 According to Kathleen Foster in Thomas Hart Benton and the Indiana Murals, Benton’s murals had no formal title. During the fair, the work was generally called the “Indiana Mural” or “Indiana’s Mural.” Individual panels are known by the names in David Laurance Chambers’ guidebook to the murals. It is not known whether Benton was involved with these titles. After the murals were installed at Indiana University, they were also called the “Social History of Indiana,” perhaps because of Benton’s 1936 mural, A Social History of the State of Missouri. Kathleen A. Foster, “Thomas Hart Benton and the Indiana Murals,” in Kathleen A. Foster, Nanette Esseck Brewer, and Margaret Contompasis, Thomas Hart Benton and the Indiana Murals (Bloomington, IN: Indiana University Art Museum in association with Indiana University Press, 2000), 29. xiv depiction of the hard working people who made the state. The murals were put into storage after the fair, but their history was far from over. In 1938 the panels were given to Indiana University in Bloomington, where they found a permanent home. Sixteen panels were installed in the new Indiana University Auditorium, two in Woodburn Hall, and four in the University Theatre. The relocation of Benton’s panels to Indiana University and changes to their sequencing and display can be considered as a restructuring of a historical narrative. Benton recognized the importance of memory in reconstructing historical events and their significance in the minds of Americans. In his autobiography, An American in Art, Benton said that his mural, A Social History of the State of Missouri, commissioned in 1935 for the Missouri State Capitol, was like his Indiana mural in that it “would deal with a life which was in my experience—memory experience, if not immediate.”2 In this statement he acknowledged the role of memory in the construction of his narrative. Past events are selected and interpreted through the process of memory. Such interpretations of history are dependent on present values, and certain events are deemed important enough to be included in the narrative. In this way, history is undergoing constant reorganizations and reinterpretations. Remembering is an individual act, but it also constitutes a social experience, in which memory is shared/communicated in various forms by various groups and institutions.3 Collective memory, a shared interpretation of historical events, is key in 2 Thomas Hart Benton, An American in Art: A Professional and Technical Autobiography (Lawrence: University Press of Kansas, 1969), 44. 3 Barbara A. Misztal, Theories of Social Remembering (Philadelphia: Open University Press, 2003), Kindle Edition location 137. xv determining which events are commemorated and how they are commemorated.4 Collective memory of historical events in a society changes over time, and present circumstances affect people’s understanding of their history. The visual history represented in Benton’s Indiana panels is now far removed from its original circumstances, not only in time, but also in location, arrangement, and social context. Reception of the murals by groups and individuals throughout their history is essential to this paper, since the circumstances of viewers’ interaction is key to understanding the controversies they engendered. In this paper I investigate the role of collective memory and the fluidity of historical constructions in understanding the murals in their current situation. Portraits of certain public figures that would have been recognized in the 1930s are unfamiliar to later audiences. Images of locomotives, symbolic of the great technological advancements of modern life when the murals were painted, no longer evoke the same sense of awe in contemporary viewers, as these images of the “present” have become images of the past. The scene of the Ku Klux Klan rally has continued to stir controversy at Indiana University as it did at the fair, but the recent and highly critical reception of the murals in the 2000s is informed by new historical memories of the civil rights-era Klan and events far postdating the Chicago exposition. By considering the murals throughout their history, from Benton’s original concept and intent to their current home at Indiana University, I explain how new meanings have been attached to the murals as perceptions of their imagery shift with changing ideas about Indiana history and the role of public art. 4 John E. Bodnar, Remaking America: Public Memory, Commemoration, and Patriotism in the Twentieth Century (Princeton, NJ: Princeton University Press, 1992), 13. xvi Previous scholarship on Benton’s Indiana Mural has focused on its original presentation, goals, and message as exhibited during the 1933 Century of Progress Exposition in Chicago, and on the mural’s place in Benton’s body of work as part of his artistic development/career. Henry Adams’s biography, Thomas Hart Benton: An American Original, describes the commission and Benton’s process, providing an overview of the content, and visitor reactions.5 Matthew Baigell discusses the Indiana murals along with Benton’s America Today (1931) and The Arts of Life in America (1932) in terms of the artist’s developments as an American muralist, calling the three murals, “major documents of American Scene Painting.”6 In a catalog published by the Indiana University Art Museum entitled Thomas Hart Benton and the Indiana Murals, Kathleen A. Foster, Nanette Esseck Brewer, and Margaret Contompasis, offer a thorough study of the Indiana murals from an art historical perspective.7 The essays in the catalog examine Benton’s original concept and process, the murals as visual history, and their restoration. One of the most recent publications on the Indiana murals appeared in the June 2009 issue of the Indiana Magazine of History, Thomas Hart Benton’s Murals at 75, which contains a collection of essays from scholars who presented at a public symposium 5 Henry Adams, Thomas Hart Benton: An American Original (New York: Knopf, 1989), 192-207. 6 Mathew Baigell, Thomas Hart Benton (New York: Harry N. Abrams, 1974), 130. 7 Kathleen A. Foster, Nanette Esseck Brewer, and Margaret Contompasis, Thomas Hart Benton and the Indiana Murals (Bloomington, IN: Indiana University Art Museum in association with Indiana University Press, 2000). xvii held at Indiana University in celebration of the murals’ seventy-fifth anniversary.8 Even though the murals have been installed at Indiana University for the majority of their existence, previous scholarship does not provide an analysis of the murals at their second location, despite the significance of this change in venue. Discussions of the murals that give attention to their location at Indiana University are limited to the subject of their restoration and conservation. The arrival of the murals at Indiana University is not the end of their story, and the murals continue to have a powerful effect on viewers. This paper focuses on the murals after the fair, in their location at Indiana University, and the previous scholarship on Benton’s original concept for the murals and their role at the Century of Progress Exposition will serve as a basis for this study. I consider the reception history of the mural, and I attempt to understand the murals as they are currently displayed. My research explores the murals’ role in university politics, reactions to the murals by their university audience, and recent controversies, such as the protest by the Black Student Union.9 The thesis is divided into three sections. The first chapter considers the commission of the murals and their role in constructing a history of Indiana that could be used as a tool to educate the public about the importance of common people as makers of 8 “Thomas Hart Benton’s Murals at 75,” special issue, Indiana Magazine of History 105, no. 2 (2009). 9 Black life on college campuses is now a contentious subject, and it has given rise to frequent student protests. Following the 2014 shooting of unarmed black teenager Michael Brown by a police officer, the resulting Black Lives Matter movement elicited intense debate concerning race and diversity on college campuses. Notably, student protests at the University of Missouri in 2015 resulted in the resignation of the university’s chancellor and the Missouri University System president. xviii history. I look at Benton’s ideas on history painting, and how his visual history of Indiana’s cultural and industrial progress corresponded to the goal of the Century of Progress Exposition to open the viewer’s mind to positive applications of technology as a way to launch the American population and economy out of the depths of the Depression. This section will be the foundation for a discussion of the significance of the change in the murals’ context by providing a solid scholarly background from which to approach these changes. The second chapter focuses on the murals after the fair, Indiana University’s acquisition of the murals, and the installation on campus. I explore the relationships between the individual panels and their imagery within their new location. This chapter considers how the relocation and separation of the panels, and their new orientation in relationship to one another results in the breaking down of their original message and fundamentally changes the way they interact with viewers. I also explore the effects of the viewers’ temporal distance from the events depicted in the mural, revealing the dialogue between past and present carried out in the spaces occupied by Benton’s panels. The final chapter considers the viewer relationship to the murals in a case study on the controversy during the 1990s and early 2000s surrounding the panel “Parks, the Circus, the Klan, and the Press,” in Woodburn Hall. I look into the history and activities of the Klan in Indiana and the continuing presence of the Klan in memory. I also consider the motivations behind protests against the panel, the University’s response, and events that aggravated the controversy. The aim of this study it to better understand the complex nature of Benton’s Indiana murals by exploring the ways in which changes in context result in alteration of xix the original message and the viewers’ reception of the murals. As American culture scholar George Lipsitz points out, “What we choose to remember about the past, where we begin and end our retrospective accounts, and who we include and exclude from them—these do a lot to determine how we live and what decisions we make in the present.”10 A study of the Indiana murals in terms of the fluidity of historical construction and the effects of collective memory on their reception is significant because it leads to a greater understanding of the present’s cultural ideals, and begins to explain why the murals continue to elicit such strong reactions from viewers—whether to protest against their presence at the university or promote their preservation for the benefit of future generations. 10 George Lipsitz, Time Passages: Collective Memory and American Popular Culture (Minneapolis, MN: University of Minnesota Press, 1990), 34. 1 CHAPTER 1 THE INDIANA MURALS AT THE FAIR, 1933 In historian David Glassberg’s book, Sense of History: The Place of the Past in American Life, Glassberg suggests that in order to understand public reception of history, historians can look at “public historical representations not only as created by their authors but also as reshaped by the institutional bureaucracies that present them and reinterpreted by the various groups that see and hear them.” He further explains, “historians can investigate the successive contexts created by the authors, by the mass media, and by the public, tracing the path through each particular place where knowledge about the past is communicated.”11 Incorporating Glassberg’s approach to history, this paper investigates the ways in which the history depicted in the Indiana murals has been reshaped by their move to Indiana University, the university’s contextualization and arrangement of the panels, and viewers’ interpretations of the murals. This first chapter begins with a look at the past to examine the role and perception of Thomas Hart Benton’s Indiana murals—sometimes referred to as A Social History of the State of Indiana—in their original display for the public in the Indiana pavilion at the 1933 Century of Progress exposition, a world’s fair commemorating the one-hundredth anniversary of the founding of Chicago. This examination of the contexts created by Benton, as well as by the media and the public, will provide a starting point from which 11 David Glassberg, Sense of History: The Place of the Past in American Life (Amherst: University of Massachusetts Press, 2001), 17. 2 the chapters that follow explore the impact of the subsequent contextual shifts of reactions to the mural and attitudes toward its future. When Benton received the Indiana mural commission, he was already well known for his America Today (1931) mural in the New School for Social Research, and The Arts of Life in America (1932) in the Whitney Museum of American Art (figs. 1-2).12 Although Benton gained national recognition for these murals’ depiction of people engaged in the activities of modern life, when Benton first moved to New York in 1912 after two years study in Paris, he was devoted to modernist abstraction. Much of his work reflected his interest in “Synchromism,” a movement that sought to achieve a harmonious composition of color and rhythmic forms (fig. 3).13 In 1916, Benton showed his work in the Forum Exhibition of Modern American Painters along with prominent New York modernists headed by Alfred Stieglitz. Adams notes that in doing so, Benton “allied himself with those who opposed literary subject matter in art.”14 Although Benton was never part of Stieglitz’s inner circle, and eventually became a prime opponent of the New York modernists, he did share their interest in creating an authentic national art.15 Between 1918 and 1919 Benton served in the U.S. Navy during World War I as an architectural draughtsman, and he returned to New York with a renewed interest in 12 America Today is no long located at the New School. AXA Equitable Life Insurance Company purchased the mural in 1984 and displayed it at the company’s headquarters in New York City. In 2012 AXA donated the mural to the Metropolitan Museum of Art, its present location. 13 Adams, American Original, 70. 14 Adams, American Original, 77. 15 Wanda Corn, The Great American Thing: Modern Art and National Identity, 1915-1935 (Berkeley: University of California Press, 1999), 39. 3 subject matter.16 Benton explained his shift from abstraction to realism, “I found my painting sterile, and I parted company with the so-called modern movement.”17 Benton became interested in expressing the subject of American life in his art, and he was drawn to mural painting for its ability to reach a larger audience.18 When Benton received his first mural commission in 1930 for the New School of Social Research, views on mural painting in the United States had been changing. Once seen as “architectural decoration,” in the late 1920s mural painting started to gain support as a unique class of American art distinguished for its utility in communicating to the public.19 Artists and critics were embracing “The American Wave,” a term coined in 1931 to characterize the pursuit of a distinctly American art that could express “the spirit of the land” without relying on European models.20 Around the same time, the Mexican mural movement had caught the attention of artists and critics in the United States. Diego Rivera, José Clemente Orozco, and David Alfaro Siqueiros spent a significant amount of time working in the United States in the 16 Benton, An American in Art, 43-44. 17 Ruth Pickering, excerpt from “Thomas Hart Benton on His Way Back to Missouri,” in A Thomas Hart Benton Miscellany: Selections from His Published Opinions, 1916-1960, ed. Matthew Baigell (Lawrence: University Press of Kansas, 1971), 76. Originally published in Arts and Decoration, XLII, (February, 1935), 19-20. 18 Pickering, “Back to Missouri,” 76. 19 Baigell, Thomas Hart Benton, 111. 20 Baigell, Thomas Hart Benton, 88-90. 4 1920s and 1930s.21 Benton developed a relationship with Orozco in New York in the late 1920s, when both showed their work at Alma Reed’s gallery. The artists were commissioned to paint murals for the New School at the same time, resulting in Benton’s America Today and Orozco’s Revolution and Universal Brotherhood (1931), and they remained on good terms after the gallery closed.22 Benton was likely aware of Orozco’s Epic of American Civilization mural cycle (1932-1934) for Dartmouth College (fig. 4) as he was painting the Indiana murals.23 Also around the time Benton worked on the Indiana murals, Rivera painted his Detroit Industry murals (1933) at the Detroit Institute of Arts and the controversial Man at the Crossroads at the Rockefeller Center in New York (1933). Benton would have been familiar with Rivera’s work before the artist’s visits to the United States in the 1930s, as images of Rivera’s murals in Mexico were widely circulated in the United States and were frequently discussed in art publications.24 It is likely that Benton’s murals were informed by Rivera’s retrospective exhibition at the Museum of Modern Art in New York in 1931, which included eight “portable fresco” panels (fig. 5).25 In Muralism Without Walls: Rivera, Orozco, and Siqueiros in the United States, 1927-1940, Anna Indych-López explains that artists in Mexico and the United 21 Anna Indych-López, Muralism Without Walls: Rivera, Orozco, and Siqueiros in the United States, 1927-1940 (Pittsburgh, PA: University of Pittsburgh Press, 2009), 1- 3. 22 Adams, American Original, 156-157. 23 Nanette Esseck Brewer, “Benton as Hoosier Historian: Constructing a Visual Narrative in the Indiana Murals,” in Thomas Hart Benton and the Indiana Murals, 141. 24 Indych-López, Muralism Without Walls, 4-5, 131. 25 Indych-López, Muralism Without Walls, 129. 5 States had a common interest in turning away from European models, and “Mexican artists such as Orozco and Rivera not only provided a nationalist model for an emerging American cultural renaissance but their artistic production in the United States also legitimized American artists’ own search for identity as part of a hemispheric initiative.”26 In his autobiography, Benton stated that the Mexican muralist’s “concern with publicly significant meanings and with the pageant of Mexican national life corresponded perfectly with what I had in mind for the United States.”27 Benton’s America Today and The Arts of Life in America impressed viewers with their bold portrayal of the contemporary American experience. During the 1920s and 1930s, “American scene” painting referred to the naturalistic rendering of scenes of American life “with specifically American connotations.”28 By the mid-1930s, the main groups recognized within American scene painting were Regionalism, characterized as a rural and conservative movement, and Social Realism, known as an urban and socially critical movement.29 Although a number of Benton’s works depicted American city life and industry, often with references to socialist concerns, (including all three of his murals of the 1930s), Benton’s name became attached to Regionalism as one of the Regionalist “triumvirate” along with Grant Wood and John Steuart Curry.30 While Benton did not 26 Indych-López, Muralism Without Walls, 98. 27 Benton, An American in Art, 61. 28 Baigell, Thomas Hart Benton, 83. 29 James M. Dennis, Renegade Regionalists: The Modern Independence of Grant Wood, Thomas Hart Benton, and John Steuart Curry (Madison, WI: University of Wisconsin Press, 1998), 51. 30 Dennis, Renegade Regionalists, 55. 6 reject this label, he did view it as limiting, and in “American Regionalism: A Personal History of the Movement” (1951) Benton stated, “The name Regionalism suggested too narrow a range of inspiration to be quite applicable.”31 Benton’s association with Regionalism and American scene painting, caused him to be characterized as anti-modern for much of his career, but his complicated connection with modernism has more recently been a subject of exploration. Throughout the 1920s, Benton was regarded as a modernist by his supporters as well as his opponents. His theory of formal organization, which he published in 1926-1927 as a series of articles titled “Mechanics of Form Organization in Painting,” which detailed the principles of abstract composition, remained essential to his compositions throughout his career.32 However, by the 1930s his dedication to the modernist concerns of formal organization was overshadowed by interest in his often-controversial subject matter and his association with Regionalism.33 In The Great American Thing: Modern Art and National Identity, 1915-1935, Wanda Corn considers the dispute between the New York modernists and the Regionalists over the claim to an authentic American art. Corn notes that the Regionalists “rejected the East Coast’s modernist claims to ‘ownership’ of America and its art making,” criticizing them for their supposed imitation of European 31 Thomas Hart Benton, “American Regionalism: A Personal History of the Movement,” in An American in Art: A Professional and Technical Autobiography (Lawrence: University Press of Kansas, 1969), 148. 32 Adams, American Original, 110-114. Thomas Hart Benton, “Mechanics of Form Organization in Painting,” Arts 10, no. 5 (November 1926): 285-289; Arts 10, no. 6 (December 1926): 340-342; Arts 11, no. 1 (January 1927): 43-44; Arts 11, no. 2 (February 1927): 95-96; Arts 11, no. 3, (March 1927): 145-148. 33 Adams, American Original, 110. 7 trends and their focus on the art of a single city, New York, as the place of American art production.34 However, in the view of the modernists, the Regionalists were guilty of “co-opting vocabulary, strategies, and stated goals that had been articulated ten to fifteen years earlier by modern artists in New York City.”35 Although as a Regionalist, Benton positioned himself in direct opposition to modernism, several scholars have pointed out the modernist characteristics of his work. In Benton, Pollock, and the Politics of Modernism, Erica Doss argues for Benton as a modernist: Benton painted public murals to fuse the previously separated worlds of ‘high culture’ and ‘the people.’ And he painted them in a modern style which completely abandoned […] the preferred aesthetic model for the Gilded Age. Modern art was powerful, its overlapping forms, rhythmic compositions, and brilliant colors a definitive break from the art of the past. Benton’s public version of modern art emphasized cultural synthesis, not separation. […] Benton used his art to serve, to enlighten, ‘the people.’36 James Dennis also recognizes the modernist tendencies of the Regionalists in Renegade Regionalists: The Modern Independence of Grand Wood, Thomas Hart Benton, and John Steuart Curry, arguing, “Upon close surveillance the battle-worn standard of their tenuous movement diminishes as a stylistic rallying point. Despite their antimodernist rhetoric, they could not escape the inspiration and influence of the assumed enemy, Modernism.”37 34 Corn, Great American Thing, 245. 35 Corn, Great American Thing, xiv. 36 Erika Lee Doss, Benton, Pollock, and the Politics of Modernism: From Regionalism to Abstract Expressionism (Chicago: University of Chicago Press, 1991), 12. 37 Dennis, Renegade Regionalists, 3. 8 Benton garnered a great deal of attention for his depiction of American life in America Today and The Arts of life in America, and his style and motifs informed the work of subsequent American muralists.38 Benton’s energetic sculptural figures were a dramatic departure from the nineteenth-century mural conventions of flattened forms and muted colors popularized by Puvis de Chavannes (fig. 6).39 Favorable reviews praised Benton’s use of vibrant colors and energetic figures as a welcome change in mural painting, while his opponents found them chaotic and overwhelming.40 Henry McBride, art critic at the New York Sun, condemned The Arts of Life in America as “all discord, temporary excitement, roughness, and vulgarity.”41 Benton biographer Polly Burroughs comments that after completing these two murals, “He quickly became the most talked about—and controversial—artist in New York as he surged ahead catapulting himself into the limelight.”42 In December of 1932 Richard Lieber, head of commission for Indiana’s state pavilion at the Century of Progress Exposition, commissioned Benton to paint a grand mural cycle for the state’s exhibition showing Indiana’s cultural and industrial 38 Baigell, Thomas Hart Benton, 111. 39 Adams, American Original, 128. 40 Adams, American Original, 160, 189. 41 Henry McBride, “Thomas Benton’s Murals at the Whitney Museum,” in Flow of Art: Essays and Criticisms ed. Daniel Catton Rich (New Haven, CT: Yale University Press, [1975] 1997), 295-296. 42 Polly Burroughs, Thomas Hart Benton: A Portrait (Garden City, NY: Doubleday, 1981), 104-105. 9 accomplishments, for the sum of $7,000.43 The project was to be completed in less than six months, in time for the fair’s opening on May 27, 1933. In the period leading up to the fair, Benton’s fame continued to grow. He was awarded a Gold Medal by the New York Architectural League shortly before receiving the Indiana commission, and within a few months he received an award for the Whitney Museum of American Art murals from The Nation and was recognized in Vanity Fair’s Hall of Fame for his murals.44 Controversy over the Indiana murals began even before Benton started to paint. The announcement of Benton’s commission outraged many Indianans, so-called Hoosiers, who were offended by the choice of a non-Hoosier to chronicle the history of their state, especially since it was to be Indiana’s main contribution to the fair.45 There had been no time for an official competition to select an artist, and Benton was portrayed as an outsider and a “New Yorker” in the media.46 Lieber defended the choice of Benton to represent Indiana, praising the artist’s skill and hailing him as “a son of the Middle West” and the perfect choice for the work: “Benton, himself, is a product of the Middle West. By tradition and inheritance and by his own development he speaks the language of the mid-westerner. His conception, his treatment and execution are those of a genius.”47 Lieber emphasized Benton’s Midwest heritage, noting that the artist was 43 Foster, “Indiana Murals,” 11. 44 Foster, “Indiana Murals,” 13. 45 Adams, American Original, 192. 46 Foster, “Indiana Murals,” 12. 47 Richard Lieber, “Foreword” in Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton, by David Laurance Chambers (Indianapolis: Bobbs-Merrill, 1933), 3. 10 named after his great-uncle, the famous Missouri Senator Thomas Hart Benton, for whom Benton County and the Benton Township in Indiana were named.48 Despite their protest, those who were against Benton’s selection were unable to produce a Hoosier muralist capable of the task.49 The dispute was eventually addressed with the addition of a smaller gallery to the plans for the Indiana exhibition space, where the works of Indiana artists would be on display—the only state building with an art gallery.50 This appeased Indiana artists to some extent; however complaints continued for the duration of the fair, and the amount of space given to Benton compared to Indiana artists remained a point of contention.51 The Indiana state pavilion was located in a group with the Federal Building, between Lake Michigan and the “North Lagoon” (fig. 7). Unlike in previous world’s fairs, the states were not represented by stand-alone buildings, but grouped together in the “Court of States,” a V-shaped structure surrounding a courtyard behind the Federal building (fig. 8). Not only did this arrangement “emphasize the solidarity of our Union,” as the Official Guide to the fair proclaimed,52 it also saved money and provided easy 48 Erika Doss, “Action, Agency, Affect: Thomas Hart Benton’s Hoosier History,” Indiana Magazine of History 105, no. 2 (2009), 131. 49 Adams, American Original, 194. 50 Foster, “Indiana Murals,” 13. 51 Adams, American Original, 207. 52 Official Guide Book of the Fair: 1933 (Chicago: Century of Progress, 1933), 89. 11 access to all the state exhibits from one location.53 The courtyard served as a gathering place for ceremonies and special events, including official State Day celebrations.54 Benton’s murals were located in main hall of Indiana’s exposition space. At the end of the space was a smaller reception room featuring works by Indiana artists, through which visitors could exit into a garden with a view of Lake Michigan.55 In Thomas Hart Benton and the Indiana Murals, Kathleen Foster provides a detailed description of the layout of the main exhibition space, based on Lieber’s notes for his dedication speech. Thomas Hibben, an architect from Indianapolis, designed the exhibition hall (fig. 9).56 The main hall was a 78-by-38-foot rectangular space with a 28-foot ceiling, and it included a separate partition painted with a landscape of the Indiana dunes, which obscured the view into the smaller gallery on the other side.57 The floor and walls were black, and the ceiling was blue. Gray-green moldings framed the mural, which was mounted ten feet above floor level.58 The murals were accompanied by a guidebook, Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton, written by David Laurance Chambers (fig. 10). Portions of the text appeared in panels 53 Lenox R. Lohr, Fair Management: The Story of A Century of Progress Exposition; A Guide for Future Fairs (Chicago: Cuneo Press, 1952), 150. 54 Foster, “Indiana Murals,” 10. Lohr, Fair Management, 152. 55 Official Guide Book of the Fair: 1933, 89. 56 Foster, “Indiana Murals,” 10. 57 Foster, “Indiana Murals,” 11. The painting has since been lost. 58 Foster, “Indiana Murals,” 11. 12 underneath the murals, captioning the scenes.59 Oak benches provided seating in the sparsely furnished hall.60 The only other exhibits in the main hall were a large three- dimensional map of Indiana in the middle of the room and a display of documents and literature by Indiana writers.61 In Mystic Chords of Memory, Michael Kammen observes that “societies in fact reconstruct their pasts rather than faithfully record them, and that they do so with the needs of contemporary culture clearly in mind—manipulating the past in order to mold the present.”62 From the start, the Indiana murals were intended to educate the public.63 The construction of the past represented in the murals was tailored to the needs of its Depression-era audience. As was true with many of the exhibits in Century of Progress Exhibition, the Indiana World’s Fair Commission sought to encourage viewers to take a look back at the progress they had made and move into the future with purpose.64 As a supporter of the New Deal,65 Benton’s personal goals for the murals followed this same line of thought. It was important to Benton that his history murals “had a function beyond that of draping walls,” as he explains in his essay, “A Dream Fulfilled,” written at the 59 Foster, “Indiana Murals,” 12. 60 Virginia Gardner, “Indiana’s Art Stirs Conflict at World Fair: Conservatives Find it Too Modern,” Chicago Daily Tribune, June 8, 1933. 61 Foster, “Indiana Murals,” 12. 62 Michael G. Kammen, Mystic Chords of Memory: The Transformation of Tradition in American Culture (New York: Knopf, 1991), 3. 63 Brewer, “Hoosier Historian,” 138. 64 Joy S. Kasson, “Looking Forward/Looking Backward: Benton’s Indiana Murals and the Chicago World’s Fair,” Indiana Magazine of History 105, no. 2 (2009), 142-143. 65 Doss, Politics of Modernism, 68. 13 completion of the Indiana murals.66 The design scheme of the murals as they were displayed within in the Indiana pavilion was vital to the fulfillment of their educational purpose and corresponded with the fair’s theme of progress. In “Looking Forward/Looking Backward: Benton’s Indiana Murals and the Chicago World’s Fair,” Joy S. Kasson considers Benton’s perspective on history as it corresponds to the concept of a “usable past,” a term originally coined in 1918 to “designate a search for a history that would be vigorous and critical and would speak directly to the issues of the present.”67 Kasson observes that, as well as being essential to the Century of Progress exposition in Chicago, “This same blend of commemoration and futurism characterized many other international expositions around the world.”68 The Indiana mural commission offered Benton the opportunity to create a dynamic progressive history, an idea he had been considering for years. American history was a theme Benton initially explored in 1919 with designs for his mural-scale series of paintings, The American Historical Epic (fig. 11).69 The concept for the series originated during his service in the United States Navy in World War I 66 Thomas Hart Benton, “A Dream Fulfilled” in Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton, by David Laurance Chambers (Indianapolis: Bobbs-Merrill, 1933), 49. 67 Kasson, “Looking Forward,” 145. 68 Kasson, “Looking Forward,” 141. 69 Benton, “A Dream Fulfilled,” 49. Benton exhibited panels from the American Historical Epic at the Architectural League in New York over the course of several years. Although he had no experience with wall painting, the Epic secured Benton a reputation as a muralist. Benton explains in his autobiography: “I had never painted on any actual walls but the character of my work and perhaps its association with the architectural shows led the critics to treat me as a wall painter.” Thomas Hart Benton, An Artist in America, 4th rev. ed. (Columbia: University of Missouri Press, [1937] 1983), 247. 14 while stationed at the naval base in Norfolk, Virginia. In his autobiography An American in Art, Benton explains that until that time his art had followed European patterns, but while in the Navy he began to consider the role of American history in art: “History painting […] had occupied a large place in the annals of art. Why not look into it again […] and try to fill the contextual void of my own painting, give it some kind of meaning?”70 When he returned from his service in the Navy, Benton began to explore ways of making his art “serviceable for expressing the meanings that [his] experiences in American life were to provide.”71 Though he abandoned this initial history project in the majority of his work of the 1920s and early 1930s, the grand scale of his plans and idea of a historical epic resurfaced in the Indiana mural. The scenes devoted most of their attention to the daily lives of common people, rather than major historical events and prominent individuals. “History was not a scholarly study for me but a drama. I saw it not as a succession of events but as a continuous flow of action having its climax in my own immediate experience.”72 In this project Benton intentionally built on his previous efforts in The American Historical Epic. As Benton explains in “A Dream Fulfilled”: This mural painting of Indiana sees the realization of a project that I have had in mind for fifteen years. In 1919 I set about making a history of the United States which would unroll progressively the social and environmental changes of the country from the savage Indian to the present days of our machine culture. […] Colonel Lieber’s quick understanding of my desire to represent a social progression made it 70 Benton, An American in Art, 44. 71 Benton, An American in Art, 50. 72 Benton, “A Dream Fulfilled,” 49. 15 possible for me to transfer my original historical plan from the United States as a whole to the State of Indiana.73 Upon entering the Indiana exhibition hall, visitors found themselves positioned in the middle of Benton’s dramatic history, with the story of Indiana’s cultural history on one side and its industrial and economic history on the other (fig. 12). “On these walls the story of our state is told,” began the large dedication statement positioned above the entryway.74 The statement prepared visitors to witness the message of progress proclaimed in Benton’s history of the state, explaining, “The future stems from the past. […] The history of our state will move down the long parade of centuries full of that same fruitfulness of man and earth that makes the story of our past so rich.”75 The story of industry started with Native Americans and the fur trade, continued on through pioneers, agriculture, advances in transportation, and the expansion of industry (figs. 13- 18). The story of Indiana’s culture illustrated the mound builders, the arrival of the French, life on the frontier, early communities, the role of women, education, and leisure (figs. 19-24). The murals concluded with the panels Indiana Puts Her Trust in Thought (fig. 25) and Indiana Puts Her Trust in Work (fig. 26), which included two smaller segments, designed so that the panels framed the exit. Indiana Puts Her Trust in Work 73 Benton, “A Dream Fulfilled,” 49. In “A Hoosier Historian,” Brewer notes that the source of the idea for the parallel histories and specific content is not clear—whether it originated with Benton or with Richard Lieber and Thomas Hibben. Whatever the origin of the idea, the mural reflects Benton’s personal ideas about art and history. Brewer, “Hoosier Historian,” 138. 74 Thomas Hibben, “Dedication” in Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton, by David Laurance Chambers (Indianapolis: Bobbs-Merrill, 1933). 75 Hibben, “Dedication.” 16 shows Indiana’s booming limestone industry, while in the background anxious investors are shown outside a closed bank (fig. 27).76 Alongside the positive imagery of basketball players, Indianapolis 500 racecars, and advances in chemistry, Indiana Puts Her Trust in Thought shows signs of the Great Depression. People line up for unemployment relief, a sign reads “No Help Wanted,” newspaper headlines show the concerns of the Depression, and the future is indicated with a question mark (fig. 28). Despite the uncertainty of the future depicted in these scenes, the accompanying texts focus on achievements in science and industry, reassuring viewers that by placing their trust in Work and Thought, there is “hope to overbalance every counsel of despair.”77 The two threads of the story, cultural and industrial, matched chronologically and visually as they progressed down the hall. The Civil War served as a significant historical marker. Represented halfway through both cycles, the billowing black smoke-cloud served as an unmistakable symbol of the War’s destruction, reflected on either side of the hall (fig. 29).78 Such visual parallelism was present throughout the entire length of the murals, and the formal similarities of figures and gestures across the hall strengthened the connection between the two sequences and invited viewers to compare themes.79 Visitors could purchase Chambers’ guide to the murals for fifty cents to aid their understanding of 76 David Laurance Chambers, Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton, (Indianapolis: Bobbs-Merrill, 1933), 44. 77 Chambers, Indiana: A Hoosier History, (Indianapolis: Bobbs-Merrill, 1933), 45. 78 Doss, Politics of Modernism, 102. 79 Brewer, “Hoosier Historian,” 155. 17 “the story” of Indiana.80 Chambers’ guidebook reinforced the visual cues in the mural, indicating the two sets of panels as parallel narratives, with the viewer passing between them. Chambers’ guide differentiates between “Cultural” and “Industrial” panels, which Chambers individually titled and numbered one through eleven. The text alternates between the cultural and industrial histories, further guiding the viewers’ experience. As Nanette Esseck Brewer points out in her essay “Benton as Hoosier Historian: Constructing a Visual Narrative in the Indiana Murals,” this guided educational experience was informed by new ideas in education about history, particularly those of John Dewey.81 Benton’s choice to show history as the activities of average citizens paralleled Dewey’s philosophy of education, which encouraged experiential learning. Benton explained in his personal account of American Regionalism: “My original purpose was to present a peoples’ history in contrast to the conventional histories which generally spotlighted great men, political and military events, and successions of ideas. I wanted to show that people’s behaviors, their action on the opening land, was the primary reality of American life.”82 Benton’s choice to represent a social history deviated from traditional history painting as well as from standard United States history textbooks, which emphasized the “expert guidance of American elites” in the shaping of America’s history.83 Benton was aided in his conception of a “peoples’ history” when he created illustrations for the revisionist textbook We, the People, a Marxist history of the United 80 Brewer, “Hoosier Historian,” 138. 81 Brewer, “Hoosier Historian,” 137. 82 Benton, “American Regionalism,” 149. 83 Doss, “Action, Agency, Affect,” 132. 18 States by Leo Huberman in 1932, just prior to the Indiana commission.84 The text presents average working people as the builders of the nation while acknowledging their exploitation by an elite minority. The book was immensely popular with leftists, and it was nominated for a Pulitzer Prize.85 Although Benton’s illustrations for We, the People are very similar in theme to the Indiana murals, Brewer notes that “the national scope of Huberman’s book and his diatribe against the oppression of the masses at the hands of the capitalist system were not part of Benton’s agenda for his story of Indiana,” and only a few subjects from these illustrations are directly repeated in the Indiana murals.86 Benton’s history was experiential as well as illustrative, two key concepts in Dewey’s theories of education.87 Visitors became actively involved as they made their way through the multimedia experience of the historic drama expressed in images and words. They were surrounded by depictions of ordinary people in motion. Wallace Richards commented on the dynamic quality of the mural, “there is in it tremendous vigor, not a placid figure, and a freshness and force of color that is wholly remarkable.”88 Aside from several major historical figures, Benton’s people came from sketches of 84 Brewer, “Hoosier Historian,” 144. Leo Huberman, We, the People, (New York: Harper and Brothers, 1932). 85 Adams, American Original, 169. The book is a precursor to Howard Zinn’s famous revisionist textbook, A People's History of the United States, first published in 1980. 86 Brewer, “Hoosier Historian,” 145. 87 Brewer, “Hoosier Historian,” 147-148. 88 Wallace Richards, “General Information Concerning the Indiana Exhibits at a Century of Progress,” ca. 1933, typescript, Richards Papers, AAA, 2, quoted in Brewer, “Hoosier Historian,” 164. 19 Hoosiers that he made during his travels through the state in preparation for the murals.89 In this way Benton blurred the lines between past and present. As they walked between images of the past, visitors might recognize themselves reflected in the faces depicted in the murals and also see themselves as makers of history with the ability to shape the future. In “Thomas Hart Benton and the Melodrama of Democracy,” Casey Nelson Blake makes an argument for the connection between Benton’s murals and the tradition of the melodrama. Noting that Benton envisioned history as “a continuous flow of action,”90 Blake explains, “The idea of public art as drama […] was central to the aesthetic position that [Lewis] Mumford, John Dewey, and many others articulated in the 1930s.”91 Blake argues that Benton’s Indiana murals drew on common themes of melodrama—Native American hunters, pioneers setting the land, the Civil War governor leading men into battle, and the young Abraham Lincoln reading—in a “series of dramatically staged vignettes.”92 By presenting the narrative of Indiana history as a melodrama, a manner of storytelling familiar to viewers in 1933, viewers had the reassurance that despite the misfortunes encountered could be rectified with a return to the values of the past.93 89 Doss, “Action, Agency, Affect,” 132. 90 Benton, “A Dream Fulfilled,” 49. 91 Casey Nelson Blake, “Thomas Hart Benton and the Melodrama of Democracy,” Indiana Magazine of History 105, no. 2 (2009), 172. 92 Blake, “Melodrama of Democracy,” 175. 93 Blake, “Melodrama of Democracy,” 177-178. 20 While Blake focuses on the relationship of Benton’s murals to melodrama in theater and cinema, I would suggest a connection between Benton’s dramatic representation of Indiana’s history and another theatrical tradition—that of the historic pageant. Although the phenomenon had fallen out of favor as a central feature of large civic celebrations by WWII,94 the 1930s audience was familiar with historical pageantry and its role in the commemoration and transmission of history. Like Benton’s Indiana murals, these pageants conveyed a historical narrative visually, with a focus on the activities of local people and their role in shaping history. Historical pageants were often performed as a part of a commemorative celebration, with progress as a common theme. The “Wings of a Century” pageant, a grand outdoor performance showing the development of transportation, was a popular feature at the Century of Progress exposition.95 Enthusiasm for historical pageantry began to build around 1910 and continued over the next several years, gaining extreme popularity in celebrations of various types. In 1913 the American Pageant Association was formed in order to set standards for the structure and performance of historical pageants, and to train and certify “pageant-masters,” experts in historical pageantry who could run the event.96 Like Benton’s murals, American historical pageantry presented its audience with a usable past and showed the role of average people in shaping history. Glassberg explains that historical pageants “focused on a past that included the town’s development along 94 David Glassberg, American Historical Pageantry: The Uses of Tradition in the Early Twentieth Century (Chapel Hill: University of North Carolina Press, 1990), 1. 95 Cheryl Ganz, The 1933 Chicago World’s Fair: A Century of Progress (Urbana: University of Illinois Press, 2008), 35. 96 Glassberg, Historical Pageantry, 105-108. 21 economic and social as well as political lines; they purportedly told the story of all local residents rather than only the elite, and they extended forward to address present public questions and point the way to future reform.”97 Historical pageants represented an overarching theme of progress in a sequence of episodes carried out by local people. The performance of these scenes, typically outdoors to accommodate the number of performers and audience members, showed the advancement of history on the same ground, which put “past, present and future within a single framework, offering a coherent plot within which local residents could interpret their recent experiences and envision their future progress.”98 In a similar vein, by standing in the center of Indiana Hall, visitors could, as Kasson has written, “look from one side of the mural to the other to experience the simultaneous pull of past and future.”99 The scenes in the Indiana murals are set outdoors on the Indiana landscape, punctuated with trees and architecture. The scenes appear to take place on the same ground, with a red, white and blue sky running across the upper register of the entire mural (fig. 30). Even if not directly influenced by historical pageant performances, the Indiana murals bear some resemblance to the brief but powerful cultural phenomenon of historical pageantry. William Chauncy Langdon, the American Pageant Association’s first president, described the historical pageant as “the drama of the history and life of a community showing how the character of that community as a community has been developed 97 Glassberg, Historical Pageantry, 147. 98 Glassberg, Historical Pageantry, 139. 99 Kasson, “Looking Forward,” 148. 22 […].”100 This is not unlike Benton’s description of history in his murals as “a social progression” in which “man and his tools […] changed the face of a continent.”101 In “The Centennial Pageant for Indiana: Suggestions for Its Performance,” published in Indiana Magazine of History in 1915, George McReynolds urges Hoosiers to celebrate the Indiana Centennial (1916) with a historical pageant. He explains, “the citizens of this commonwealth can well afford in the year, 1916, to take a look backward, frankly acknowledge the mistakes of the past, but, receiving inspiration from the good achieved through important historical events and through the lives of Indiana’s noble men and women, look resolutely forward to a bigger and better future.”102 During the Indiana Centennial celebration, “communities organized fairs, marched in parades, and dramatized the pioneer era by way of elaborate outdoor pageants and parades.”103 The celebration took place seventeen years before the Century of Progress exhibition, placing it within the lifetime and memory of many visitors to the fair from Indiana. The Wings of a Century outdoor stage performance was a central event of the Century of Progress Exposition. It showed the development of transportation during an hour-long theatrical show with two-hundred actors, and multiple wagons, trains, automobiles, and airplanes. The performance portrayed significant events in the history of American transportation, such as the building of the transcontinental railroad and the 100 George McReynolds, “The Centennial Pageant for Indiana: Suggestions for its Performance,” Indiana Magazine of History 11, no. 3 (1915), 248. 101 Benton, “A Dream Fulfilled,” 49. 102 McReynolds, “Centennial Pageant,” 261. 103 James Joseph Buss, Winning the West with Words: Language and Conquest in the Lower Great Lakes, 2011), 1. 23 Wright brothers’ first flight.104 Typical of historical pageantry, the performance tracked the changes from a historic and “primitive” past, with Native Americans riding horses and paddling canoes, and ended with a flashy procession of the most recent designs of cars, trains, and planes (fig. 31).105 Visitors from Indiana and across the country who visited the Indiana exhibition and saw Benton’s murals associated them with commemoration of the past and celebration of the progress of the state and the nation. As they exited the exhibition hall, visitors would respond by contemplating the role of their history in modern life. The exhibit was designed to elicit such a reaction from viewers; and the theme of the fair and its other exhibitions, as well as ubiquitous message of the usable past in 1930s America evidenced by the Wings of a Century pageant, reinforced this response from those who saw the Indiana murals. If there remained any question about what the visitors were to gain from viewing the murals, Indiana’s Governor Paul McNutt made it clear in his introductory statement in the mural guidebook: It is particularly fitting that the people of Indiana and America should celebrate at this time a Century of Progress. In all the history of the nation there have been no days more critical or calling for more tenacious willpower than those through which we are now living. […] those who come harboring timidity must gain new determination and strength of purpose from the gigantic achievements which they will see. Courage will overcome any crisis this nation can encounter.106 104 Ganz, 1933 Chicago World's Fair, 35. 105 Official Guide Book of the Fair: 1933, 46. 106 Paul McNutt, introduction to Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton, by David Laurance Chambers (Indianapolis: Bobbs- Merrill, 1933), 1. 24 Together, the imagery in the murals and their accompanying texts crafted the message of hopeful determination, praising the strength and ingenuity of average citizens as the creators of history. The murals’ message, conveyed through images and texts, echoed the goal of the Century of Progress Exposition to inspire “optimism embedded in scientific, technological, and democratic ideals.”107 Although Benton’s murals received a positive response from the majority of visitors,108 many took offense. Wilbur Peat, an early supporter of Benton’s commission, had assured that Benton’s murals would be “powerful,” “utterly frank,” and “outstanding among the fair exhibits.” But he admitted, “One thing is certain—his murals are going to make a lot of people mad.”109 The heated controversy over the Indiana murals, characterized by the outrage of people who felt misrepresented, is not a unique occurrence. Michael Kammen devotes a whole chapter to mural controversies in his book Visual Shock: A History of Art Controversies in American Culture, in which he explains, “The episodic narrative of public murals in the United States since the early 1930s has involved intermittent censorship of history, ideology, nudity, and sexuality—but the first two with much greater frequency than the latter.”110 107 Ganz, 1933 Chicago World's Fair, 5. 108 Doss, Politics of Modernism, 111. 109 “State Artists Protest Mural Painter Choice,” Lieber diary, 1933, Richard Lieber Papers, Lily Library, quoted in Foster, “Indiana Murals,” 13. 110 Michael G. Kammen, Visual Shock: A History of Art Controversies in American Culture (New York: Knopf, 2006), 146. 25 Critical responses to Benton’s previous mural works were mostly favorable up until the completion of The Arts of Life in America, at which point reaction became divided, and positive reviews of his murals were met with equally strong negative comment.111 While some praised their excellence, others judged them to be vulgar and poorly executed.112 Benton’s subsequent murals met with similar debate, and the Indiana murals were no exception. One of the main points of dispute was a scene in the panel, “Parks, the Circus, the Klan, and the Press,” which shows members of the Ku Klux Klan engaged in a cross- burning (fig. 32). As chief of the commission, Lieber had argued with Benton that the Klan scene should be left out of the murals, because he felt it would reflect poorly on the state.113 However, some of Indiana’s politicians insisted it be included. In his autobiography, An Artist in America, Benton explains: They being newly elected Democrat politicians, while the Klan business occurred under Republican auspices, promptly informed me that it was of immense importance and had nearly ruined the state. When they got through airing the importance of the Klan, I shouldn’t have dared leave the organization out of a factual history of Indiana.114 Many visitors to the pavilion found the scene offensive, viewing it as an endorsement of the Klan, or a statement that people from Indiana are racist.115 Other scenes that incited controversy included what was described by reviewers as an unattractive pioneer woman 111 Adams, American Original, 160. 112 Adams, American Original, 189-190. 113 Doss, Politics of Modernism, 111. 114 Benton, An Artist in America, 253-254. 115 Foster, “Indiana Murals,” 21. 26 with large feet and clingy dress, as well as a mineworker throwing a rock at a soldier during a strike in the Terre Haute mining field (figs. 33-34).116 Benton’s rock-throwing miner may seem fairly innocuous today, but this scene was representative of the extreme unrest and frequent violence occurring in Terre Haute mines in the years leading up to the fair. A front-page Chicago Tribune article from the previous summer headlines: “Fatal Battle On at Indiana Mine: Eight Hour Gun Fight Waged By Picketers.”117 The article reports four men killed and eight wounded, and remarks on the similarity of the attack to a 1922 tragedy that left twenty-three men dead. Viewers recalled violent disputes like this one when they encountered Benton’s rock- throwing scene. As Chambers states in the mural guide, “To the layman coal mining is synonymous with strikes, with long and bitter disputes of capital and labor.”118 Lieber expressed concern that the scene would offend Indiana Governor Paul McNutt, but the governor was apparently not bothered by it, possibly due to Benton’s inclusion of McNutt’s portrait elsewhere in the murals (fig. 35).119 The scene, which also included a figure thought to be the Socialist Eugene Debs, led some to label Benton a socialist.120 According to Baigell, Benton was consistently left-leaning in his politics, and he may 116 Virginia Gardner, “Indiana’s Art Stirs Conflict at World Fair: Conservatives Find it Too Modern,” Chicago Daily Tribune, June 8, 1933. 117 “Fatal Battle on at Indiana Mine: Eight Hour Gun Fight Waged by Picketers,” Chicago Daily Tribune, August 3, 1932. 118 Chambers, Indiana: A Hoosier History; 46. 119 Adams, American Original, 205. 120 Matthew Baigell, “Thomas Hart Benton and the Left,” in Thomas Hart Benton: Artist, Writer, and Intellectual, ed. R. Douglas Hurt and Mary K. Dains (Columbia, MO: State Historical Society of Missouri, 1989), 9. 27 have been a Communist in the early 1920s, but broke ties with the party by the end of the decade.121 Despite his association with the left, according to Doss, Benton “viewed […] leftist alignment with radical politics with alarm” and he was “deeply troubled that leftists were not supporting New Deal efforts to reform capitalism […]”122 He often found himself at odds with the left due to his association with American regionalism, which left-wing art circles characterized as provincial and “antimodern.”123 Another contributing factor, as Baigell observes, was for his disdain for “left-wing art based on political theories not rooted in American experience.”124 The accusation that Benton’s murals contained socialist propaganda directly followed a mural controversy involving similar allegations, but with more serious consequences. In spring of 1933, as Benton’s Indiana mural was nearing completion, Diego Rivera’s mural Man at the Crossroads, commissioned for the lobby of the RCA building at Rockefeller Center in New York, caused controversy. Despite having approved Rivera’s sketches for the mural, which featured a May Day parade on Red Square, the Rockefellers asked Rivera to remove a portrait of Lenin from the mural. Indych-López argues that the Rockefellers’ decision to censor the mural was related to a controversy that erupted the year before. Nelson Rockefeller backed an exhibition at the Museum of Modern Art, Murals by American Painters and Photographers (1932), in order to ease tensions that arose when no artists from the United States were selected for 121 Baigell, “Benton and the Left,” 1-5. 122 Doss, Politics of Modernism, 115. 123 Doss, Politics of Modernism, 124-125. 124 Baigell, “Benton and the Left,” 11. 28 the Rockefeller Center commission.125 One work in the exhibition featured an insulting caricature of Nelson Rockefeller’s grandfather, initiating a debate in the press. Hoping to escape further ridicule, the Rockefellers chose not to act on it. However, some took their silence as approval for the artist’s communist views. Unwilling to be mocked in the press a second time, the Rockefellers insisted that Rivera remove Lenin’s portrait.126 When Rivera refused to change it, he was dismissed from the assignment. The mural, only partially complete, was covered until its destruction was ordered in early 1934.127 Ironically, given the criticism that continued to be wielded against Benton’s own work, Benton refused to protest the mural’s destruction, stating, “I respect Rivera as an artist […] but I have no time to enter into affairs concerning him, because I am intensely interested in the development of an art which is of, and adequately represents, the United States—my own art.”128 Benton’s indifference to the destruction of the mural only further alienated him from leftist artists.129 A Chicago Tribune article from 1933, “Indiana’s Art Stirs Conflict at World Fair,” deals with the murals’ controversial status in the Indiana pavilion. The author, 125 Anna Indych-López, “Mexican Muralism in the United States: Controversies, Paradoxes, and Publics,” in Mexican Muralism: A Critical History, ed. Alejandro Anreus, Leonard Folgarait, and Robin Adèle Greeley (Berkeley: University of California Press, 2012), 212. 126 Indych-López, “Mexican Muralism,” 213. 127 Indych-López, “Mexican Muralism,” 210-211. 128 Thomas Hart Benton, “Art and Nationalism” in A Thomas Hart Benton Miscellany: Selections from His Published Opinions, 1916-1960, ed. Matthew Baigell (Lawrence: University Press of Kansas, 1971), 57-58. 129 Baigell, “Benton and the Left,” 13. 29 Virginia Gardner, quoted Wallace Richards’ defense of Thomas Hart Benton, mentioning the artist’s award of the New York Architectural League gold medal for decorative painting the year before. Richards stated that Benton is “not a socialist” and that the murals, paid for with state money, were not a work of propaganda, but “an accurate pictorial representation” of the state’s history.130 Richards addressed two controversial aspects of the murals, the conflict in the mines and the Ku Klux Klan gathering, pointing out that despite their unsavory content, the events were truthfully recorded. He also cited the hospital scene with a white nurse caring for a black child as evidence of Benton’s desire to record the state’s social progress (fig. 36).131 Perhaps in anticipation of those who would object to the unflattering scenes of the state’s history, Lieber’s forward to Chambers’ guidebook addressed some of the murals’ controversial aspects with the following statement: It is not necessary always to agree with Benton. Great works are often damned as much as praised, but no one may deny that the fragrance of the broken soil, the tang of the burned clearing, the sweat of the face, that the flight of roaring ambitions, that the depth of pain and despair as well as exultation of success are not contained in his earnest presentation of the growth and power of our state.132 But for the most part, visitors from Indiana—and around the country—liked the murals. Richards had been monitoring visitors’ reactions and called the project “extremely successful in having won over half the visitors to an understanding of an exhibit modern 130 Virginia Gardner, “Indiana’s Art Stirs Conflict at World Fair: Conservatives Find it Too Modern,” Chicago Daily Tribune, June 8, 1933. 131 Virginia Gardner, “Indiana’s Art Stirs Conflict at World Fair: Conservatives Find it Too Modern,” Chicago Daily Tribune, June 8, 1933. 132 Lieber, “Foreword,” 3. 30 in atmosphere and often brutally truthful in content.”133 The Los Angeles Times commended Lieber for having the “courage to commission a great work of art,” and praised the murals as Benton’s “finest work.”134 The Indiana murals greatly advanced Benton’s career, and the national attention secured his place at the forefront of American mural painting.135 The controversy surrounding his work only generated more attention for the artist. In An Artist in America Benton recalls being “constantly called on for lectures,” and in 1934 he was featured on the cover of Time magazine (fig. 37).136 But as Benton’s fame grew, the Indiana mural attracted less attention. When A Century of Progress concluded in November of 1933, there was no plan in place for the future home of the murals.137 Numerous suggestions were made, including the John Herron Art Institute and Butler University, but none were carried out because, as Foster has concluded, they “required new expenditures, and the idea that the murals would be featured in any projected state building revived the old protests.”138 Some Indiana artists involved in the initial protests of Benton’s commission called for the murals to be demolished.139 Awaiting a decision, the panels were put into storage for a 133 Doss, Politics of Modernism, 111. 134 Lawson F. Cooper, “Benton’s Indiana Murals Called His Finest Work: Eleven Panels at World’s Fair Showing Hoosier History Will be Placed in State Capitol,” Los Angeles Times, August 27, 1933. 135 Foster, “Indiana Murals,” 23. 136 Benton, An Artist in America, 257-258. 137 Foster, “Indiana Murals,” 24. 138 Foster, “Indiana Murals,” 24. 139 Adams, American Original, 207. 31 year in the Capital Transfer Company warehouse in Indianapolis, after which time a new location had to be found due to storage costs.140 The murals were shipped to the Manufacturers Building at the State Fair Ground in Indianapolis, a building that functioned as a barn.141 It was not until 1938 that the murals were donated to Indiana University by Governor M. Clifford Townsend, and the following year the panels were transferred to Bloomington to await installation in Indiana University’s new auditorium.142 140 Margaret Contompasis, “The Physical History and Conservation Treatment of Thomas Hart Benton’s Indiana Murals,” in Thomas Hart Benton and the Indiana Murals, 123. 141 Adams, American Original, 207. 142 Adams, American Original, 207. 32 CHAPTER 2 THE MURALS AT INDIANA UNIVERSITY Benton hoped that his murals would have a suitable home at the conclusion of the fair. The project for Indiana’s exhibition at A Century of Progress was designed with the intention that the murals would be permanently installed somewhere in Indiana after the fair and serve as the subject of study for future generations.143 Herman B Wells, who became Indiana University’s eleventh president in 1937, had seen Benton’s murals in the Indiana pavilion. In early 1938, after reading an article on the murals in the Indianapolis Times—“Six-Ton, $20,000 Mural History of State Decaying at Fair Grounds Awaiting Home Big Enough to Hold It”—Wells searched, without success, for a site on Indiana University’s campus large enough for the murals.144 That summer Wells’ hopes were renewed when Indiana University (IU) received funding for a multipurpose auditorium building.145 He contacted Indiana Governor Cliff Townsend and offered the murals a home at Indiana University. Wells’ offer was appealing, as the murals’ storage had been a source of frustration for the state.146 Benton was happy with Wells’ proposal to display the murals at IU permanently, especially given their educational purpose.147 While Wells made legal arrangements for IU’s possession of 143 Foster, “Indiana Murals,” 24. 144 James H. Capshew, “The Campus as Pedagogical Agent: Herman B Wells, Cultural Entrepreneurship, and the Benton Murals,” Indiana Magazine of History 105, no. 2 (2009), 191. 145 Capshew, “Campus as Pedagogical Agent,” 191-192. 146 Foster, “Indiana Murals,” 25. 33 the murals, the architects were at work on a design for the auditorium that would integrate Benton’s murals.148 Although Wells had waited to ensure that the necessary space would be available before requesting the murals for IU, not all of the panels were displayed together when they were finally installed. After drawing and revising several plans and consulting with Benton, the architects of the auditorium produced a design that would allow for the majority of the panels to be installed in the entrance hall of the auditorium, to be known as the “Hall of Murals” (fig. 38).149 The contribution of the murals was officially announced in 1938, and installation at the University began in 1940.150 The panels were placed in three locations on IU’s campus in Bloomington, where they remain to the present: the IU Auditorium, the University Theater (now the IU Cinema), and Woodburn Hall.151 The Hall of Murals contains scenes two through nine of both the Industrial and Cultural sequences (fig. 39). These panels originally lined the north and south walls of the Indiana exhibition hall in Chicago. Wells was aware of the murals’ dimensions, which he had requested in 1938,152 and the architects of the auditorium designed it with 147 Kathryn Lofton and Matthew Pratt Guterl, “Introduction: The Benton Murals of Indiana” Indiana Magazine of History 105, no. 2 (2009), 125. 148 Capshew, “Campus as Pedagogical Agent,” 192. 149 Capshew, “Campus as Pedagogical Agent,” 193-194. 150 Foster, “Indiana Murals,” 25. 151 Lofton and Guterl, “Introduction,” 125. 152 Capshew, “Campus as Pedagogical Agent,” 191. 34 the knowledge that it would feature Benton’s massive murals. This raises the question of why all of the panels were not placed together in the Hall of Murals. Practical and aesthetic interests likely came into play when determining the final arrangement of the panels in the room. Wells’ communication with a state employee about the dimensions of the murals indicates that in order to display the entire work, a room would require 220 linear feet of wall space.153 The Hall of Murals in the IU Auditorium has a 241-foot perimeter, but the wall space is interrupted on the east wall by two doorways at the top of the stairs. The west wall has approximately 19 feet of open wall space on either side of the mural segment (fig. 40). Since each of the eight panels in the auditorium contains two scenes and is eighteen feet wide,154 two more mural panels might have fit on the west wall. However, an uneven number of scenes on the east and west walls would disrupt the overall balance of the work, which was crucial to Benton’s theory of composition.155 The addition of two panels to one of the walls might also have upset the chronological progression of the scenes. Although the Cultural and Industrial panel pairs are not matched across the hall with the exactness that they were in Chicago, they still move chronologically across the hall in this arrangement. 153 Capshew, “Campus as Pedagogical Agent,” 191. According to Foster the murals were 232 feet long, the exact linear footage of the perimeter of the Indiana pavilion: 78 by 38 feet. Foster, “Indiana Murals,” 11. This is twelve feet longer than the figure of 220 feet that was given to Wells. It is plausible that the figure of 220 feet takes into consideration the space on the entry wall that was occupied by an introductory statement, between the first of the Cultural and Industrial panels. This panel covered approximately one third of the 38-foot wall, which explains the missing twelve feet in the recommendation given to Wells. 154 Contompasis, “Physical History,” 116. 155 Adams, American Original, 110-115. 35 The remaining mural panels were placed in nearby buildings on campus. The opening pair of panels, “The Mound Builders” and “The Indians,” and the final two panels, “Indiana Puts Her Trust in Thought” and “Indiana Puts Her Trust in Work,” were installed in the University Theatre, now the IU Cinema (fig. 41). The structure, which was part of the IU Auditorium building project, is attached to the side of the IU Auditorium opposite the Hall of Murals. The tenth panels of each sequence, “Parks, the Circus, the Klan, the Press” and “Electric Power, Motor Cars, Steel,” were selected for the newly constructed Business and Economics Building (now called Woodburn Hall), finished in 1940156 (fig. 42).157 Two sections of “Indiana Puts Her Trust in Work” and “Indiana Puts Her Trust in Thought” that were sized to fit over the doorway were left out of the new arrangement all together (fig. 43). These sections, along with the Indiana dunes landscape partition were placed in storage at Indiana University, but have since been lost.158 Benton acknowledged that these segments were omitted, but he held that the new arrangement maintained “the essential rhythms of the composition.”159 The IU Auditorium opened in March of 1941, with multiple days of celebratory events.160 Benton, who had been present for the installation and retouching of the murals, 156 Foster, “Indiana Murals,” 25. James H. Capshew, Herman B Wells: The Promise of the American University (Bloomington, IN: Indiana University Press, 2012), 123. 157 Chapter 3 examines in detail the omission of “Parks, the Circus, the Klan, the Press” from the Hall of Murals arrangement and the panel’s recent reception. 158 Foster, “Indiana Murals,” 32n65. 159 Foster, “Indiana Murals,” 25. 160 Capshew, “Campus as Pedagogical Agent,” 194. 36 attended the dedication ceremony and expressed his gratitude to Wells.161 However, Benton was not given a chance to speak at the event, and he was vocal in his outrage concerning two urn-shaped light fixtures that blocked the view of the murals at the stairwells.162 The offensive lighting was removed, and Benton was invited back to the University to give a lecture for “Indiana Mural Day” in December.163 The Hall of Murals in the Indiana University Auditorium is a rectangular space that measures 28½ by 92 feet, with a stepped ceiling measuring 35½ feet high at the center of the room and 32½ feet at the walls (fig. 44). The mural panels are installed fifteen feet above the floor,164 five higher than they were in the Indiana pavilion.165 The majority of the panels are on the east and west walls. Five pairs of double-doors on the west wall are the main entryways to the Auditorium. The panels on the east wall are set above three pairs of doors, leading into the IU Auditorium’s “Grand Foyer,” with a coat check and elevator on either side of the doors. The north and south walls of the Hall of Murals each feature two scenes set above a staircase. The scenes from the Cultural sequence begin on the east wall, which visitors face when they enter the auditorium. The sequence starts with scene two, “The French” at the southeast corner and continues along the east wall through scene seven, “Woman’s Place” at the northeast corner of the room (fig. 45-47). The Cultural sequence continues with scenes eight and nine, “Leisure and 161 Foster, “Indiana Murals,” 25-26. 162 Foster, “Indiana Murals,” 26. 163 Foster, “Indiana Murals,” 27. 164 Contompasis, “Physical History,” 116. 165 Foster, “Indiana Murals,” 12. 37 Literature” and “Colleges and City Life,” on the north wall (fig. 48). The Industrial sequence starts on the south wall with scenes two and three, “The Fur Traders” and “The Pioneers” (fig. 49). It continues on the west wall with “Home Industry” and ends with scene nine, “Coal, Gas, Oil, Brick” on the west wall in the northwest corner (figs. 50-52). A number of people were involved in determining this arrangement of panels at Indiana University, including the architects of the auditorium, Wells, and Benton himself. Benton’s statement about maintaining the “essential rhythms of the composition” suggests that one of his primary concerns was that the formal elements of the arrangement have a similar effect to the original presentation. “The Mechanics of Form Organization” details Benton’s theory of composition based on the principles of equilibrium, sequence, and rhythm.166 In “Benton as Hoosier Historian: Constructing a Visual Narrative in the Indiana Murals,” Brewer describes Benton’s application of these principles in the structure of the Indiana murals. Brewer notes Benton’s use of “static elements” including “full-length standing figures and a series of trees, poles, and a central half wall” in order to “anchor the rhythmical sequences.”167 It was this “rhythm” of the composition that is preserved in the new arrangement of the panels in the Hall of Murals. In the Hall of Murals, as in the original arrangement, the composition is punctuated with static vertical anchors, and dark billowing forms of smoke and treetops interrupt the expanse of sky. The Hall of Murals arrangement also preserved the visual parallelism of the original composition in that forms and gestures connect the cultural and industrial sequences across the hall. Some examples in the Hall of Murals include: the full length 166 Adams, American Original, 110-115. 167 Brewer, “Hoosier Historian,” 162-163. 38 figures of Abraham Lincoln (“Early Schools…Communities”) and Governor Oliver Morton (“Civil War”), a man signing papers (“Reformer and Squatters”) and a railroad worker (“Expansion”) who retain a similar hunched-over position, a trapper (“The French”) and a woman at her spinning wheel (“Home Industry”) whose poses are remarkably alike, and a farmer riding a mower (“The Farmer Up and Down”) across from a couple in horse-drawn buggy in town in (“Woman’s Place”) (fig. 53). Although Benton felt he had successfully maintained the formal effect of the original exhibition, the murals’ educational aspects were altered by the context of their new location. The design of the exhibition space in the Indiana pavilion, with its parallel histories of industry and culture, chronological progression down the hall, and explanatory labels and book, created a guided experience with specific educational goals in line with those of the Century of Progress Exposition. When the murals moved to Indiana University, they became subject to a new set of motivations: those of the university. From their acquisition to the present day, the university has framed the murals with a context suitable for the interests of the university—responsibility to preserve this significant piece of Indiana’s history, to educate students and other visitors about the murals’ cultural significance, and to emphasize the university’s dedication to the arts. The acquisition of the murals was part of Wells’ “campaign to expand and beautify the campus,” and the murals were key assets in Wells’ development of what would later be known as the “Fine Arts Plaza” at Indiana University.168 Wells’ interest in dividing the panels among three locations may have been in part to distribute Indiana University’s new treasure around the recently expanded areas of the campus. Wells 168 Lofton and Guterl, “Introduction,” 120. 39 believed that the university campus should create an environment that would “inspire students” to imagine their futures and accomplish great things.169 In Herman B Wells: The Promise of the American University, James Capshew explains, “Wells clearly saw his role as a leader in the cultivation of cultural heritage, reframing and incorporating it into the liberal arts context, and thus making it available for the education of all citizens of the commonwealth.”170 Central to Wells’ vision of the university as the “cultural crossroads of Indiana” was the establishment of a university art museum, and by 1940 Wells had drawn plans for one at IU.171 The Indiana University Art Museum began in 1941 as a small 20 by 50 foot gallery with only enough room for temporary exhibitions, and the development of a permanent collection did not start until 1962 with the opening of the IU Fine Arts Building.172 Not only were Benton’s Indiana murals one of the university’s first major art acquisitions, but they were also an important artifact of Indiana history and culture.173 The murals’ size and division into separate panels meant that they could easily be dispersed throughout several buildings. 169 Herman B Wells, “State of the University,” June 2, 1962, President Herman B Wells Speeches, 1937-1962, IU Archives, Bloomington, IN, quoted in Capshew, “Campus as Pedagogical Agent,” 180. 170 Capshew, Promise of American University, 128. 171 Henry R. Hope, “The Indiana University Art Museum,” Art Journal 30, no. 2 (Winter, 1970-1971), 170. 172 Henry R. Hope, “College Museum Notes,” Art Journal 22, no. 1 (Autumn, 1962), 44. 173 Abstract painter Stuart Davis’s Swing Landscape (1938) is considered to be the IU art museum’s first acquisition. The university obtained it in 1941, shortly after the installation of Benton’s murals. Adelheid M. Gealt et al., Masterworks from the Indiana University Art Museum, ed. Linda Baden (Bloomington: Indiana University Art Museum, 2007), 340. Davis and Benton were bitter rivals; although both were interested the 40 Wells’ legacy of dedication to the arts remains significant to the University’s goals, and the murals are an important part of it. In his 2008 foreword to Thomas Hart Benton and the Indiana Murals, Kenneth R. R. Gros Louis, IU Vice President for Academic Affairs and Chancellor, explained the continued significance of the Indiana murals to IU’s mission: “The placement of the campus’s most treasured artwork in a public place, open and accessible and often used by townspeople and visitors as well as students, staff, and faculty, symbolizes IU’s deep and enduring commitment to its artistic heritage.”174 Visitors to the Hall of Murals at IU are met with a vastly different experience than the 1933 Indiana pavilion exhibition. In the original presentation, viewers entered the room at the beginning of the chronological sequence, their path running parallel to the flow of time, and they exited at the depiction of the present day. In the Hall of Murals, the majority of the panels are on the east and west walls, with the narrative moving chronologically in a general south to north direction, while the majority of foot traffic is east/west, perpendicular to the chronology. Rather than marching with the flow of time, visitors pass through it (fig. 54). Another major difference is the absence of the numerous texts that guided viewers through the 1933 exhibition. The large introductory statement and lengthy labels are replaced in the Hall of Murals with just two small plaques, one at each stairway (fig. 55). principles formal organization and produced intricate rhythmic compositions, Davis believed these were best realized with modernist abstraction while Benton championed a representational style. Adams, American Original, 110-111. 174 Kenneth R. R. Gros Louis, foreword to Thomas Hart Benton and the Indiana Murals, 2. 41 They provide a brief explanation of the murals, including their commission for the Indiana pavilion at the 1933 World’s Fair and Benton’s dual narratives, with his emphasis on average citizens as makers of history. One plaque states that sixteen panels from the mural cycle are on display in the Hall of Murals, but does not specify the location of the rest. Furthermore, the “starting point” of the sequences is more difficult to locate. The plaque on the staircase at the north wall indicates that the history “is told in two chronological narratives” which “unfold in opposite directions beginning in the southwest corner.” While the plaque correctly indicates the two starting panels (“The Fur Traders” and “The French”), these panels are located at the southeast, not southwest, corner of the room (fig. 56). The arrangement of panels in the Hall of Murals complicates the original concept of the parallel histories of industry and culture, as the panels do not match up chronologically across the hall. Brewer explains the importance of the matching the murals’ original location: One of the things that enabled this dual history approach to work in the murals was the absolute parallelism (or symmetry) between many of the figures and historic buildings. Some of these images lined up across the exhibition hall often in almost exactly the same scale and poses […] Not only did this device make it easier for visitors walking through the space to follow the chronological sequence, but it also allowed for implied comparisons between social themes such as life and death, work and religion, rich and poor, destruction and renewal.175 In the Hall of Murals arrangement, figures match across the hall in different pairings, inviting new comparisons. The previously significant historical marker in the center of the parallel histories, the billowing smoke of the Civil War, is rendered ineffective for 175 Brewer, “Hoosier Historian,” 155. 42 this purpose (fig. 57). Rather than the “absolute parallelism” described above, the arrangement of panels in the hall of murals is loosely chronological, moving from the south side of the room to the north side. The murals are a source of pride at IU, and one of the university’s most important goals concerning the murals is to encourage an appreciation for them as a valuable part of Indiana’s and also the university’s history. When the donation in 2012 of Benton’s “America Today” murals to the Metropolitan Museum of Art was announced, IU was able to boast its own, larger, Benton murals. In the article “New York Crows Over What IU's Long Had: Thomas Hart Benton Murals” in the Bloomington Herald-Times, IU curator Sherry Rouse elaborated, “The murals here are the most important art we have,” and Brewer, IU’s Benton scholar and curator at the IU Art Museum, called the murals “national treasures” of American art, noting that “they really are priceless […] because there's nothing like them that will ever come onto the market.”176 The book Thomas Hart Benton and the Indiana Murals, first published in 2000 and reprinted in 2008 in honor of the 75th anniversary of the murals, is available for purchase in the Indiana University Art Museum gift shop. Like Chambers’ guidebook at the Indiana pavilion, it is a resource for viewers who desire more thorough explanation of the murals. The restructuring of scenes for the Hall of Murals utilizes viewers’ collective memory of history in a way that emphasizes certain themes of education and Indiana history. When viewers enter the IU Auditorium through the Hall of Murals, they face the image of a young Abraham Lincoln in “Early Schools…Communities” (fig. 58). 176 Mike, “New York Crows Over What IU's Long Had: Thomas Hart Benton Murals,” The Herald – Times (Bloomington, IN), Dec 16, 2012. 43 Positioned in the center of the east wall, and standing at over nine feet tall,177 the figure is nearly impossible to miss. At the time Benton was painting, Lincoln was a relatively new addition to the fabric of Indiana’s collective memory. Lincoln commemoration was initially monopolized by Illinois and Kentucky. The image exemplifies the induction of Lincoln into Indiana’s collective memory as a symbol of the pioneer spirit whose time in Indiana was crucial to his success. Increased public interest in Lincoln at the beginning of the 20th century reached its peak in the 1920s.178 In Illinois, a widespread interest in commemorating Lincoln had already taken hold by the end of the nineteenth century,179 and in historical pageants and celebrations, “Lincoln was continually invoked […] as a symbol of pioneer pride and national loyalty.”180 Early biographers tended to focus on Lincoln’s personal connection to both North and South through his birth in Kentucky and career in Illinois, and many omitted his time in Indiana as a child and young man. Others contrasted his “presidential greatness” with his “humble origins” in Indiana, with one 1889 biography portraying the state as a “stagnant, putrid pool.”181 Members of the Southwestern Indiana Historical Society, founded in 1920, were concerned with this oversight, given that Lincoln had 177 Doss, “Action, Agency, Affect,” 136. 178 Keith A. Erekson, Everybody's History: Indiana's Lincoln Inquiry and the Quest to Reclaim a President's Past (Amherst: University of Massachusetts Press, 2012), 38. 179 Bodnar, Remaking America, 120. 180 Bodnar, Remaking America, 119. 181 Erekson, Everybody's History, 4. 44 spent a quarter of his life in Indiana.182 When researching Indiana history, Benton consulted Lincoln the Hoosier (1928) by Southwestern Indiana Historical Society member Charles Vannest, and Benton’s rendering of Lincoln resembles the frontispiece of the book, an image of Charles S. Mulligan’s sculpture The Railsplitter (fig. 59).183 Like Mulligan, Benton depicts Lincoln with an axe, but Benton includes a book in Lincoln’s other hand and places him in a scene depicting the sharing of knowledge on the frontier, indicated by the school, newspaper press, and scientific instruments. Biographers of the Southwest Indiana Historical Society found “the sources of Lincoln’s greatness in the collective environment on the frontier.”184 Similarly, Benton’s portrayal of Lincoln emphasizes the significance of Lincoln’s Indiana surroundings in shaping his future. The caption in Chambers’ guide reinforced this idea as well as the concept that ordinary people—symbolized by the pioneers—had the ability to make history: “Abraham Lincoln spent the fourteen formative years of youth in Indiana. He was the very embodiment of the pioneer period, the highest development of the frontier type, ‘new birth of our soil, the first American.’”185 For visitors to the World’s Fair, Indiana’s claim to Lincoln’s crucial developmental years was still new, but it has since been integrated into Hoosier history and memory. The image of Lincoln, one of the few historical portraits that Benton included in the design,186 was an ideal choice for a central image in the arrangement in 182 Erekson, Everybody's History, 3-4. 183 Brewer, “Hoosier Historian,” 145, 171n66. 184 Erekson, Everybody's History, 124. 185 Chambers, Indiana: A Hoosier History, 19. 186 Brewer, “Hoosier Historian,” 171n66. 45 the Hall of Murals. This placement was indicative of Lincoln’s rising popularity. As Kammen explains, Lincoln became “the foremost American folk hero, immortalized above all by Carl Sandburg in six boxed volumes (1926-39).”187 In the Hall of Murals arrangement, Lincoln’s portrait interacts differently with the other panels in the room than it did in its original setting. Visitors to auditorium encounter Lincoln’s image immediately, unlike visitors to the pavilion, who saw it along the walk down the long hall. Originally Lincoln was across from Industrial scene four, “Home Industry,” which depicts activities of pioneer life, positioning Lincoln as an average person in Indiana, and placing the focus on the significance of his youth and education in Indiana (fig. 60). Although Benton did not depict Lincoln in Industrial scene six, “Civil War,” Lincoln received mention in the caption at the fair: “On an April Sunday in ‘sixty-five the murdered body of Abraham Lincoln, once a pioneer boy of Southern Indiana, lay in state under the dome of the Hoosier capitol.”188 In the Hall of Murals, the image of Lincoln is directly across the room from “Civil War” (fig. 61). This placement connects Lincoln to his role in the Civil War as emancipator and preserver of the Union. This positions Lincoln as an American hero, while acknowledging his foundational years on the Indiana frontier. Regarded as a symbol of pioneer strength and the “ongoing reality of ordinary people continually overcoming various kinds of difficulties,” Lincoln served to inspire pride in Indiana’s history and encourage students to achieve greatness.189 Lincoln was one of the few historical figures Benton included in 187 Kammen, Mystic Chords, 417. 188 Chambers, Indiana: A Hoosier History, 25. 189 Bodnar, Remaking America, 119-123. 46 the murals, as his goal was to show ordinary people as history makers. In this way the prominent placement of Lincoln in the Hall of Murals display and the emphasis on his heroism undermines to some extent Benton’s initial intention. Passage of time alters viewers’ understanding of history. In “Dynamics of Distortion in Collective Memory,” sociologist Michael Schudson explains: “The simple passage of time reshapes memory, in at least two respects. First, there is a loss of detail. Memory grows more vague. Second, there tends to be a loss of emotional intensity.”190 Both of these effects on viewers’ memory of past events shape the way they understand Benton’s murals. The murals’ history no longer takes viewers through to the present day. Even in 1941 when the murals were newly installed on campus, the most recent scenes in the Hall of Murals were not representative of modern life. The final four scenes, closest to the present day at the time of installation, were placed elsewhere on campus. Although viewers in 1933 were more familiar than today’s viewers with what were recent events in time, many needed the assistance of Chambers’ thorough captions and guidebook in order to understand the historical events depicted.191 As mentioned, these explanatory texts from the original installation were not included in the displays at IU. A thorough explanation of the murals—the history they depict and their original presentation—was not readily available to viewers at IU, until Thomas Hart Benton and the Indiana Murals was published by the IU Art Museum in 2000, and Indiana Magazine of History published an issue devoted to the murals in 2009. Even with the recent 190 Michael Schudson, “Dynamics of Distortion in Collective Memory,” in Memory Distortion: How Minds, Brains, and Societies Reconstruct the Past, ed. Daniel L. Schacter (Cambridge, MA: Harvard University Press, 1995), 348. 191 Brewer, “Hoosier Historian,” 138. 47 publications and the content available on IU’s website, casual visitors to the Hall of Murals and those passing through to attend events at the Auditorium do not have this information presented to them in immediate didactic wall labels. The arrangement requires interested viewers to seek it out by doing research or scheduling a tour. One example of the reshaping of memory through the passage of time involves the changing significance of the railroad for viewers of the murals. Since the middle of the nineteenth century the railroad was one of the foremost symbols of cultural and technological advancement. Hailed by Walt Whitman as “Type of the modern—emblem of motion and power—pulse of the continent,” the steam engine was a source of awe and excitement.192 Benton’s depictions of trains in the Industrial sequence of the murals show the development of rail transportation in Indiana. Industrial scene 5, “Internal Improvements.” indicates the emergence of the railroad as a major force in Indiana’s industrial growth, with the shift from steamboats and canals to rail (fig. 62).193 Industrial scene 7, “Expansion,” shows the construction of the railroad during the golden age of railroad expansion (fig. 63). The number four on the locomotive likely refers to the “Big Four” rail lines: Cleveland, Cincinnati, Chicago, and St. Louis.194 In the final panel of the Industrial sequence, “Indiana Puts Her Trust in Work” (currently located in the IU Cinema) Benton indicates the significance of rail transportation to Indiana’s limestone 192 Walt Whitman, “To A Locomotive in Winter,” in Leaves of Grass: First and "Death-Bed" Editions: Additional Poems, ed. Karen Karbiener (New York: Barnes and Noble Books, 2004), 604. 193 Kathleen A. Foster, “Industrial Panel 5: Internal Improvements,” Thomas Hart Benton and the Indiana Murals, 40. 194 Nanette Esseck Brewer, “Industrial Panel 7: Expansion,” Thomas Hart Benton and the Indiana Murals, 44. 48 industry (fig. 64). Indiana was the largest producer of limestone in the country.195 A truck appears along with the two trains, indicating the growing role of the automotive industry. At the time of the fair, Indiana had the most miles of paved highways of any state in the country.196 Railroad construction continued to expand through the beginning of the twentieth century, until its slow decline in the 1920s as highway construction grew.197 In his autobiography Benton explains his enduring fascination with the railroad: “To this day I cannot face an oncoming steam train without having itchy thrills run up and down my backbone. The automobile and the airplane have not been able to take away from it its old moving power as an assaulter of space and time.”198 It is telling that “Expansion” was used for the cover of Chambers’ guidebook to represent the story of the state (fig. 65). The railroad was a powerful force for change in Indiana, and it “transformed the life from pioneer to industrial stage.”199 This scene also indicates the profound effect on communication brought about with rail expansion. The caption explains, “Telegraph wires paralleling the tracks brought the news of the world to the Hoosier breakfast table.”200 Many fairgoers came to Chicago by train,201 and the Official Guidebook of the 195 Nanette Esseck Brewer, “Industrial Panel 11: Indiana Puts Her Trust in Work,” Thomas Hart Benton and the Indiana Murals, 52. 196 Chambers, Indiana: A Hoosier History, 47. 197 Chambers, Indiana: A Hoosier History, 46-47. 198 Benton, An Artist in America, 71. 199 Chambers, Indiana: A Hoosier History, 21. 200 Chambers, Indiana: A Hoosier History, 29. 201 Lisa Diane Schrenk, Building A Century of Progress: The Architecture of Chicago's 1933-34 World's Fair (Minneapolis: University of Minnesota Press, 2007), 16. 49 fair encouraged visitors to take advantage of the reduced rates offered by railroads for travelers headed to the exposition.202 Many viewers at the fair, like Benton, would have firsthand experience of the greatness of the railroad, and the resulting “new communication network [that] revolutionized economic and social life in Indiana.”203 Not only is Benton’s most recent depiction of the railroad industry absent from the Hall of Murals composition, by the time the murals were installed at IU, viewers of Benton’s railroad scenes were familiar with a new type of locomotive: the streamliner. Named for their streamlined design, which created minimal wind resistance, these trains were made of lightweight stainless steel and operated with the power of internal combustion engines instead of steam (fig. 66). The first two streamliners, the Burlington Zephyr and the Union Pacific M 10,000, made appearances at the Century of Progress Exposition when it re-opened in 1934.204 The diesel-powered Zephyr made a nonstop trip from Denver to Chicago in record time, with an average speed was over seventy-seven miles per hour.205 Streamliners attained immediate popularity and started what historian Jeffrey Meikle refers to as “a streamlining mania” with the public.206 For viewers in the 1940s, the absence of this recent development placed Benton’s steam engines in the past. 202 Official Guide Book of the Fair: 1933, 134. 203 Brewer, “Expansion,” 44. 204 PBS, “Streamliners: America's Lost Trains,” American Experience, Program Transcript, 2001, Accessed September 10, 2015. http://www.pbs.org/wgbh/americanexperience/features/transcript/streamliners-transcript. 205 Ganz, 1933 Chicago World's Fair, 138. 206 PBS, “Streamliners: America's Lost Trains,” American Experience, Program Transcript, 2001, Accessed September 10, 2015. http://www.pbs.org/wgbh/americanexperience/features/transcript/streamliners-transcript. 50 With the decline of rail in favor of other means of transportation since the 1950s, steam locomotives are now viewed as outdated technology. Although its significance to the country’s social and economic development is undeniable, steam power does not hold the same symbolic power for viewers in the present day. Passage of time also reshapes memory by allowing individuals to look at history from viewpoints formerly disregarded. Schudson explains: In an era of liberalization and the cultural enfranchisement of groups denied a voice in the past, a history told from the viewpoint of elite white males is rewritten from multiple viewpoints. Often new information becomes available about events experienced at the time through a veil of misinformation and ignorance.207 Themes of Settlement and the Frontier played a large part in Benton’s Indiana murals, and more than half of the scenes in the Hall of Murals are related to themes of expansion and frontier settlement. For visitors to the 1933 World’s Fair, the closing of the western frontier in 1890 was fewer than fifty years ago, “and so this symbol had a far greater immediacy than it does today.”208 Historian James Joseph Buss observes that there was a culture of reverence for the pioneer, along with a “collective amnesia about the region’s indigenous past.”209 The 1933 wall label for “Internal Improvements,” which depicts the forced removal of Native Americans, begins: “The Indian was doomed by the settler’s hatred. Last of the tribes, the Potawatomi were led away to Kansas on a trail of death” (fig. 207 Schudson, “Distortion in Collective Memory,” 349. 208 Marlene Park and Gerald E. Markowitz, Democratic Vistas: Post Offices and Public Art in the New Deal (Philadelphia: Temple University Press, 1984), 31. 209 Buss, Winning the West, 212. 51 67).210 Chambers’ guidebook elaborated on the devastation: “The children and the old people, worn out by the trudging, unused to the fare, fell by the way, dying in numbers. […] Every camp was a cemetery.”211 The sudden disappearance of Native Americans from the narrative in this panel seems to indicate their marginalization in American society. According to Brewer, in the introductory panels “The Mound Builders” and “The Indians,” Benton wished to show “early man as a model of social harmony with nature, rather than as savage.”212 In “Art for America: Race in Thomas Hart Benton’s Murals, 1919-1936,” Austen Barron Bailly noted that the figures in these two panels are, along with Lincoln, among a limited number of large-scale upright figures, which serve as vertical anchors to Benton’s entire composition.213 Bailly observed that although “Benton neglected to show modern Indians in the mural, […] he required viewers to address the fact that American industry and culture were predicated on Native American precedent and achievement.”214 However, Benton’s presentation of history in the murals follows the pattern of early history Buss describes as “beginning with the Indians, moving to a colonial period of conquest and confusion, and ending with a pioneer phase 210 Chambers, Indiana: A Hoosier History, 21. 211 Chambers, Indiana: A Hoosier History, 25. 212 Brewer, “Hoosier Historian,” 155. 213 Austen Barron Bailly, “Art for America: Race in Thomas Hart Benton's Murals, 1919-1936,” Indiana Magazine of History 105, no. 2 (2009): 163. 214 Bailly, “Art for America,” 163-164. 52 when steadfast Americans felled trees and tilled the soil.”215 Benton’s statement in “A Dream Fulfilled” that he had hoped to show a progressive history beginning with “the savage Indian” supports this interpretation of the murals.216 Benton’s portrayal of Native Americans in the Indiana murals differs from his earlier treatment of the subject in the American Historical Epic, which Benton set in the time before the United States became a nation. The Epic took a critical view of the exploitation of Native Americans and confronted then-contemporary understandings of “native” American as white, suggesting that American Indians as well as whites were founders of the nation.217 Bailly argues that “the exposed racism, violence, and critique unexpectedly integral to the [American Historical Epic] overstepped conventional bounds for murals intended as public art and implicitly antagonized mainstream viewers,” and caused the artist to alter his treatment of race in subsequent murals in order to “connect more cooperatively with American audiences—implying, […] a white-majority public.”218 This desire to appeal to a more mainstream viewership might explain in part why the Indiana murals portray Native Americans in a manner typical of the time—as the unfortunate but necessary victims of white progress. Three scenes in the Hall of Murals depict Native Americans, before they disappear from the narrative in “Internal Improvements.” The panels of the south wall of the Hall of Murals, “The Fur Traders” and “The Pioneers,” depict a fur trader giving 215 Buss, Winning the West, 189. 216 Benton, “A Dream Fulfilled,” 49. 217 Bailly, “Art for America,” 153-154. 218 Bailly, “Art for America,” 153-155. 53 alcohol to a Native American and Native Americans fighting with settlers, and in “The French,” two Native Americans kneel before a Jesuit priest to receive a blessing. The only indication of the their fate is in the background of “Internal Improvements,” where a Native American mother and child “are expelled from their land by armed men.”219 The scene might easily be overlooked in the surrounding activity and energy of the panel, and without any labels to draw attention to it in the Hall of Murals, as there were in the original arrangement, the Native Americans seem to quietly disappear from the narrative. The absence from the Hall of Murals of “The Mound Builders” and “The Indians,” which portray indigenous peoples as the earliest inhabitants of Indiana, further limits the representation of Native American figures in the narrative, and it does not show the founding role of Native Americans in Indiana’s industry and culture. The forced removal of Native Americans from Indiana is relegated to the background, while the activities of westward expansion dominate the scene. In this way, the Hall of Murals presentation participates in what Buss calls “a creative redrawing of early lower Great Lakes geography and memory,” which presented the region as “an American place of progress” where Native Americans were portrayed as either “primitive peoples of the past or sad victims of the spirit of progress itself.”220 Collective memory of the pioneer era has shifted in recent years to include alternative narratives, including the history of Native Americans. Visitors today might question this absence of diverse narratives in the Hall of Murals. The introduction of new perspectives to the historical narrative, which would include Native American voices, 219 Adams, American Original, 205. 220 Buss, Winning the West, 189. 54 would profoundly complicate the memories of pioneer heroism and the progress of westward expansion expressed in the Hall of Murals, but as Schudson asserts, “Sometimes […] the past changes—and should change—with time.”221 The two scenes on the north wall, “Colleges and City Life” and “Leisure and Literature,” depict scholarly activities (fig. 68). This is a fitting theme to be featured in the murals’ main location, and also the selection for the cover of Thomas Hart Benton and the Indiana Murals (fig. 69), published by the University. In a forward to the book, Karen Hanson reiterates the valuable educational role of the murals at the university: The murals provide an invaluable opportunity for renewed dialogue about our collective past and its relevance to issues in the present and future. The murals’ didactic function thus makes them more than simply beautiful enhancements to our campus; they are an integral part of our teaching mission as well.222 The figure dressed in academic regalia, a professor or a college graduate, is one of the large anchoring figures of the composition. The traditional academic dress, still worn in the present, prevents the figure from being assigned to a particular period of history and makes this image relatable to contemporary experience. While the theme of scholarship alone makes it an ideal image for the university’s display, the image also makes a direct reference to Indiana University. According to Foster, the scholarly figure is facing towards structures “suggesting the library and student building of Indiana University at Bloomington […]” (fig. 70).223 Students familiar with the campus architecture might 221 Schudson, “Distortion in Collective Memory,” 349. 222 Karen Hanson, foreword to Thomas Hart Benton and the Indiana Murals, 3. 223 Kathleen A. Foster, “Cultural Panel 8: Leisure and Literature,” Thomas Hart Benton and the Indiana Murals, 68. 55 recognize the buildings. The inclusion of this panel in the Hall of Murals arrangement connects the mural to IU’s Bloomington campus and reinforces the enduring educational purpose of the mural. The University Theatre building, a structure located at the east end of the IU Auditorium, was selected to house four panels of Benton’s murals (fig. 71). The University Theatre was constructed as a wing of the Auditorium in 1941 in order to house the university’s expanding theatre program, and the mural panels were part of the original design (fig. 72). Because of its small size in contrast to the IU Auditorium—which had nearly ten times the seating—the building was sometimes called the “Little Theatre.”224 With the opening of the Lee Norvelle Theatre and Drama Center in 2002, the University Theatre was replaced as the principal theatrical performance venue on campus. Plans were made to renovate the University Theatre, and in 2011 the building was reopened as the Indiana University Cinema (fig. 73).225 The mural panels were restored and the interior was updated to complement the mural. The IU Cinema webpage says that the design, featuring 1930s architectural features and Benton’s murals, “transports 224 Indiana University, “Indiana University Department of Theatre and Drama Records, 1925-2007, Bulk 1945-1975: A Guide to the Records at the Indiana University Archives,” Archives Online at Indiana University, 2010, Accessed September 10, 2015. http://webapp1.dlib.indiana.edu/findingaids/view?doc.view=entire_text&docId=InU-Ar- VAC0946. 225 Indiana University, “Indiana University Department of Theatre and Drama Records, 1925-2007, Bulk 1945-1975: A Guide to the Records at the Indiana University Archives,” Archives Online at Indiana University, 2010, Accessed September 10, 2015. http://webapp1.dlib.indiana.edu/findingaids/view?doc.view=entire_text&docId=InU-Ar- VAC0946. 56 moviegoers back to the heyday of cinema.”226 With the building’s inauguration, people had the opportunity to see the four panels of Benton’s murals after the building had been closed for years.227 At the front of the room on either side of the stage are the two panels that were located over the entrance at the fair: “The Mound Builders” and “The Indians” (figs. 74-75). At the back of the theater are the two final panels of the original sequence, “Indiana Puts Her Trust in Thought” and “Indiana Puts Her Trust in Work” (fig. 76). As with the Hall of Murals arrangement, compositional balance seems to drive the layout choice. The orientation of the two pairs is similar to their original exhibition. “The Indians” and “The Mound Builders” are shown on the same wall, with a stage/screen between them instead of the original introductory statement. “Indiana Puts Her Trust in Work” and “Indiana Puts Her Trust in Thought” are located at the back of the theater, seen by theater-goers as they exit. Unlike the original mural presentation, in this location the panels are understood as two pairs rather than as part of a much larger narrative. “Indiana Puts Her Trust in Work” and “Indiana Puts Her Trust in Thought” are each missing a section from the original display. Although they appear small in comparison to the rest of the panels, they were sizeable pieces—several feet tall. The missing panel sections were designed to fit over the exit in the Indiana pavilion exhibition space, framing the doorway. It is plausible that the two panel sections were removed in order to suit the design of the new space, which, unlike the original location, does not 226 Indiana University Bloomington, “About: Indiana University Cinema,” Accessed September 10, 2015. http://www.cinema.indiana.edu/about. 227 According to IU Cinema Director Jon Vickers, when the Cinema opened, “Most students on this campus [had] probably never been to the theater because it’s been closed for so long.” Brian Welk, “IU Cinema Debuts New Facility with State-of-the-Art Technology” Indiana Daily Student, Nov 10, 2010. 57 have a central exit doorway for the pieces to frame, but rather two side exits. The absent section of “Indiana Puts Her Trust in Thought” portrays solutions to the Depression in politics and science, along with news headlines concerning unemployment, banking and taxes, and a large question mark of the unknown future (fig. 77).228 This scene was indicative of the moment at which the murals were created, and featured Indiana Governor Paul McNutt as a political force for change. Though some images of the Great Depression remain, like the “No Help Wanted” and “County Unemployment Relief Application” signs, the politics of the era and uncertainty of the future no longer dominate the final scene. In 1941 much of the Indiana life depicted was still relevant, and today, the Indianapolis 500 and Indiana’s basketball legacy are still easily recognizable (fig. 78). Indiana’s love of basketball, which has come to be known as “Hoosier Hysteria,” is represented by two players identified as members of Indianapolis’s Shortridge High School team in the early 1930s.229 However, in the new location, the jerseys evoke the crimson and cream of the IU basketball team. This panel also contains a self-portrait of Benton, holding his brush and palette and smoking a pipe as he watches the work of an architect modeled after Thomas Hibben, architect of the Indiana pavilion.230 The heroic figures in all four of the cinema panels make them fitting for a space of dramatic performances on stage, and later, in film. A previously discussed, in “Thomas 228 Kathleen A. Foster, “Cultural Panel 11: Indiana Puts Her Trust in Thought,” Thomas Hart Benton and the Indiana Murals, 74. 229 Foster, “Indiana Puts Her Trust in Thought,” 74. 230 Foster, “Indiana Puts Her Trust in Thought,” 74. 58 Hart Benton and the Melodrama of Democracy,” Casey Nelson Blake argues that Benton’s murals were different from others of the time in that the scenes “were in fact melodramas.”231 According to Blake, “Benton’s Indiana Murals trade deliberately on the representational motifs of theatrical and cinematic melodrama” and act as “a series of dramatically staged vignettes.”232 This drama is evident in the panels chosen for the theater/cinema location. Two monumental Native American figures frame the stage with dynamic movement. One muscular figure reaches for an arrow during the hunt, and the other lifts his arms to the sky, mourning another who has fallen. The scenes at the back of the theater show the energy of 1930s life, with modern transportation, manufacturing, and limestone mining on one side; and basketball players, the Indianapolis 500, unemployed workers, and art/design professionals on the other. These panel pairs were matched across the hall in their original setting, Cultural scene 1 with Industrial scene 1, and Cultural scene 11 with Industrial scene 11. Because this relationship is preserved, Benton’s use of matching poses and symmetry is demonstrated in the cinema panels. The raised arm of the basketball player resembles that of the standing quarry worker, while the crouching architect with outstretched arm is matched in the position of the other quarry worker. At the front of the theater, the large figures’ sinewy bodies in “The Indians” and “The Mound Builders,” naked aside from their red waistcloths and footwear, mirror one another in three-quarter stance. Today these scenes are understood in the context of the function of the building as a cinema—enhancing its “art house theater” design and celebrating film’s ability to 231 Blake, “Melodrama of Democracy,” 172. 232 Blake, “Melodrama of Democracy,” 175. 59 transport the audience to different times and places.233 When the theatre opened in 1941, viewers were presented with a juxtaposition of the prehistoric past and images of contemporary life. Now both pairs represent historical events beyond the personal experience of most viewers. For most visitors, the broader context of the panels is unknown, as there are no visible labels or explanatory texts in the location. The panels are a major design element in the room, and the absence of additional contextualization suggests that the intention is to impress visitors more than it is to educate them. Wells’ placement of the panels in the theater was likely a strategic move as much as it was necessary due to space constraints in the Hall of Murals. It enhanced the atmosphere of the theater, gave the university’s new acquisition more exposure, and secured the theater/cinema as a unique destination in IU’s Fine Arts Plaza. At Indiana University, Benton’s murals no longer advance the message of progress and the usable past in a guided experience as they did at the 1933 Century of Progress Exposition. Changes in the panels’ arrangement, orientation, and juxtaposition, the architecture and purpose of the display locations, viewers’ temporal distance from the subject, and reduction in the number of explanatory texts along with changes in content, all alter the viewing experience of the Indiana Murals. Although viewers do not march through the state’s progress from the prehistoric to the present day, the presentation of the murals at Indiana University retains Benton’s notion of ordinary people as the makers of history. IU President Myles Brand calls the murals “a tribute to the unsung men and 233 Brian Welk, “IU Cinema Debuts New Facility with State-of-the-Art Technology” Indiana Daily Student, Nov 10, 2010. 60 women who are responsible for the growth of the state and of her institutions of higher learning,” in his introduction to Thomas Hart Benton and the Indiana Murals.234 Indiana University’s efforts to preserve the treasured murals include major restorations to the panels in the Auditorium in 1998, the Cinema in 2009, and Woodburn Hall in 2010. Benton’s Indiana Murals are a testament to the university’s impressive fine arts legacy. The murals have long been “must-visit” features of the Bloomington campus. While some images deemed offensive by 1933 viewers—including the mine worker throwing a rock at a guard, and the pioneer woman with large feet and clingy dress—no longer incite protest from viewers,235 one scene in Woodburn Hall has continued to spur discussion about how cultural memory functions in the perception of controversial imagery. “Parks, the Circus, the Klan, the Press,” which is displayed with “Electric Power, Motor Cars, Steel” in Woodburn Hall room 100, has been a point of controversy at the university in recent years for its depiction of white-robed Ku Klux Klan members burning a cross (fig. 79). A study of the scene and its surrounding protest offers insight into why it continues to spark debate, while protests over other scenes have subsided. 234 Myles Brand, foreword to Thomas Hart Benton and the Indiana Murals, 1. 235 Foster, “Indiana Murals,” 21. 61 CHAPTER 3 PARKS, THE CIRCUS, THE KLAN, THE PRESS The tenth panel of the Industrial sequence, “Electric Power, Motor-Cars, Steel,” and the tenth panel of the Cultural sequence, “Parks, the Circus, the Klan, the Press,” are installed across from one another in Woodburn 100, a lecture hall with a seating capacity of over four hundred, located a short distance away from the Indiana University Auditorium (fig. 80). The room was originally designated as an auditorium, but for years it has been used to hold large lecture classes. Wells felt that this room, part of the university’s new school of business in 1940, was a fitting location for “Electric Power, Motor-Cars, Steel,” which shows Indiana’s manufacturing and power industries.236 The building is now home to Indiana University’s department of political science. Situated on the wall next to each panel is a brief text that provides an overview of the Indiana history depicted and the locations of the other panels from the series. “Electric Power, Motor-Cars, Steel” shows the development of northern Indiana into the state’s principal manufacturing district. Electricity, known as “white coal,” is represented with a white lightning bolt providing energy to Indiana’s growing centers of production.237 The dynamism of the composition is compelling, but the panel across the room, “Parks, the Circus, the Klan, the Press,” has attracted the most attention from viewers since the murals’ installation at Indiana University. The panel contains several scenes of the state’s civic and social progression. The growth of the Indiana’s 236 Foster, “Indiana Murals,” 24-25. 237 Nanette Esseck Brewer, “Industrial Panel 10: Electric Power, Motor-Cars, Steel,” Thomas Hart Benton and the Indiana Murals, 50. 62 state park system since its founding in 1916 is signified with the planting of a tree. Entertainers perform in Peru, Indiana, the preferred winter quarters of several circuses, where animals were trained, equipment was mended, and the circus was readied for the next season.238 Indiana’s improved fire department uses modern equipment to douse a flaming building. A nurse tends to patients in Indiana’s hospital system. A printer, a journalist, and a photographer represent Indiana’s Pulitzer Prize winning press.239 The Ku Klux Klan looms in the distance, indicating the Klan’s powerful presence in Indiana during the 1920s. The image of the Klan rally and burning cross has been the subject of debate at Indiana University and the object of several student protests. While many undoubtedly find the very presence of the image offensive, it should not be assumed that Benton’s incorporation of the Klan signifies approval. The Klan image and the controversy it has engendered are best understood in the context of the history of the Klan in Indiana and how historical constructions of the Klan play into contemporary understanding of this scene. Historians recognize several major manifestations of the Ku Klux Klan. The most widely remembered movements are the Reconstruction-era Klan following the Civil War, and the Klan of the civil rights era in the 1950s and 1960s, both of which were concentrated in the southern states.240 Distinct from these phases is the Klan of the 1920s, when it operated with significant force in Midwestern states, notably in the stronghold of 238 Chambers, Indiana: A Hoosier History, 47. 239 Chambers, Indiana: A Hoosier History, 47. 240 Leonard J. Moore, Citizen Klansmen: The Ku Klux Klan in Indiana, 1921- 1928 (Chapel Hill: University of North Carolina Press, 1991), 1. 63 Indiana, where Klan membership numbers were considerable.241 This second Klan movement was initiated in Atlanta, Georgia in 1915 by William J. Simmons, who started it as a fraternal organization with little resemblance to the Reconstruction-era Klan before it, other than the use of the regalia and titles. In order to increase profits, Simmons formed a partnership with publicists Edward Young Clark and Elizabeth Tyler, who developed a new promotional strategy of white-supremacist nativism and radical social vigilance. The strategy was successful in recruiting members, and it quickly spread across the country.242 The Klan’s vigilante law enforcement included raids on speakeasies, gambling haunts, and brothels.243 A hierarchical leadership structure governed members at the regional, state, and local levels. State-level Klan chapters elected their officials and governed themselves for the most part, but the national headquarters in Atlanta maintained veto power.244 Internal disputes plagued the Klan, and at times disagreements lead to the formation of independent Klan groups.245 Klan chapters varied greatly in their 241 Moore, Citizen Klansmen, 2. 242 Southern Poverty Law Center, Ku Klux Klan: A History of Racism and Violence, (Montgomery, AL: Southern Poverty Law Center, 2011), 17. 243 David M. Chalmers, Hooded Americanism: The History of the Ku Klux Klan, 3rd ed. (Durham, NC: Duke University Press, 1981), 165-166. 244 Chalmers, Hooded Americanism, 33-34. 245 This was the case in 1924, when Indiana’s Grand Dragon D. C. Stephenson became involved in a power struggle with the Imperial Wizard of the Ku Klux Klan, Hiram Evans, and was replaced by an Atlanta-appointed Grand Dragon Walter Bossert. Stephenson retaliated by forming an independent Indiana Klan. Although the two Grand Dragons of Indiana briefly worked together to secure political victories for the Klan in the 1924 election, disputes between headquarters and the Indiana Klan were a constant source of tension. Chalmers, Hooded Americanism, 168-170. 64 activities and strategies, and recent scholarship tends to focus on regional and local Klans in consideration of these differences.246 The description of the Ku Klux Klan in David Laurance Chambers’ 1933 mural guidebook offers insight into Indiana’s attitude towards contemporaneous Klan activity: The leaders were business men, bent on making money. They found it easy to do. They offered the lure of a secret society, of spectacular regalia, of a crusade to protect Cross and Flag, all for an initiation fee of ten dollars. […] The Klan under [D. C. Stephenson’s] manipulation became a political factor not to be trifled with. Voting almost as a bloc, it could be made to turn an election. It did little or no violence. It did not strike with “the lash, the tar brush and the torch.” But commercially its membership was numerous enough to present an effective boycott against any merchant who failed to do it favor.247 The role of the Klan was downplayed by Indiana history texts and museums, which tended to ignore the Klan’s presence in Indiana altogether or, like Chambers’ description above, portrayed it as a small group of naïve, rural Hoosiers who fell prey to the exploitation of charismatic Klan leaders. It was not until the 1980s and 1990s that the Klan’s tremendous popularity throughout the state in the 1920s was generally acknowledged.248 It is estimated that over a quarter of native-born white men in Indiana joined the Klan in the 1920s, as well as numerous women and youth.249 The Indiana Klan went beyond the singularly anti-black racism of its southern counterparts and instead cast 246 Allen Safianow, “The Klan Comes to Tipton,” Indiana Magazine of History 95, no. 3 (1999), 204. 247 Chambers, Indiana: A Hoosier History, 48. 248 James H. Madison, Hoosiers: A New History of Indiana, (Bloomington: Indiana University Press, 2014), 242-244. 249 Moore, Citizen Klansmen, 46-47. James Madison notes that this was the only period in Indiana history that the state had a Klan presence of this magnitude, and later Indiana Klan groups were small and largely ineffective; Hoosiers, 242. 65 its agenda in terms of social and political reform.250 The group’s professed central tenets—Protestant Christianity and patriotism—appealed to a broad spectrum of white Indiana residents.251 The Klan supported Prohibition and so-called “family values,” while breeding distrust for “all ‘outsiders’—Jews, Catholics, immigrants, and non-whites—as the source of America’s moral and financial problems.”252 Catholics and Jews, and to a lesser degree, blacks, were seen as the primary threats to society. Although lynching, abductions, murder, and physical violence were rare in the northern states, the Klan effectively utilized “social and economic intimidation, boycotts, slanderous propaganda and rumor, awesome spectacles, vigilante patrols, and […] the ballot box.”253 Historian Allen Safianow notes that “considerable evidence [suggests] that civic and social concerns” were significant in attracting members to Indiana’s Klan.254 However, the Klan’s rapid infiltration of the state was made possible by racist and nativist attitudes that already pervaded society, and the Klan deliberately “fed upon these racial, religious, and ethnic tensions.”255 Racism was undoubtedly an important part of the Klan’s agenda, and it found ample support in Indiana. The Klan was embraced in Indiana’s rural sundown 250 Moore, Citizen Klansmen, 2-3. 251 Madison, Hoosiers, 244-245. 252 Kathleen A. Foster, “Cultural Panel 10: Parks, the Circus, the Klan, the Press,” Thomas Hart Benton and the Indiana Murals, 72. 253 Richard K. Tucker, The Dragon and the Cross: The Rise and Fall of the Ku Klux Klan in Middle America, (Hamden, CT: Archon Books, 1991), 5-6. 254 Allen Safianow, Review of Citizen Klansmen: The Ku Klux Klan in Indiana, 1921-1928 by Leonard J. Moore. Indiana Magazine of History 88, no. 3 (September 1992), 242. 255 Allen Safianow, “‘You Can’t Burn History’: Getting Right with the Klan in Noblesville, Indiana,” Indiana Magazine of History 100, no. 2 (June 2004), 115. 66 towns, which excluded blacks entirely, and threatened any black person who stayed past sundown.256 And in urban areas like Indianapolis, the Klan worked to pass legislature that would implement segregation in neighborhoods and schools.257 The Klan soon became involved in Indiana politics and was strongly associated with the Republican Party.258 Klan backing helped numerous politicians win the 1924 elections, including Indiana’s Governor Ed Jackson, a good friend of charismatic Klan leader, D. C. Stephenson.259 These political victories led many to believe that Stephenson was, as he often claimed, “the law” in Indiana.260 But the Klan’s victory was short-lived. When Stephenson raped and mutilated clerical worker Madge Oberholtzer, leading to a second-degree murder conviction in 1925, Klan membership in Indiana rapidly declined, as did other Klan outposts in the north.261 Stephenson expected to receive a pardon from his friend, Governor Jackson, and when the pardon was not issued, Stephenson revealed the names of many Indiana politicians who had become embroiled in corrupt relations with the Klan, including 256 Chalmers, Hooded Americanism, 165. 257 Moore, Citizen Klansmen, 144-149. 258 Members of the Klan in northern and western states generally supported the Republican Party, while in southern states they generally leaned Democrat. However many Democrats were strongly anti-Klan, and the party voted against adopting an anti- Klan platform by a very narrow margin at the 1924 Democratic convention in New York. Southern Poverty Law Center, Ku Klux Klan, 22. 259 Madison, Hoosiers, 248. 260 Moore, Citizen Klansmen, 156. 261 Tucker, The Dragon and the Cross, 159. 67 bribery and illegal campaign donations.262 These allegations and Stephenson’s highly publicized trial lead to the demise of the Klan by the end of the decade.263 However, the racist attitudes of Indiana residents, which the Klan wholly supported, remained long after the Klan’s departure.264 Benton’s original inclusion of the scene in his mural was closely tied to the political leanings of the state and the “newly elected Democrats” who insisted the scene be included.265 The power of the Klan in Indiana politics was so great that the 1924 Indiana Republican Convention was likened to a Klan meeting, and Klansmen who were registered as Democrats voted for Klan-approved Republican candidates in the election. At the height of Klan power, most cities in Indiana were governed by Republicans. After the Klan’s political corruption was exposed and numerous notable Indiana Republicans were jailed for their involvement, political currents shifted radically. The Republican Party’s association with Klan corruption had tarnished its reputation, and Indiana’s 1929 municipal elections brought an anti-Klan Democrat majority into control of the state.266 Benton’s original inclusion of the scene in his mural was closely tied to the political leanings of the state. The Indiana Democrats’ insistence that Benton include the Klan in his murals was almost certainly motivated by the chance to criticize the Republican Party for its relationship with the Klan, and to remind viewers of the embarrassment it had 262 Tucker, The Dragon and the Cross, 162-165. 263 Madison, Hoosiers, 253. 264 Safianow, “You Can’t Burn History,” 141-142. 265 Benton, An Artist in America, 253. 266 Chalmers, Hooded Americanism, 170-174 68 caused. However, recent audiences have largely forgotten the political repercussions of the Klan’s corrupt business practices in the 1920s. The image of the Klan rally was the most controversial Benton scene for viewers in 1933, who would rather not have been reminded of the state’s shameful ties with the Klan’s political corruption, racism, and intimidation. Indiana’s embarrassment was still fresh, but the description accompanying the scene at the fair indicated that Indiana wanted to show it had moved on: “Her sister states scoffed at Indiana. Take notice, sisters, that Indiana put her house in order.”267 The composition reinforces this statement, as the majority of the scenes in the panel show “everyday heroics,” including a nurse, firefighters, the press, and forest preservation. This evidence of the state’s social progress contrasts with the sinister Klan rally relegated to the background.268 The hospital scene may appear ordinary to present-day viewers, but it would have been shocking for visitors to the fair in 1933, at which time there was an “expectation of segregation” in hospitals.269 This representation is the result of Benton’s visit to Indianapolis City Hospital, during his tour of the state.270 At the time, it was the “only viable hospital in the city that accepted black patients.”271 Even when the murals were installed at Indiana University, the image would have seemed out of the ordinary, 267 Chambers, Indiana: A Hoosier History, 42. 268 Justin Wolff, Thomas Hart Benton: A Life (New York: Farrar, Straus, and Giroux, 2012), 230-231. 269 Kathi Badertscher, “A New Wishard is on the Way,” Indiana Magazine of History 108, no. 4 (December 2012), 366. 270 Foster, “Cultural Panel 10,” 72. 271 Badertscher, “A New Wishard is on the Way,” 365. 69 because it was not until the 1950s that other hospitals in the region started to admit black patients.272 When Benton made his initial sketch at the hospital, his assistant is reported to have said that Benton “wants to make a strong statement for tolerance and against bigotry.”273 The position of the Klan rally right above the nurse and child links the two vignettes. The visual similarity between the nurse’s white uniform and cap and the white robes of the Klansmen behind her reinforces this relationship, and further emphasizes the figures’ opposing actions—the Klansmen burning a cross to provoke fear and the nurse reaching out to provide care equally to black and white patients. The church rising up beside the Klan rally has been described as a reference to the Klan’s foundation in Protestant Christianity.274 Brewer offers an alternative interpretation, given that it has been identified as a Roman Catholic church in Peru, Indiana. She proposes that the church’s inclusion signifies the Klan’s harassment of Catholic immigrants in the 1920s.275 In 1933, viewers would have understood the presence of the press in the foreground of this panel as related to the awarding a few years earlier of the Pulitzer Prize 272 Badertscher, “A New Wishard is on the Way,” 369. 273 Philip B. Reed, letter to the editor, “Indiana Alumni Magazine (March-April, 1991), 3-4, quoted in Foster, “Cultural Panel 10,” Thomas Hart Benton and the Indiana Murals, 79. 274 Foster, “Cultural Panel 10,” 72. 275 Brewer, “Hoosier Historian,” 158. 70 for Meritorious Public Service to the Indianapolis Times for its vital role in revealing the Klan’s corrupt involvement in Indiana politics.276 Thus Benton’s choice to include the Klan does not indicate approval, and the anti- Klan intent of the mural is much less apparent to those who have viewed the murals after the 1930s. Benton’s message in “Parks, the Circus, the Klan, the Press” was tailored to the experiences of his 1930s audience. The message has become obscured by the separation of the panel from the majority of the series, and by viewers’ temporal distance from the events depicted. Perception of the Ku Klux Klan has shifted over time. Contemporary memories of the Klan are shaped by events that transpired during the Klan’s revival in the civil rights era and afterward. “More than one thousand documented cases of racist terrorism, assaults, and murders [were] committed by Klansmen and their allies” between the years of 1956 and 1966 alone.277 The violence of the civil rights-era Klan harkened back to the Klan’s first appearance in the post-Civil War south, where it “exiled, flogged, mutilated, shot, stabbed, and hanged” in opposition to Reconstruction efforts.278 The Klan’s bloody revival continued until the mid-1960s, when FBI infiltration of the Klan’s upper ranks 276 Tucker, The Dragon and the Cross, 170. In 1926 the Indianapolis Times began publishing the series of articles “What Stephenson Could Tell,” covering Klan-related political corruption in Indiana, both state and local, including unreported campaign contributions and misuse of campaign funds, bribes to secure Klan-recommended appointments to various government boards and agencies, and numerous other instances of fraud and embezzlement. Tucker, The Dragon and the Cross, 161-170. 277 Tucker, The Dragon and the Cross, 187. 278 Chalmers, Hooded Americanism, 10. 71 significantly diminished Klan activity.279 The years following the civil rights movement saw an increased number of new white supremacist groups.280 The Ku Klux Klan experienced surges in membership at different times in the last few decades, but with no national leadership, it has fragmented into many conflicting factions.281 The Klan progressively became associated with numerous other violent white supremacist organizations, which, despite different titles and methods, “were inevitably fixed in the public mind as branches of the Ku Klux Klan.”282 The image of a Klan member dressed in white robes and hood remains “one of the most vivid and frightening in American history.”283 It is inextricably entwined in American memory with Reconstruction and civil rights era violence, when the group operated as “the most radical and dangerous bigots in American society.”284 Despite the Klan’s reduced power, threats of violence persist, and the Klan has come to symbolize the abuse and discrimination of the past, as well as the future struggles facing black Americans.285 It is no surprise then that the presence of this charged imagery in an Indiana University classroom offended students and prompted numerous complaints over the 279 Chalmers, Hooded Americanism, 432-434. 280 Southern Poverty Law Center, Ku Klux Klan, 40. 281 Tucker, The Dragon and the Cross, 192-194. 282 Tucker, The Dragon and the Cross, 193. 283 Moore, Citizen Klansmen, 1. 284 Moore, Citizen Klansmen, 1. 285 Chalmers, Hooded Americanism, 434. 72 years. The isolation of the panel from the rest of the sequence emphasizes the imagery in “Parks, the Circus, the Klan, the Press” in a different manner than its presentation in 1933. The placement of the panel much closer to the floor in Woodburn 100, just above students’ heads, also causes the Klan to appear larger than when the panel was situated ten feet off the ground at the fair and surrounded by other scenes (fig. 81). At the University, this lack of a broader narrative and visual context and the initial absence of didactic text (which had been part of its exhibition at the fair) have shaped viewers’ understanding of the panel. The message of Indiana’s social progress was not immediately evident to many students (and others), and the scene has been perceived at times as a glorification of the Klan and its activities. It was not until 1986 that placards explaining the original context and history of the panels were added in Woodburn 100, only after several black students met with Indiana University’s president to express concerns about the mural panel.286 These texts explained subtleties specific to the experiences of the original viewers, which are far removed from the common historical associations of modern audiences. The use of Woodburn 100 as a classroom is significant because students are required to attend class where this Klan image cannot be avoided. Unlike visitors to the Indiana pavilion, students cannot choose to steer clear of the mural. In 1989 members the university’s Black Student Union (BSU) expressed opposition to the mural’s presence in a classroom because it was “sparking racist attitudes,” despite the expository wall 286 “Cross Burning Mural Incites More Controversy,” Philadelphia Tribune, December 8, 1989, 7A. 73 label.287 This prompted discussion about relocating the panel to the Indiana University Art Museum or Indiana Memorial Union, which students felt would be more suitable given the mural’s sensitive content. An eleven-person task force investigated possible solutions, concluding that the most appropriate response was not to relocate the panel, an expensive option that could seriously damage the painting, but to provide more educational framing for the murals.288 The plan included a brochure, a presentation at the beginning of each semester for classes held in the room, a brief video on the mural’s history and message, and a workshop on dealing with racism for African-American students.289 Nonetheless, the piece continued to stir controversy. Perhaps the most heated protests arose in February of 2002, by which time most professors who taught in Woodburn 100 no longer consistently dedicated time at the beginning of the semester to a presentation on the mural and its history, including showing the video about the mural.290 As a part of Black History Month programming, Indiana University’s Black Student Union held a presentation and discussion in Woodburn Hall, which dealt with Benton’s 287 “Cross Burning Mural Incites More Controversy,” Philadelphia Tribune, December 8, 1989, 7A. 288 Teri Klassen, “KKK Mural Recommendation is Near,” Herald-Times (Bloomington, IN), March 27, 1990. 289 Teri Klassen, “Mural with KKK Figures to Stay in Classroom,” Herald-Times (Bloomington, IN), March 29, 1990. 290 George Lyle IV, “Campus Art Unsettles,” Indiana Daily Student (Bloomington, IN), February 13, 2002. 74 mural, as well as other issues on campus.291 The BSU’s program was part of a “plan to promote dialogue on the mural.”292 An intense discussion followed, with a panel of representatives from the IU Office of the Chancellor, the Racial Incidents Team (based in the Division of Student Affairs), and the Afro-American Studies department.293 The majority of students in attendance were unaware of the video about the mural.294 Indiana University’s student newspaper, the Indiana Daily Student, reported: “The primary grievance for the group is not that the painting is exhibited, but that it is currently exhibited out of context and in an improper place.”295 After hearing multiple complaints about the mural, the leaders of the Black Student Union at Indiana University launched a protest, suggesting that it be moved to the Indiana University Art Museum, or that the image be covered up during classes.296 The image held great potential to offend, given all that the Klan symbolized, but as Richard Howells maintains in his essay “Controversy, Art, and Power,” “controversies 291 Allison Stroud, “Activist Speaks; Programs Held,” Indiana Daily Student (Bloomington, IN), February 12, 2002. 292 Alex Hickey, “Complaints Filed by BSU About Mural,” Indiana Daily Student (Bloomington, IN), March 5, 2002. 293 George Lyle IV, “Campus Art Unsettles,” Indiana Daily Student (Bloomington, IN), February 13, 2002. The current name of the department is African American and African Diaspora Studies. 294 George Lyle IV, “Campus Art Unsettles,” Indiana Daily Student (Bloomington, IN), February 13, 2002. 295 Alex Hickey, “Complaints Filed by BSU About Mural,” Indiana Daily Student (Bloomington, IN), March 5, 2002. 296 Barb Berggoetz, “Students Pressing IU to Remove Mural That Includes Klan,” Indianapolis Star, March 9, 2002, B1. 75 in the arts need to be understood not as aesthetically sealed but as the dramatization of greater social, political, and cultural interests in dispute.”297 The conditions and events in viewers’ recent memory aggravated the already volatile situation, ultimately prompting students to react against the offending image. In 1995, citizens of Indiana were reminded of the Klan’s once powerful hold on their state when membership records were discovered in a barn among other Klan paraphernalia from the 1920s in Noblesville, Indiana.298 The findings forced the town to confront its past Klan involvement and face the reality that “its most respected citizens, its esteemed forefathers, embraced an organization which now is commonly regarded as an anathema.”299 A barrage of media attention followed the discovery, and the story made national news.300 By this time, the image of the Klan was associated in people’s minds with the spectrum of white supremacist groups. The event was also a reminder that the Ku Klux Klan and related groups were still active in the state, some with members at Indiana University. The Noblesville discovery dredged up memories of past fear and violence, and the possibility for future attack. The image in the mural of the Klan rally stimulated anxieties about the genuine threat of violence from white supremacist groups. On July 4th, 1999, (only two and a half years before the 2002 mural controversy), Benjamin Smith, a former Indiana University 297 Richard Howells, “Controversy, Art, and Power,” in Richard Howells, Andreea Deciu Ritivoi, and Judith Schachter, Outrage: Art, Controversy, and Society (New York: Palgrave Macmillan, 2012), 43. 298 Safianow, “You Can’t Burn History,” 109. 299 Safianow, “You Can’t Burn History,” 112. 300 Safianow, “You Can’t Burn History,” 110. 76 student and member of the white-supremacist group, World Church of the Creator, went on a killing spree across Illinois and Indiana.301 Among Smith’s victims was Won-Joon Yoon, a Korean graduate student at Indiana University, who Smith shot and killed.302 During his time as a student at Indiana University, Smith was known for distributing racist pamphlets and contributing to the Indiana Daily Student opinion pages.303 The tragic reality of this hate crime and the potential for future violence were still fresh in the minds of Indiana University students, who were concerned that a lack of university support for minority students fostered an increasingly hostile environment on campus. The BSU pointed to the example of Auburn University fraternity students’ blackface lynching costume in 2001 and worried that “readily available racist influences on the walls” at Indiana University could instigate comparable incidents.304 Circumstances like these exacerbated fears that this Klan image in a University classroom was inflammatory, and students reacted in protest. On March 4th, 2002, more than twenty-five students walked together from the Indiana Memorial Union to the Student Ethics and Harassment Programs building and filed complaints with the Racial Incidents Team about “Parks, the Circus, the Klan, the 301 John Kelly, “Smith Was Well-Known Racist at IU,” Herald-Times, (Bloomington, IN), July 4, 1999. 302 “Suspect in Racial Shootings Had a Troubled Past,” The Chronicle of Higher Education, July 16, 1999, A8. 303 “Suspect in Shooting Spree Well Known in Indiana College Town,” Las Vegas Review-Journal, July 5, 1999, 3A. 304 George Lyle IV, “Campus Art Unsettles,” Indiana Daily Student (Bloomington, IN), February 13, 2002. 77 Press.”305 At a meeting, over sixty students and administrators discussed the future of the mural panel, and Indiana University Chancellor Sharon Brehm announced that she would make a decision by March 25th.306 The BSU’s protest garnered media attention. In the weeks leading up to the decision, a number of news outlets weighed in on the mural and its fate. The Indiana Daily Student provided detailed coverage as events unfolded on campus. Media attention played a significant role in driving the controversy. As Howells points out, “The arts do not take place in an aesthetic vacuum. They are located within society as a whole. Therefore, to spark fully fledged controversies, they have to pass from the relatively self- contained world of art and into the heavily contested public sphere.”307 The location of Benton’s “Parks, the Circus, the Klan, the Press” in a university classroom gave it a broader and more “captive” audience, amplifying its opportunity to cause upset. Wider press involvement quickly moved the controversy onto a larger public platform, providing national engagement. Stories included the views of students, professors, and administrators on the mural’s role at the university and whether it should remain in the classroom. The Bloomington Herald Times featured opinions of community members in its “Hot Topic” segment on the mural, and several papers published editorials in favor of the mural staying in place, including the Indianapolis Star. The Star explained its official stance on the issue: “Administrators should deny [students’] request [to move the mural]. 305 Alex Hickey, “Complaints Filed by BSU About Mural,” Indiana Daily Student (Bloomington, IN), March 5, 2002. 306 Barb Berggoetz, “Students Pressing IU to Remove Mural That Includes Klan,” Indianapolis Star, March 9, 2002, B1. 307 Howells, “Controversy, Art, and Power,” 19. 78 A university is the last place where history and art should be censored because uncomfortable truths are exposed.”308 Some articles neglected to include a description or picture of the entire mural, highlighting and decontextualizing the potentially offensive Klan segment by divorcing it from other parts of the panel. One article in the Bloomington Herald-Times described “a mural depicting Indiana’s Klan history” that “includes a depiction of a Klan rally next to a church, complete with burning cross and waving American flag.”309 The panel’s other vignettes did not receive mention until halfway through the article. As the controversy developed, many publications referred to the panel as “the Klan mural.” While many articles accurately described the Klan scene in the mural, the intense concentration on this part of the panel sometimes resulted in reader confusion. More than one person who had never seen the mural believed it to be a twelve-foot tall painting of a Klan cross-burning. One reader expressed frustration with the paper’s inconsistency: “The first time it was shown in the paper […] It was so small. It’s been shown twice since then and the camera is so close to the KKK that it is enormous and looks like it takes up the whole wall.”310 Heated opinion pieces and letters to the editor continued to draw readers into the debate. As promised, Chancellor Brehm announced her decision on March 25th. In a public statement, Brehm explained her choice to keep the mural in place in Woodburn 308 “Mural Can Remind Us of Shameful Past,” Indianapolis Star, March 17, 2002, D2. 309 John Meunier, “Students, IU Seek Solution for Mural,” Herald-Times (Bloomington, IN), Feb 21, 2002. 310 S. Murphy, “Unbelievable,” Letters to the Editor, Herald-Times (Bloomington, IN), March 20, 2002. 79 100 and proposed a solution to “revise and refashion the educational program addressing the mural,” in conjunction with the BSU.311 The program Brehm outlined was similar to the one designed in 1990. It included the production of a new video, an educational brochure and email, and a mandatory class discussion about the mural at the beginning of each semester. Brehm also suggested that the plaque next to the mural include more information and that an additional plaque should be installed outside the classroom door. The second part of Brehm’s solution sought to address the larger issue of diversity on campus by allocating funds towards initiatives that promoted diversity. The One for Diversity Fund was established to commission and exhibit art that “will celebrate, recognize and memorialize the multicultural past and present of both Indiana and Indiana University.” At the time of the announcement, Brehm had secured $12,000 to start the fund. In an effort support a “stronger commitment to diversity on this campus, and increase diversity among our faculty, staff and students,” Brehm promised to designate $800,000 annually for four years to the Strategic Hiring Initiative to increase the number of minority and women faculty, and $450,000 annually, also for the next four years, to “enhance retention among […] minority and first generation college students.”312 A State of Diversity Address, to be given each fall, would evaluate the success of these efforts. Following Chancellor Brehm’s statement, the BSU organized a meeting to talk about the decision. Students had mixed responses to Brehm’s proposal. Some were pleased with the Chancellor’s commitment to campus diversity and surprised by the 311 Sharon Brehm, “Statement from Chancellor Brehm on Benton Mural,” IU Newsroom, Indiana University, March 25, 2002, http://newsinfo.iu.edu/news- archive/296.html. 312 Brehm, “Statement.” 80 extent of Brehm’s efforts.313 Others were disappointed that the mural would remain in the classroom. One student criticized the plan saying, “We know the history. We don’t have to relive it. It’s just like a spit in the face.”314 BSU members agreed that they would need to be vigilant in ensuring that the university followed through on its promises.315 Brehm’s decision brought about another burst of news coverage, with headlines such as “Klan Mural to Stay at IU,” and editorials supporting or opposing the decision. Most publications ultimately favored the mural remaining in its place, and the university did its best to counter negative press. The Chronicle of Higher Education published a brief but scathing report in its “Sense and Censorship” feature, which began, “The Ku Klux Klan still has a presence at Indiana University at Bloomington, and that’s OK with the chancellor.”316 The highly critical article went so far as to include a statement of support from an officer in the American Knights of the KKK. In a letter responding to the article, the Indiana University Faculty Council Agenda Committee called the report “a disservice to the university and to [the Chronicle’s] readers,” and chastised the publication for is dishonesty in implying that Indiana University was in agreement with 313 John Meunier, “Brehm: Murals will remain in Woodburn,” Herald-Times (Bloomington, IN), March 25, 2002. 314 Barb Berggoetz, “IU Officials Say Ku Klux Klan Mural Will Stay,” Indianapolis Star, March 26, 2002, C1. 315 George Lyle IV, “Mural to Stay Put,” Indiana Daily Student (Bloomington, IN), July 25, 2002. 316 Richard Morgan, “Sense and Censorship,” Chronicle of Higher Education, April 12, 2002, A6. 81 the Klan.317 The Chronicle published the response in the following month’s “Letters to the Editor” segment, but the article surely damaged the university’s reputation. The mural’s presence in an educational institution brings to light the tension between the university’s objectives and its responsibility towards its students. Howells explains, “Controversies in the arts are rarely only about the arts. Works of art are not inherently controversial. What we see at work is more typically a power dynamic being played out by interested parties.”318 The university must consider its reputation and profile when it comes to the attitudes toward minority groups, student organizations, and the larger issue of diversity. However, as a place for free exchange of ideas and critical debate, the classroom might be the ideal setting for such tough discussions. Brehm made it clear in her statement that she felt it was necessary to honor both the university’s “commitment to diversity” and its “commitment to freedom of expression,” pointing out Benton’s unwavering dedication to addressing both these issues in his work.319 As one of the most valuable works of art at Indiana University, and an important part of the university’s history, the school did not wish to risk damaging or censoring the panel. The university had recently completed a six-month, half-million dollar conservation of the panels in the University Auditorium in 1998. The massive project received funds from the Indiana University Foundation, private donors, and conservation 317 Julie Bobay, Dan Drew, Bob Eno, Ann Gellis, Laura Ginger, and Sarita Soni. “Letters to the Editor: Controversial Mural at Indiana U,” The Chronicle of Higher Education, May 24, 2002, B16. 318 Howells, “Controversy, Art, and Power,” 19. 319 Brehm, “Statement.” 82 grants from the Getty Foundation and the National Endowment for the Arts.320 Risking damage to the panel by moving it would contradict the university’s dedication to preserving the murals, and censoring the panel would conflict with the university’s responsibility to support freedom of artistic expression.321 However, student concerns about a hostile environment if the mural remained in the classroom would also harm the university’s reputation. The university’s response attempted to satisfy those who objected to the mural in a way that did not require relocating the panel. The BSU acted according to its own set of objectives. Protest against the mural was a key component of the BSU’s larger mission, which involved advocating for more diversity in the university faculty and student population, and securing more funds and hosting events for black groups on campus. The BSU argued that even though the mural depicts an important part of Indiana history, it promotes racist attitudes and has no place in the classroom.322 BSU president Marshawn Wolley wrote an article for the Indiana Daily Student explaining the reasons for the BSU’s protest of the mural. He confirmed 320 Contompasis, “Physical History,” 115. 321 However, panels from the Benton murals have been moved successfully. In 2009, the panels in the University Theatre building were moved to the IU Art Museum’s painting conservation laboratory for restoration while the Theatre building underwent renovations to become the IU Cinema. Prior to the move, conservators from the Indianapolis Museum of Art were hired to stabilize flaking paint in order to minimize damage. The issue of relocating “Parks, the Circus, the Klan, the Press” may have more to do with the logistics of removing the panels from Woodburn Hall than with the risk of damage, as conservator Margaret Contompasis explained it would be necessary to “remove part of the building to get [the Woodburn panels] out.” The Woodburn panels remained in Woodburn 100 when they were restored in 2010. Nicole Brooks, “Historic Benton Murals Being Restored,” Herald-Times (Bloomington, IN), August 9, 2009. 322 “IU Students Press for Removing Mural Depicting Klan Rally Work is by Famous Artist Benton,” Journal-Gazette (Fort Wayne, IN), March 10, 2002, 4C. 83 that the goal of the protest was “to promote discussion on the nature of IU’s commitment to diversity.”323 Wolley raised the question: “With pictures of the Klan in a classroom, […] and a lack of diversity throughout all facets of the University, can anyone wonder why prospective minority students are concerned about attending IU?”324 Carolyn Randolph, political action vice chair of the BSU, explained the campaign against the mural: “We need a small victory, or a victory that is tangible for students to see.”325 After the mural decision, political action chair Shannon Walden added, “We used the mural as a small starting point to excite people and to make sure they understand the lack of diversity on campus. I think we did that.”326 In her response to the protest, Brehm made an extensive effort to involve the BSU in the new programs. This showed students that the university acknowledged their concerns and wanted students’ input in addressing them. At the beginning of her statement Brehm thanked the members of the BSU “who have so eloquently expressed their concerns in our meetings.” Brehm commended the students for drawing attention to an important campus issue, and Brehm’s proposed initiatives appear to respond directly to the BSU’s main point of contention, the university’s lack of support for minorities. Brehm sought the BSU’s collaboration in each step of the solution, including the 323 Marshawn Wolley, “Murals Still Insulting as Ever,” Indiana Daily Student (Bloomington, IN), March 21, 2002. 324 Marshawn Wolley, “Murals Still Insulting as Ever,” Indiana Daily Student (Bloomington, IN), March 21, 2002. 325 Barb Berggoetz, “Students Pressing IU to Remove Mural That Includes Klan,” Indianapolis Star, March 9, 2002, B1. 326 Barb Berggoetz, “IU Officials Say Ku Klux Klan Mural Will Stay,” Indianapolis Star, March 26, 2002, C1. 84 production of the video and educational materials, and the appointment of co-chairs for the committee of the One for Diversity Fund. Although Brehm argued that it was essential that the mural remain in place in Woodburn 100, her commitment, backed by resources for new multicultural art and a more diverse faculty and student body, seemed to satisfy the BSU. Wolley said the group was happy with the chancellor’s plans to promote diversity, but “as long as the mural is in the classroom, we will never be satisfied.”327 Despite the BSU’s stated resolve to continue pursuing the issue, most students seemed to accept the university’s solution. The BSU took no further action and, without the constant fuel of the press, the controversy died down within a few months. Charlie Nelms, Vice President for Student Development and Diversity at Indiana University, was optimistic about the future of the panel: “When Indiana University becomes a truly diverse place, the Benton mural will no longer be a distraction, but instead will be one component of a campus that is enveloped in diversity.”328 Nelms commended the BSU’s desire for increased conversation about race and diversity on campus, and cited the resulting initiatives as evidence of their success.329 The mural received some news attention in 2003 as the one-year anniversary of the mural decision approached and Chancellor Brehm gave the annual state of diversity address. The address, originally intended to be held in the fall semester, was postponed to 327 Nick Riddle, “Black Students Protest Benton Mural,” ArtNews, May 2002, 56. 328 Charlie Nelms, “Expression, Diversity at Core of Mural Issue,” South Bend Tribune, April, 2, 2002. 329 Charlie Nelms, “Expression, Diversity at Core of Mural Issue,” South Bend Tribune, April, 2, 2002. 85 allow time for more research.330 Brehm’s talk focused on statistical trends in campus diversity over the past decade. The data indicated that the University fell behind in recruiting minority students, but retention of minority students had increased. Brehm believed that the statistics showed positive developments, but she stressed that “we must not reduce our efforts.”331 Gerald Mitchell, BSU President, was not as enthusiastic about the university’s efforts, stating that that the One For Diversity initiative for multicultural art on campus was a poor use of funds, which he believed should be concentrated on increasing retention rates.332 Following the speech, the IU Coalition of Black Student Organizations and Programs expressed their dissatisfaction with campus diversity and distributed a list of issues.333 Randolph stated, “the term ‘diversity’ has become a cliché on this campus.”334 Brehm agreed to meet with the students to discuss their concerns.335 The BSU remained disappointed with the university’s actions in regard to the mural 330 Adam Aasen, “Brehm to Give Diversity Update” Indiana Daily Student (Bloomington, IN), March 11, 2003. 331 Steve Hinnefeld, “Brehm Cites Strides in IU’s Diversity, Says Campus Can Do More” Herald-Times (Bloomington, IN), March 12, 2003. 332 Cathy Kightlinger, “IU Sees Progress Towards Diversity: Chancellor Says There’s More Work to Do; Some Critics Question University’s Priorities,” Indianapolis Star, March 12, 2003, B1. 333 Adam Aasen and Alyson Brodsy, “Brehm Addresses Diversity” Indiana Daily Student (Bloomington, IN), March 12, 2003. 334 Cathy Kightlinger, “IU Sees Progress Towards Diversity: Chancellor Says There’s More Work to Do; Some Critics Question University’s Priorities,” Indianapolis Star, March 12, 2003, B1. 335 Cathy Kightlinger, “IU Sees Progress Towards Diversity: Chancellor Says There’s More Work to Do; Some Critics Question University’s Priorities,” Indianapolis Star, March 12, 2003, B1. 86 controversy, and although the topic made occasional appearances in the Indiana Daily Student, the BSU did not organize any notable protests against the mural. The mural dispute was briefly renewed in 2005, following a visit by 2004 presidential candidate Reverend Al Sharpton, who gave a lecture at the Indiana University Auditorium. A student raised the issue of the mural during a question and answer session following Sharpton’s speech. After walking to Woodburn Hall to see the offending panel, Sharpton pledged that he would do whatever he could to have the mural removed from the classroom and placed in a museum, asserting that the suffering he and others were subjected to during the struggle for civil rights “was not art. That was fact.”336 The involvement of a well-known public figure in the issue briefly renewed media interest, and Indiana University President Adam Herbert made the following statement regarding the mural’s place in the classroom: “As a black man who lived through the segregated realities of the South, I think it is important that there be a reminder of what we had to live through: the pain, the suffering, the fear.”337 Although Sharpton and Herbert’s responses were both based on their experiences of oppression, they came to opposite conclusions. Herbert argued that that mural should remain in the classroom. He stressed that students need to remember the wrongs of the past, and he likened the mural to the Jewish community’s dedication to establishing Holocaust 336 Michael Zennie, “Sharpton Views Benton Mural,” Indiana Daily Student (Bloomington, IN), May 12, 2005. 337 “Editorial: Don’t Move Mural,” Journal Gazette (Fort Wayne, IN), May 14, 2005, 8A. 87 museums to ensure that its past was not forgotten.338 During the 2002 controversy, the importance of “memorializing” a shameful history was a principal reason cited to keep the mural in the classroom. In its statement on the mural issue, the Indianapolis Star contended, “A university is the last place where history and art should be censored because uncomfortable truths are exposed. […] It’s an ugly history, painful for people of all races today. But it’s a part of Indiana’s past that must never be forgotten.”339 These assertions suggest that despite significant passage of time since its creation, the panel still challenges viewers to consider the “usable past.” The symbolism of the Klan image in the mural may have expanded in viewers’ memories to include later Klan revivals and other white supremacist groups, but the value of remembering difficult historical truths stands as a lasting message of the mural. Benton’s inclusion of the Klan functioned as a foil and as a warning against the threat the Klan might pose to the “just civic sphere” depicted in the other scenes of the panel.340 In his autobiography, Benton was critical of the Klan’s role in the violence and unrest following the first world war, stating: “The Ku Klux Klan with its anti-Negro, anti-Jew, and anti- Catholic platform stalked, white-robed and sinister, over the land.”341 Not all are satisfied by the university’s educational approach as an acceptable solution to the issue. The very presence of the image in the classroom remains offensive to some, regardless of the 338 “IU President Says Controversial Mural Should Remain in Classroom,” Herald-Times (Bloomington, IN), May 12, 2005. 339 “Mural Can Remind Us of Shameful Past,” Indianapolis Star, March 17, 2002, D2. 340 Doss, “Action, Agency, Affect,” 135. 341 Benton, An American in Art, 158. 88 artist’s original intention. Indiana University has been diligent in continuing its educational efforts regarding the mural since the 2002 controversy. The university appears to have adopted a preemptive strategy to deal with potential concerns about the panel. After “Parks, the Circus, the Klan, the Press” underwent conservation in 2010, the campus Commission on Multicultural Understanding installed an educational display outside Woodburn 100 (fig. 82). Included in the display’s content is a miniature panorama of Benton’s entire Indiana mural sequence and a segment devoted to the Woodburn 100 controversy.342 While there have been no significant protests of “Parks, the Circus, the Klan, the Press” in recent years, the potential for conflict remains, and future circumstances could establish an environment ripe for another dispute in the coming years. 342 “Display at IU’s Woodburn Hall to Inform Students, Public About Benton Murals,” IU Newsroom, Indiana University, February 15, 2011. http://newsinfo.iu.edu/news-archive/17398.html 89 CONCLUSION From their unveiling at the Century of Progress exposition in 1933, to their current home at Indiana University, Thomas Hart Benton’s Indiana murals have not failed to leave an impression on those who see them. The relocation of the murals to IU and the resultant restructuring of their historical narrative have altered perceptions of their imagery and attributed new meanings to the historical scenes Benton depicted. While most scholarship has focused on the original message and context of the Indiana murals, the murals’ nearly seventy-five year display at IU necessitates a more thorough analysis of the murals at the university, with specific attention to the contextual changes since the time of the fair. The Indiana murals were tailored for a Depression-era audience to align with the fair’s message of progress. The circumstances from which viewers approached the murals at the fair are foreign to most of today’s viewers over eighty years later. The understood significance of the events contemporary to the 1933 audience, as well as the more distant historical scenes, has shifted with time. Perception of the murals has changed alongside developments in historiography, and viewers have started to question the lack of diverse perspectives in the narrative of progress and westward expansion. The message of a usable past—that the spirit of progress and perseverance found in Indiana’s hard-working ancestors would bring viewers through the Depression and into a better future—was further obscured by changes in the scenes’ order and separation into different buildings. In their arrangement at IU, the murals no longer accomplish their original purpose of guiding viewers chronologically through the progress of history and into the future. 90 The ways in which viewer reception of the murals is shaped by contextual shifts and developments in collective memory is especially apparent in the controversy over “Parks, the Circus, the Klan, the Press” in Woodburn Hall. The details of the controversy as it developed from the late 1980s and eventually led to the 2002 protest, reveal that the placement of the panel in a classroom, separate from the majority of the series, and changes in collective memory of the Ku Klux Klan acted as catalysts in the Black Student Union’s decision to protest the work’s current location. This case study benefits other studies of art controversies in educational institutions by demonstrating the function of collective memory in viewers’ reception of potentially controversial art. The attention the protest drew to “Parks, the Circus, the Klan, the Press” has made the panel famous as a standalone work, and it has prompted more educational efforts concerning the specific events this mural depicts than any other panel in the mural cycle. In his autobiography, Benton acknowledged the realities of living in a rapidly changing society: “Today the meanings of people in one generation are often barely comprehensible to those of the next, because the situations which produced them have changed so radically.”343 Benton’s observations hold true in the case of the Indiana murals. However, Benton also recognized the ability of historical art to act as a “regenerative force,” capable of resurrecting “forgotten meanings.”344 The murals have allowed for a better understanding of the historical moment for which they were made, and in their situation at IU they facilitate the formation of new and relevant meanings for viewers in the present. The arrangement at the university also emphasizes different 343 Benton, An American in Art, 50. 344 Benton, An American in Art, 51. 91 scenes and invites new comparisons between panels. The findings in this paper can be considered a starting point for further analysis and discussion of the murals with attention to their location and presentation at IU. There is opportunity for a more thorough comparison of the formal arrangements at the two locations, as well as for the various new thematic relationships implied by the visual parallelism in the arrangement at IU. While still inspiring viewers with their depiction of ordinary people as history makers and nation-builders, the murals also now remind people of IU’s commitment to its artistic heritage. The murals provide opportunities for education about the history of the state and the university. In particular, the murals have become integrated into the history of IU as part of the legacy of one of the university’s most influential and esteemed presidents, Herman B Wells. Credited with bringing the murals to IU’s Bloomington campus, Wells was essential to the development of IU’s fine arts program. The Indiana murals have achieved iconic status at the university, as a vital component of the IU Fine Arts Plaza and a campus treasure, as well as their ability to incite controversy. As they are confronted with Benton’s historical construction, viewers are forced to contend with their own historical memories, revealing the ways in which current values contribute to the construction of historical narratives. Viewers’ reactions to the murals depend a great deal on the degree to which their own historical narratives are in agreement with their interpretation of the one presented to them. Benton knew the Indiana murals would cause mixed reactions by those who saw them, and given their highly visible locations outside the art museum, it is likely that they will be a point of controversy again in the future. 92 BIBLIOGRAPHY Aasen, Adam. “Brehm to Give Diversity Update.” Indiana Daily Student (Bloomington, IN), March 11, 2003. 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Southern Poverty Law Center, Ku Klux Klan: A History of Racism and Violence. Montgomery, AL: Southern Poverty Law Center, 2011. Stroud, Allison “Activist Speaks; Programs Held.” Indiana Daily Student (Bloomington, IN), February 12, 2002. Thornbrough, Emma Lou. “Segregation in Indiana during the Klan Era of the 1920s.” The Mississippi Valley Historical Review 47, no. 4 (1961): 594-618. Tucker, Richard K. The Dragon and the Cross: The Rise and Fall of the Ku Klux Klan in Middle America. Hamden, CT: Archon Books, 1991. Weintraub, Linda. ed. Thomas Hart Benton: Chronicler of America’s Folk Heritage. Annandale-on-Hudson, New York: Blum Art Institute, Bard College, 1984. Welk, Brian. “IU Cinema Debuts New Facility with State-of-the-Art Technology.” Indiana Daily Student, Nov 10, 2010. Whitman, Walt. “To A Locomotive in Winter.” In Leaves of Grass: First and "Death- Bed" Editions : Additional Poems, edited by Karen Karbiener, 603-604. New York: Barnes and Noble Books, 2004. Wolff, Justin P. Thomas Hart Benton: A Life. New York: Farrar, Straus and Giroux, 2012. Wolley, Marshawn. “Murals Still Insulting as Ever.” Indiana Daily Student (Bloomington, IN), March 21, 2002. Zennie, Michael. “Sharpton Views Benton Mural.” Indiana Daily Student (Bloomington, IN), May 12, 2005. 103 FIGURES Figure 1. Thomas Hart Benton, “City Activities with Subway,” from America Today (1930–1931), mural cycle consisting of ten panels, Metropolitan Museum of Art, New York, New York Figure 2. Thomas Hart Benton, “Arts of the City,” from The Arts of Life in America (1932), New Britain Museum of Art, New Britain, Connecticut 104 Figure 3. Thomas Hart Benton, Bubbles (1914-1917), oil on canvas, Baltimore Museum of Art, Baltimore, Maryland Figure 4. Jose Clemente Orozco, Epic of American Civilization (1932-1934), fresco, Baker-Berry Library, Dartmouth College, Hanover, New Hampshire 105 Figure 5. Diego Rivera, Agrarian Leader Zapata (1931), fresco on reinforced cement in galvanized-steel framework, Museum of Modern Art, New York, New York 6. Pierre Puvis de Chavannes, The Muses of Inspiration Hail the Spirit, the Messenger of Light (c.1893-1896), oil on canvas, Boston Public Library, Boston, Massachusetts 106 Figure 7. Map of the 1933 Fair showing location of the Court of States, indicated by blue box. Official Guide Book of the Fair: 1933 (Chicago: Century of Progress, 1933) Figure 8. View of Hall of States and Federal Building, showing location of Indiana pavilion, Chicago World’s Fair (1933), postcard courtesy of ChicagoPostcardMuseum.org 107 Figure 9. Indiana Hall interior facing west, towards entrance, (1933), photograph, Wallace Richards Papers, Archives of American Art, Smithsonian Institution Figure 10. Cover of Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton, (1933), by David Laurance Chambers 108 Figure 11. Thomas Hart Benton, “Palisades,” from The American Historical Epic: First Chapter (1919-24), Nelson-Atkins Museum of Art, Kansas City, Missouri Figure 12. Indiana Hall interior, facing east, towards exit (1933), indicating parallel Cultural and Industrial cycles, photograph, Wallace Richards Papers, Archives of American Art, Smithsonian Institution 109 Figure 13. Thomas Hart Benton, “The Indians” (Industrial 1), from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana Figure14. Thomas Hart Benton, “The Fur Traders” and “Pioneers” (Industrial 2 and 3), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 110 Figure 15. Thomas Hart Benton, “Home Industry” and “Internal Improvements” (Industrial 4 and 5), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 16. Thomas Hart Benton, “Civil War” and “Expansion” (Industrial 6 and 7), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 111 Figure 17. Thomas Hart Benton, “The Farmer Up and Down” and “Coal, Gas, Oil, and Brick” (Industrial 8 and 9), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 18. Thomas Hart Benton, “Electric Power, Motor Cars, Steel” (Industrial 10), from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana 112 Figure 19. Thomas Hart Benton, “The Mound Builders” (Cultural 1), from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana Figure 20. Thomas Hart Benton, “The French” and “Frontier Life” (Cultural 2 and 3), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 113 Figure 21. Thomas Hart Benton, “Early Schools…Communities” and “Reformers and Squatters” (Cultural 4 and 5), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 22. Thomas Hart Benton, “The Old-Time Doctor and the Grange” and “Woman’s Place” (Cultural 6 and 7), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 114 Figure 23. Thomas Hart Benton, “Leisure and Literature” and “Colleges and City Life” (Cultural 8 and 9), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 24. Thomas Hart Benton, “Parks, the Circus, the Klan, the Press” (Cultural 10), from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana 115 Figure 25. Thomas Hart Benton, “Indiana Puts Her Trust in Thought” (Cultural 11), from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana. Black and white segment whereabouts unknown. Figure 26. Thomas Hart Benton, “Indiana Puts Her Trust in Work” (Industrial 11), from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana. Black and white segment whereabouts unknown. 116 Figure 27. Thomas Hart Benton, “Indiana Puts Her Trust in Work” (Industrial 11), detail, from the Indiana Murals (1933), whereabouts unknown Figure 28. Thomas Hart Benton, “Indiana Puts Her Trust in Thought” (Cultural 11), detail, from the Indiana Murals (1933), IU Cinema, Indiana University, Bloomington, Indiana 117 Figure 29. Indiana Hall interior, indicating location of the Civil War in the Industrial (left) and Cultural (right) panel cycles. Photograph, Wallace Richards Papers, Archives of American Art, Smithsonian Institution Figure 30. Thomas Hart Benton, Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 118 Figure 31. Weimer Pursell, Wings of a Century, Romance of Transportation (1933-4), poster for 1933 Century of Progress Exposition Figure 32. Thomas Hart Benton, “Parks, the Circus, the Klan, the Press,” detail, from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana 119 Figure 33. Thomas Hart Benton, “Home Industry,” detail, from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 34. Thomas Hart Benton, detail from “Coal, Gas, Oil, and Brick,” detail, from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 120 Figure 35. Thomas Hart Benton, “Indiana Puts Her Trust in Thought,” detail showing likeness of Governor Paul McNutt, from the Indiana Murals (1933), whereabouts unknown Figure 36. Thomas Hart Benton, “Parks, the Circus, the Klan, the Press,” detail, from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana 121 Figure 37. Time magazine cover featuring Thomas Hart Benton, (December 1934) Figure 38. Diagram of IU Auditorium indicating location of the “Hall of Murals” 122 Figure 39. “Hall of Murals” in the IU Auditorium, Indiana University, Bloomington, Indiana Figure 40. Open space on west wall, Hall of Murals, IU Auditorium, Indiana University, Bloomington, Indiana 123 Figure 41. IU Cinema, previously the University Theatre, Indiana University, Bloomington, Indiana Figure 42. Woodburn Hall, room 100, Indiana University, Bloomington, Indiana 124 Figure 43. “Indiana Puts Her Trust in Work” (left) and “Indiana Puts Her Trust in Thought” (right), arranged as originally displayed to frame the Indiana pavilion exit at the Century of Progress exposition. Black and white segments in center missing from current arrangement. Figure 44. Hall of Murals, facing northeast corner, IU Auditorium, Bloomington, Indiana 125 Figure 45. Hall of Murals, east wall, “The French” and “Frontier Life” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 46. Hall of Murals, east wall, “Early Schools…Communities” and “Reformers and Squatters” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 126 Figure 47. Hall of Murals, east wall, “The Old-Time Doctor and the Grange” and “Woman’s Place” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 48. Hall of Murals, north wall, “Leisure and Literature” and “Colleges and City Life” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 127 Figure 49. Hall of Murals, south wall, “The Fur Traders” and “Pioneers” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 50. Hall of Murals, west wall, “Home Industry,” “Internal Improvements,” and “Civil War” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 128 Figure 51. Hall of Murals, west wall, “Expansion,” “The Farmer Up and Down,” and “Coal, Gas, Oil, Brick” from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 52. Diagram showing arrangement of panels in the Hall of Murals. “C” indicates the Cultural sequence, and “I” indicates the Industrial sequence. 129 Figure 53. Diagram indicating location of the examples of visual parallelism mentioned in the text Figure 54. Diagram of Hall of Murals with arrows indicating direction of most foot traffic 130 Figure 55. Location of plaque on south staircase, Hall of Murals, IU Auditorium, Indiana University, Bloomington, Indiana Figure 56. Hall of Murals, southeast corner, IU Auditorium, Indiana University, Bloomington, Indiana 131 Figure 57. Diagram of Hall of Murals with arrows indicating panels originally displayed directly across from one another at the Indiana Pavilion. The Civil War is depicted in scene 6 of each sequence. Figure 58. Hall of Murals, east wall, “Early Schools…Communities” (Cultural 4) from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 132 Figure 59. Charles J. Mulligan, The Rail-splitter (1911), cast bronze, Garfield Park, Chicago, Illinois Figure 60. Thomas Hart Benton, “Home Industry” (Industrial 4), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 133 Figure 61. Thomas Hart Benton, “Civil War” (Industrial 6), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 62. Thomas Hart Benton, “Internal Improvements” (Industrial 5), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 134 Figure 63. Thomas Hart Benton, “Expansion” (Industrial 7), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 135 Figure 64. Thomas Hart Benton, “Indiana Puts Her Trust in Work” (Industrial 11), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 136 Figure 65. “Expansion” (Industrial 7) on the cover of Indiana: A Hoosier History; Based on the Mural Paintings of Thomas Hart Benton by David Laurance Chambers Figure 66. Photograph of Union Pacific’s M-10000 and Burlington’s Zephyr at Kansas City Union Station (c. late 1930s), Union Pacific Railroad Museum, Council Bluffs, Iowa 137 Figure 67. Thomas Hart Benton “Internal Improvements” (Industrial 5), detail, from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana Figure 68. “Leisure and Literature” and “Colleges and City Life” (Cultural 8 and 9), from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 138 Figure 69. “Leisure and Literature” and “Colleges and City Life” (Cultural 8 and 9) on the cover of Thomas Hart Benton and the Indiana Murals by Kathleen A. Foster, Nanette Esseck Brewer, and Margaret Contompasis Figure 70. “Literature and Leisure” (Cultural 8), detail, from the Indiana Murals (1933), IU Auditorium, Indiana University, Bloomington, Indiana 139 Figure 71. Diagram indicating location of Indiana University Theatre/Cinema in relation to IU Auditorium and Lee Norvelle Theatre and Drama Center Figure 72. Interior of Indiana University Theatre from stage (1942), photograph, Gottscho-Schleisner Collection, Library of Congress 140 Figure 73. Interior of IU Cinema, facing stage, Indiana University, Bloomington, Indiana Figure 74. Thomas Hart Benton, “The Mound Builders,” from the Indiana Murals (1933), left of screen in IU Cinema, Indiana University, Bloomington, Indiana 141 Figure 75. Thomas Hart Benton, “The Indians” from the Indiana Murals (1933), right of screen in IU Cinema, Indiana University, Bloomington, Indiana Figure 76. IU Cinema, view from stage, with “Indiana Puts Her Trust in Work” (left) and “Indiana Puts Her Trust in Thought” (right), Indiana University, Bloomington, Indiana 142 Figure 77. Thomas Hart Benton, “Indiana Puts Her Trust in Thought,” detail of missing segment, from the Indiana Murals (1933) Figure 78. Thomas Hart Benton, “Indiana Puts Her Trust in Thought,” from the Indiana Murals (1933), shown as displayed at Indiana University, Bloomington, Indiana 143 Figure 79. Thomas Hart Benton, detail of “Parks, the Circus, the Klan, the Press” showing Klan rally, from the Indiana Murals (1933), Woodburn Hall, Indiana University, Bloomington, Indiana Figure 80. Woodburn Hall, room100, with “Parks, the Circus, the Klan, the Press” (left) and “Electric Power, Motor Cars, Steel” (right), Indiana University, Bloomington, 144 Figure 81. Placement of “Parks, the Circus, the Klan, the Press,” in Woodburn Hall room 100, Indiana University, Bloomington, Indiana 145 Figure 82. Educational display outside Woodburn Hall room 100, Indiana University, Bloomington, Indiana 
work_kwvb3tmemfgulgue2q5thbtjq4	----	“ACCORDING TO THE CUSTOM OF THE COUNTRY”: INDIAN MARRIAGE, PROPERTY RIGHTS, AND LEGAL TESTIMONY IN THE JURISDICTIONAL FORMATION OF INDIANA SETTLER SOCIETY, 1717-1897 Ryan T. Schwier Submitted to the faculty of the University Graduate School in partial fulfillment of the requirements for the degree Master of Arts in the Department of History, Indiana University December 2011 ii   Accepted by the Faculty of Indiana University, in partial fulfillment of the requirements for the degree of Master of Arts. ______________________________________ Elizabeth Brand Monroe, Ph.D., J.D., Chair ______________________________________ David J. Bodenhamer, Ph.D. Master’s Thesis Committee ______________________________________ Gerard N. Magliocca, J.D. iii   © 2011 Ryan T. Schwier ALL RIGHTS RESERVED iv   For Mom, whose commitment to the Golden Rule had a profound impact on my own moral philosophy. v   Acknowledgments This work would not have been possible without the support and encouragement of family, friends, academic advisors, and professional colleagues. First and foremost, I am indebted to my wife Sandra and son Emilio, both of whom sacrificed considerable time and energy in order for me to complete my graduate studies. Without them, I would not have had the clear sense of direction and accomplishment that I have today. Professor Elizabeth Brand Monroe deserves extended commendation for her tireless efforts in reviewing hundreds of pages of drafts. She’s seen this thesis at its worst and at its best and has never refrained from commenting accordingly. Her ability to combine praise with constructive criticism is a quality found only among the most effective of professors and academic advisors. I am also grateful to Professors David Bodenhamer and Gerard Magliocca for their invaluable comments and scholarly insight on the final draft of this thesis. It was a privilege to have written under the direction of such an outstanding committee of legal history scholars. I wish to extend additional thanks to my colleagues at the Ruth Lilly Law Library for contributing to my professional development and to Frank Emmert, Javier Esguevillas, Cemal Yildiz, and Dragomir Cosanici for their friendship and faith in my academic pursuits. vi   A Note on Terms and Definitions Formal definitions elude the historian. Not only do words and ideas shift in meaning over time, but interpretations and representations of the past entail diverse perspectives as well. Rather than prescribe specific terms, definitions, and concepts here, I elaborate upon their meaning in further detail as this study unfolds. However, because my thesis addresses historical issues involving ethnicity and cultural identity, I use this introductory opportunity to clarify related terms and concepts. Throughout this study I rely on descriptors such as “Native American,” “American Indian,” “tribal,” and “Indigenous,” interchangeably, largely for purposes of narrative style. By employing this lexicon, I recognize not only its colonial derivation and Euro- centric etymology but also the potential danger that broad application poses in obscuring an otherwise rich cultural diversity of Native peoples and polities. Tribes such as the Miami, Shawnee, Delaware, Illini, Potawatomi, Wyandot, Wea, Kickapoo, Piankeshaw, and Anishinaabe, to name only a few, formed extensive village networks throughout today’s midwest region, embodying a plurality of languages, traditions, laws and customs, systems of government, and kinship structures.1 Terminology used to describe peoples of European descent becomes no less difficult to articulate. The flood of settlers that populated the trans-Appalachian west following the War of Independence represented a diversity of English, German, Irish, and American-born cultures. Adding yet another complex layer to this cultural mosaic, Indian-settler relations led to significant shifts in the ethnic composition of the region’s social topography.                                                              1 For a general reference guide on the history and pre-history of Indigenous peoples in Indiana, see Gail Hamlin-Wilson, ed., Encyclopedia of Indiana Indians: Tribes, Nations and People of the Woodlands Areas, 2 vols., St. Clair Shores, Mich.: Somerset, 1998. vii   This mixing and blurring of cultural boundaries undermines the common assumption that the world is historically composed of distinct racial or ethnic communities. This worldview, according to Brian Slattery’s “theory of national segmentation,” holds that “humanity is naturally divided into a host of ‘national,’ ‘ethnic,’ or ‘tribal’ groups,” each of which occupies a distinct territory or community and forms, independent of the other, “a more or less uniform whole, united by such factors as ancestry, historical experience, physical characteristics, culture, language, religion, laws, customs, and social and political structures.”2 While these facets—characterizing our ethnic or cultural “roots” so to speak—provide us with a modern sense of identity and belonging, they have never evolved in complete isolation from each other. With this context in mind, terms of generalization remain necessary for purposes of ethnic or cultural distinction, comparison, analysis, and descriptive simplicity. However, by referring specifically to tribes and individuals by name, this study seeks to create a more intimate historical portrait, providing greater insight into the diversity of peoples that played an important role in the historical periods under consideration. Ethical Considerations in American Indian Legal History For many Indigenous peoples, the Euro-centric pursuit of knowledge—the research methods, disciplinary theory, source provenance, narrative composition, and intellectual discourse in general—is linked to Western forms of imperialism and colonialism.3 Until recently, non-Native scholarship has largely substantiated this sentiment.                                                              2 Brian Slattery, “Our Mongrel Selves: Pluralism, Identity and the Nation,” in Ysolde Gendreau, ed., Communautés de Droits/Droits de Communautés, Montreal: Editions Themis, 2003, pp. 88, 97. 3 Linda Tuhiwai Smith, Decolonizing Methodologies: Research and Indigenous Peoples, New York: Zed Books, Ltd., 1999, pp. 1-2. “Western” here is used in the Occidental sense (that of European origin) and should be distinguished from the term “western,” which I use to describe the region or territory west of the Appalachian Mountains, bounded generally by the Mississippi River to the east, the Great Lakes to the viii   Modern historians often refer to Frederick Jackson Turner's 1893 frontier thesis as the quintessential paradigm of Indian dispossession narratives.4 Despite Native Americans’ unique role in settler society, Turner’s historical imagination left little room for the Indian perspective in exploring the “significance of the frontier in American history.” 5 Ironically, a fascination with Indigenous culture pervaded the scholarly mind and American Indians were an integral component to western historical writing.6 However, with national expansion came new historical perspectives in which conceptions of chronology and linear progress associated the “uncivilized” state with an oppressive past.7 Today, most non-Native scholars acknowledge the ethical obligations that arise when researching and writing American Indian history from a culturally external perspective.8 Moreover, in recent years, the Native voice has begun to penetrate the                                                                                                                                                                                   north, and the Ohio River to the south (what became known as the Northwest Territory) settled by Euro- Americans during the late-eighteenth/early-nineteenth century. 4 See for example, Robert Utley, The Indian Frontier of the American West, Albuquerque: Univ. of New Mexico Press, 1984; Lee Benson, “The Historian as Mythmaker: Turner and the Closed Frontier,” in David M. Ellis, ed., The Frontier in American Development: Essays in Honor of Paul Wallace Gates, Ithaca: Cornell Univ. Press, 1969, pp. 3-19; and R. David Edmunds, “Native Americans, New Voices: American Indian History, 1895-1995,” American Historical Review, Vol. 100, No. 3 (June, 1995): pp. 717-740. 5 Frederick Jackson Turner, The Significance of the Frontier in American History, Madison: State Historical Society of Wisconsin, 1894. 6 Despite the persistent ethnocentric impulse, few nineteenth-century scholars recognized the cultural biases of having American Indian history written from the non-Native perspective: “Could [Indians] now come up from their graves, and tell the tale,” noted one prominent historian, “Indian history would put on a different garb. . . and the voice of justice would cry much louder in their behalf.” See Jared Sparks, “Materials for American History,” North American Review, Vol. 23, No. 53 (Oct., 1826), p. 283. 7 The “problem” with American Indian history, according to one twentieth-century scholar, is of “a people, divided into many tribes. . . who kept no historical records themselves.” “[T]he Indian does not characteristically think in strict historical terms,” the author adds, and “seems also to have little sense of time sequence.” See Stanley Pargellis, “The Problem of American Indian History,” Ethnohistory, Vol. 4, No. 2 (Spring, 1957), pp. 113-114. For a modern critical analysis, see generally Martin Calvin, ed., The American Indian and the Problem of History, New York: Oxford University Press, 1987. For an early twentieth-century legal analysis on this issue, see Ray A. Brown, “The Indian Problem and the Law,” Yale Law Journal, Vol. 39, No. 3 (Jan. 1930): pp. 307-331. 8 American Indian scholar Donald Fixico identifies several of these responsibilities, which include the removal of ethnocentrism; the consideration of Indian viewpoints; and the fair treatment in the historical portrayal of Native peoples; see Fixico, “Ethics and Responsibilities in Writing American Indian History,” American Indian Quarterly, Vol. 20, No. 1 (Winter, 1996): pp. 35-36; on ethical issues in Indian ix   research, literature, and scholarly debates. Since the 1960s, American Indian history has emerged with renewed methodological vigor in academic studies. “Over the past several decades,” notes Native American historian Philip Deloria, “[Indian history] has shifted: rather than existing as the subject of inquiry, [it] has become a critical agent of history- telling itself—both in local native communities and in the world of global intellectual discourse.”9 Despite these important accomplishments, cultural and intellectual barriers remain. While legal and historical scholarship have provided a forum for inter-cultural dialogue and debate, principles of comity and reciprocity have taken longer to penetrate methodology and practice.10 In writing legal histories involving Native peoples, these issues must be taken into consideration to help overcome ethnocentric biases.                                                                                                                                                                                   scholarship from a non-Native perspective, see Susan Dabulskis-Hunter, Outsider Research: How White Writers ‘Explore’ Native Issues, Knowledge, and Experiences, Bethesda, MD.: Academica Press, LLC, 2002. 9 Philip J. Deloria, “Historiography,” in Philip J. Deloria and Neal Salisbury, eds., A Companion to American Indian History (Blackwell, 2004), p. 1. 10 This is particularly true in law. Only in recent years have corporate legal publishers begun to include tribal court decisions in their reporters and online databases. For example, West published its first volume of the American Tribal Law Reporter in 1997. The online database version includes published case law dating back only to the mid-1990s from a dozen or so tribes including the Cherokee Nation of Oklahoma, Mohegan Tribe, Navajo Nation, Confederated Salish and Kootenai Tribes, and Hopi Tribe. For an earlier attempt to overcome this disparity, see the publisher’s introduction to the Indian Law Reporter, Vol. 10 (Jan., 1983): p. 6001. For a general assessment of legal comity in practice, see Gordon K. Wright, “Recognition of Tribal Decisions in State Courts,” Stanford Law Review Vol. 37, No. 5 (May 1985): pp. 1397-1424. For a critical analysis of pervasive ethnocentric methods in history, see James A. Clifton, “The Tribal History—An Obsolete Paradigm,” American Indian Culture and Research Journal, Vol. 3, No. 4 (1979): pp. 81-100.     x TABLE OF CONTENTS TABLE OF MAPS ............................................................................................................ xii INTRODUCTION: THE NARRATIVES AND COUNTER-NARRATIVES OF INDIANA LEGAL HISTORY, REVISITED .................................................................... 1 On the Significance of Custom: Continuity and Discontinuity in “Common Law” Cultures ........................................................................................................................... 4 Scope and Content ......................................................................................................... 11 On the Moral Presence of Our Past: A Note on Legal-Historical Methodology .......... 18 Literature Review .......................................................................................................... 21 CHAPTER 1: A COMMON GROUND DIVIDED: INDIAN-SETTLER SOVEREIGNTY, COMMUNITY NORMS, AND THE CYCLES OF STATE SUCCESSION .................................................................................................................. 26 Inter-cultural Encounters and La Coutume à la Façon du Pays: Indian-Settler Relations and Community Norms During the French Colonial Period, 1717-1763 ..... 31 Imperial Transition and the Limits of Sovereignty: Legal Pluralism and the Failure of British Cross-Cultural Jurisprudence, 1763-1783 ........................................ 52 Law, Community, and the Continuity of Custom: Regional Inhabitants under Virginia and Northwest Territorial Accession, 1778-1800 ........................................... 86 Toward a State of Uncertainty: Mixed Jurisdictions and the Crisis of Custom in The Indiana Territory, 1800-1816 ............................................................................... 113 CHAPTER 2: INDIAN-SETTLER CONFLICT IN INDIANA: FROM LEGAL PLURALISM TO A STATE-CENTERED LEGAL ORDER ....................................... 143 Sources, Precedents, Theory, and Doctrinal Foundations ........................................... 149 Beyond Worcester: A Survey of American Indian Law and Policy in Indiana .......... 166 The Law of the Land: From the Indian Right of Occupancy to the “Custom or Common Law of the Settlers” ..................................................................................... 192 CHAPTER 3: LAW, HISTORY, AND THE ROLE OF CUSTOM: SETTLER SOVEREIGNTY AND COLONIAL CULTURE IN INDIANA ................................... 218 Dialogical Limits to Customary Laws of Evidence: Restricting American Indian Testimony in the Indiana Courtroom .......................................................................... 226 Crafting (Indian) Custom: An Ethnographic View of Judicial Notice in Indiana ...... 259     xi From Recognition to Repugnancy: Roche v. Washington, State Sovereignty, and the Judicial Abrogation of Indian Marriage Customs ................................................. 289 CONCLUSION: THE ENDURING MYTH OF SETTLER SOVEREIGNTY ............. 320 IN SEARCH OF RECOGNITION: NORMATIVE CONFLICT, HISTORICAL RECONCILIATION, AND MODERN CHALLENGES TO TRIBAL SOVEREIGNTY IN INDIANA; AN AFTERWORD ................................................... 323 BIBLIOGRAPHY ........................................................................................................... 335 CURRICULUM VITAE     xii TABLE OF MAPS MAP 1. Partie Occidentale de la Nouvelle France ou Canada, by Jacques Nicolas Bellin, 1755 ....................................................................................................................... 32 MAP 2. A General Map of the Middle British Colonies in America, by Lewis Evans, 1755 ....................................................................................................................... 58 MAP 3. The United States of America Laid Down from the Best Authorities, Agreeable to the Peace of 1783, by John Wallis, 1783 .................................................... 91 MAP 4. First Map of Indiana, by John Melish, 1817..................................................... 167     1 INTRODUCTION: THE NARRATIVES AND COUNTER-NARRATIVES OF INDIANA LEGAL HISTORY, REVISITED11 Indiana legal history embodies an array of cultural traditions, social norms, customary practices, and multi-national sources; it begins before the modern institutions of representative government, rules of procedure, and volumes of case law. Situated in the vast colonial periphery of European empire and far from the centers of metropolitan government, the region that encompassed what we know today as Indiana existed beyond the effective reach of formal regulatory structures. Yet despite the “legal vacuum” that American history often portrays the state to have filled with the territorial charter of the 1787 Northwest Ordinance and subsequent common law “reception” statutes, the region’s early inhabitants had planted their own common law systems.12 For nearly a century before the American territorial period, the region’s jurisprudence evolved in the written laws and unwritten customs and usages of its inhabitants. Prior to European settlement, the region’s North American Indigenous peoples exercised their own forms of sovereignty, recognized territorial jurisdictions, held tribal councils, established confederacies, practiced inter-tribal diplomacy, and orchestrated the complex social order under varied rules, governing structures, and mechanisms of dispute resolution. Tribal laws and customs continued in force internally following contact with European colonists. However, through inter-cultural alliances of political, social, or economic intent, a hybrid system of Indian-settler norms emerged to regulate the small                                                              11 “Revisited” here implies an evaluation of Indiana legal history subsequent to the publication of David J. Bodenhamer and Randall T. Shepard’s introductory chapter under the same name in The History of Indiana Law, Ohio University Press, 2006, a monograph in which American Indians are conspicuously absent. 12 For literature perpetuating the myth of the region as a “lawless” frontier prior to American territorial organization, see, for example, George Packard, “The Administration of Justice in the Lake Michigan Wilderness,” Michigan Law Review, Vol. 17, No. 5 (March 1919): pp. 382-383 (describing the early settlements at Sault St. Marie, Detroit, Kaskaskia, Vincennes, as “primitive centers.”).     2 settlements and villages that dotted what became known to the French as the Pays d’en Haut.13 Over time, Indigenous and European settlers created a frontier society of multi- faceted legal traditions, a constitution of trans-national common laws from which the state would emerge in 1816. This story, therefore, begins with the penetration of the cultural divide in the interior region of the continent; yet it departs from the traditional conquest narrative that typically follows the period of contact.14 That the American Indians lost much of their self-governing status is clear; however, a closer look at the ways in which nations historically defined, exercised, asserted, and shared jurisdiction provides greater detail and depth to concepts of sovereignty and how it affected the region’s inhabitants, Natives and newcomers alike.15 By distinguishing territorial from personal and subject matter jurisdiction, the historical record reveals a more intricate story of influence, authority, and concession. During the colonial and early national periods, Indian-settler relations often displayed a mutual preference for substantive justice and equity rather than a strict adherence to form                                                              13 For a historical overview of tribal law and tribal legal systems, see Justin B. Richland and Sarah Deer, eds., Introduction to Tribal Legal Studies, Lanham, Maryland: Alta Mira Press, 2004. For an introduction to the transformation of American Indian legal systems following contact, see Katherine A. Hermes, “The Law of Native Americans, to 1815,” in Michael Grossberg and Christopher Tomlins, eds., The Cambridge History of Law in America, Vol. 1: Early America (1580-1815), Cambridge: Cambridge University Press, 2008, pp. 32-62. For a map and socio-geographic description of the Pays d’en Haut (or upper country), see Richard White, The Middle Ground: Indians, Empires, and Republics in the Great Lakes Region, 1650- 1815, Cambridge: Cambridge University Press, 1991, pp. x-xiii. 14 On conquest narratives see, for example, the exceptional studies of Richard Slotkin, Regeneration Through Violence: The Mythology of the American Frontier, 1600-1860, Norman: University of Oklahoma Press, 2000; Francis Jennings, Invasion of America: Indians, Colonialism, and the Cant of Conquest, Chapel Hill: University of North Carolina Press, 2010; and Robert A. Williams, Jr., The American Indian in Western Legal Thought: The Discourses of Conquest, New York: Oxford University Press, 1992. 15 As Katherine Hermes notes, “[b]y expanding the view of the function and evolution of law, historians may increase our ability to understand both the formation and articulation of structures of governance and the changing boundaries of sovereignty that emerged in the newly developing sphere of colonization.” See Hermes, “Jurisdiction in the Colonial Northeast: Algonquian, English and French Governance,” American Journal of Legal History, Vol. 43, No. 1 (Jan., 1999): p. 56.     3 or procedure.16 Neither the French, British, or American settlers displaced tribal customs or self-governance entirely; rather, they adjusted to and often accommodated Indian concepts of law and justice. Foremost within this middle ground was the idea and practice of reciprocity. In essence, the concept signifies a normative relationship between sovereign nations where the conduct of one state is juridically contingent upon that of the other.17 “Whether this common norm existed,” notes Katherine Hermes, and the extent to which colonial authorities recognized and applied it, “had great implications for how individual [Indians] and their tribes would fare in their own demands” of settler society.18 By rejecting the thesis of unilateral conquest by law, this study suggests that Indiana’s legal past was, in many respects, an ad hoc process of cultural brokerage, reciprocity, and inter-personal accommodation.19 The story that follows situates Indiana and its pre-territorial history within a larger “middle ground” of Indian-settler relations, focusing on reciprocally formative legal relations rather than persistent conflict. Through sustained interaction, a shared set of rules, principles, and jurisdictional practices merged, forming a sui generis legal order unique to frontier society, albeit one with varying degrees of success and fidelity.20 Only with the early nineteenth-century rise of legal                                                              16 Katherine Hermes, “‘Justice Will Be Done Us’: Algonquian Demands for Reciprocity in the Courts of European Settlers,” in Christopher L. Tomlins and Bruce H. Mann, eds., The Many Legalities of Early America, Chapel Hill: University of North Carolina Press, 2001, p. 128. 17 Bruno Simma, “Reciprocity,” in R. Wolfrum, ed., The Max Planck Encyclopedia of Public International Law, Oxford University Press, 2008, online edition, www.mpepil.com (accessed 11 May 2010); also see Francesco Parisi and Nita Ghei, “The Role of Reciprocity in International Law,” Cornell International Law Journal, Vol. 36, No. 1 (Spring, 2003): p. 94. 18 Hermes, “Justice Will Be Done Us,” p. 129. 19 See, generally, White, Middle Ground; and Richard J. Ross, “The Legal Past of Early New England: Notes for the Study of Law, Legal Culture, and Intellectual History,” William and Mary Quarterly Vol. 50, no. 1. 3rd Series (Jan. 1993), especially at pp. 37-38. 20 Ibid. p. 126. As Richard White describes the process, inter-cultural accommodation results from a series of “creative, and often expedient, misunderstandings.” The parties involved “often misinterpret and distort both the values and the practices of those they deal with, but from these misunderstandings arise new meanings and through them new practices.” See White, Middle Ground, p. x.     4 positivism and the principle of territorial jurisdiction would Indians lose their status in settler society as equal sovereigns. On the Significance of Custom: Continuity and Discontinuity in “Common Law” Cultures   To conceive of law historically as a body of statutes and cases fails to consider the diverse origins of a legal culture. As Harold Berman points out, the “common law” is an evolving concept, “a process in which rules have meaning only in the context of institutions and procedures, values and ways of thought.”21 “From this broader perspective,” he adds, “the sources of law include not only the will of the lawmaker but also the reason and conscience of the community and its customs and usages.”22 “Custom” and “usage” relate to longstanding social practices that—as unofficial and unenacted sources of community obligation—come to possess the force of law, either through “formal” recognition of state legal institutions or by means of “informal,” community-based enforcement mechanisms.23 The precise meaning of these terms varies according to place, time, and user, but implies a common emphasis on modes of social regulation other than or outside state-imposed law.24                                                              21 Harold Berman, Law and Revolution: The Formation of the Western Legal Tradition, Cambridge, Mass: Harvard University Press, 1983, p. ii. 22 Ibid. 23 David J. Bederman, Custom as a Source of Law, New York: Cambridge UniversityPress, 2010, pp. ix, 171; also see George Rutherglen, “Custom and Usage as Action under Color of State Law: An Essay on the Forgotten Terms of Section 1983,” Virginia Law Review, Vol. 89, No. 4 (June 2003): p. 926; and Andrea C. Loux, “The Persistence of the Ancient Regime: Custom, Utility, and the Common Law in the Nineteenth Century,” Cornell Law Review, Vol. 79, No. 1 (Nov., 1993): p. 183. “Custom” refers to the law to which a social practice gives rise whereas “usage” indicates the social practice itself. Usage, therefore, becomes custom (and thus law) upon judicial notice. 24 M.B. Hooker, Legal Pluralism: An Introduction to Colonial and Neo-Colonial Laws, Oxford: Oxford University Press, 1975, p. 119. Scholars often refer to custom as “law from below” in that its basis and legitimacy stem from established community practices rather than the assertion of state authority; see Loux, “Ancient Regime,” p. 183.     5 The conceptual origins of customary law emerged from distinctions made in Greek philosophy between the written and unwritten law, or nomos eggraphos and nomos agraphos. Roman philosophers borrowed this distinction but not until the Justinian Code would they consider the ius ex non scripto as a particular source of law. Under Book One of the Institutes, “[a] lex is that which was enacted by the Roman people on its being proposed by a senatorian magistrate, as a consul.”25 “The unwritten law,” on the other hand, “is that which usage has established; for ancient customs, being sanctioned by the consent of those who adopt them, are like laws.”26 During the medieval period, the common laws of Europe existed in multiplicity, defined not strictly by their positive, territorial character but by their relational, local, and even mobile nature. The ius commune evolved from a synthesis of Roman law, canon law, and established custom. Described as “the cultural bridge of the Western legal tradition,” the ius commune served to reconcile customary norms with positive and natural law doctrines.27                                                              25 Paul Halsall, ed., “The Institutes, 535 CE,” Internet Medieval Sourcebook, available at http://www.fordham.edu/halsall/sbook.html (accessed 4 December 2010). 26 Ibid [emphasis added]. Not until the medieval period would jurists develop a prescriptive set of legal criteria or system of rules by which to prove a custom’s force of law. In addition to identifying the general prerequisite of established usage, the Decretum Gratiani, a twelfth-century compilation of canon law, validated custom so long as it conformed to the dogmatic tenets of divine or natural law, reason, or equity; see G.C.J.J. Van den Bergh, “The Concept of Folk Law in Historical Context: A Brief Outline,” in Alison Dundes Renteln and Alan Dundes, eds., Folk Law: Essays in the Theory and Practice of Lex Non Scripta, Vol. 1, Madison: University of Wisconsin Press, 1994, p. 12; and (for an extended analysis of the Decretum Gratiani) Jean Porter, “Custom, Ordinance and Natural Right in Gratian’s Decretum,” in Amanda Perreau- Saussine and James Bernard Murphy, eds., The Nature of Customary Law: Legal, Historical, and Philosophical Perspectives, Cambridge: Cambridge University Press, 2007, pp. 79-100. 27 On the “common laws” of Europe, see H. Patrick Glenn, On Common Laws, Oxford: Oxford University Press, 2005, pp. 1-44; on custom in the ius commune as “the cultural bridge of the Western legal tradition,” see David J. Bederman, Custom as a Source of Law, New York: Cambridge UniversityPress, 2010, pp. 22, 24-25; and, for an extended book-length treatment, see Manlio Bellomo, The Common Legal Past of Europe: 1000-1800, trans. Lydia G. Cochrane, Washington, D.C.: Catholic University of America Press, 1995.     6 Other legal systems, such as the English common law and French Coutume de Paris, held custom and community usage as sources of authority.28 As colonial transplants, these legal traditions provided diaspora settlers with a framework for developing legal cultures independent of the European imperial constitution.29 In the interior region of North America, custom played an important role in mediating conflict and ensuring justice in the absence of a formal system of law and government. As Peter Karsten notes, “[s]everal . . . customs devolved from the day-by-day doings of Spanish, French, and British traders and settlers in . . . the Mississippi and Ohio Valleys.” “These residents,” he adds, “. . . had developed tradition bound claims . . . by the time the Common Lawyers and their courts arrived in the early and mid-nineteenth century.”30 For Indigenous peoples, whose informal yet complex laws commonly entailed oral tradition, custom represented a significant aspect of domestic or family governance, communal property allocation, criminal sanctions, and dispute resolution.31 Broadly speaking, each of these (otherwise distinct) societies and their legal traditions considered custom as flexible, relational, accommodative of social change, and adaptive to unique circumstances beyond political boundaries.                                                              28 The standard text on the role of custom in English common law is J.G.A. Pocock, The Ancient Constitution and the Feudal Law: A Study of English Historical Thought in the Seventeenth Century, A Reissue with a Retrospect, Cambridge: Cambridge University Press, 1987, especially pt. 1, ch. 2, “The Common-law Mind: Custom and the Immemorial.” On the Coutume de Paris, see infra, pp. 38-43. 29 On the role of customary law in Anglo-American colonial society, see John Phillip Reid, “In Accordance with Usage: The Authority of Custom, the Stamp Act Debate, and the Coming of the American Revolution,” Fordham Law Review, Vol. 45, No. 2 (Nov., 1976): pp. 335-368; and Julius Goebel, Jr., “King’s Law and Local Custom in Seventeenth Century New England,” Columbia Law Review, Vol. 31, No. 3 (March, 1931): pp. 417, 420. Premised upon the “jurisdictional diversities” of England, “the local courts and the customary law . . . assume[d] a position of transcendent importance” in colonial America. 30 Peter Karsten, Between Law and Custom: “High” and “Low” Legal Cultures in the Lands of the British Diaspora—The United States, Canada, Australia, and New Zealand, 1600-1900, Cambridge: Cambridge University Press, 2002, p. 33. 31 Bederman, Custom, p. 11. As a construct of Western legal culture, H. Patrick Glenn questions the accuracy of applying the concept of custom to Indigenous law; see Glenn, Legal Traditions of the World: Sustainable Diversity in Law, 4th ed. Oxford: Oxford University Press, 2010, pp. 78-79.     7 The persistence of custom thus suggests the legal force of a body of social norms notwithstanding changes in territorial jurisdiction or state sovereignty. Many of those customs—whether written or located only in the usages of its inhabitants—that had arisen from the social makeup of a local community, persisted throughout cycles of imperial conquest, colonial settlement, revolution, and territorial cession.32 Within a brief forty- year period during the late-eighteenth and early-nineteenth centuries, North America experienced an enormous transfer of political space. By the 1763 Treaty of Paris, the French ceded to the British jurisdiction over Quebec and the Ohio and upper Mississippi River valleys (among other territories).33 In 1783, following the American Revolution, the British ceded to the United States the Great Lakes region and the Ohio and upper Mississippi River valleys.34 The following year, Virginia ceded to the U.S. its vast                                                              32 The idea that conquered peoples possess the right to self-governance is an ancient and fundamental facet of Western legal thought. Scholars often trace the historical development of this recognition doctrine to early Roman policy that allowed subject communities to retain municipal laws and to administer justice inter se. As the Romans encountered foreign legal systems during the course of imperial expansion, they often treated local custom in the provinces as a matter of pragmatic policy rather than a question of law. Although the Justinian Code introduced the possibility of conflict between law and custom (Book VIII, Title LII of the Code stipulated that custom was not to be in conflict with positive law), the Romans generally failed to articulate a clear solution to the problem as a legal principle; see A. Arthur Schiller, “Custom in Classical Roman Law,” in Dundes and Dundes, Folk Law, Vol. 1, p. 35; and Van den Bergh, “Concept of Folk Law,” in Ibid. pp. 10-11. For an overview of North American conquest and the recognition of Indian laws and customs, see James W. Zion and Robert Yazzie, “Indigenous Law in North America in the Wake of Conquest,” Boston College International and Comparative Law Review, Vol. 20, No. 1 (Winter 1997): pp. 56-61. For thirteenth-century theological debates on the existence of non- Christian laws (lex fomitis) and whether human custom (rather than natural or divine law) could acquire the force of law, see Saint Thomas Aquinas, Treatise on Law: The Complete Text, trans. Alfred J. Freddoso, South Bend, Ind.: St. Augustine's Press, 2009, pp. 17-19, 73-75. 33 The French also relinquished to the British the Islands of Dominica, Grenada, Saint Vincent, and Tobago. Spain received Louisiana and ceded Florida to the British. See “Definitive Treaty of Peace and Friendship between his Britannick Majesty, the Most Christian King, and the King of Spain,” 10 February 1763, in Adam Shortt, and Arthur G. Doughty, eds., Documents Relating to the Constitutional History of Canada [hereinafter cited as DRCHC], 1759-1791, Vol. 1, Ottawa: Printed by J. de L. Taché, 1918, pp. 113-126. 34 “Definitive Treaty of Peace,” 3 September 1783, in Hunter Miller, ed., Treaties and Other International Acts of the United States of America, Vol. 2: Documents 1-40: 1776-1818, Washington: Government Printing Office, 1931, pp. 151-157.     8 claims over the territory northwest of the Ohio River. And in 1803, France sold the massive Louisiana Territory to the United States.35 During this period, a gradual shift in legal ideology began to emphasize the authority of the state as an autonomous entity possessing complete territorial jurisdiction. The naturalist idea that customary law rights persisted in the absence of express legislation to the contrary (the principle or doctrine of continuity) became qualified by the positivist view that such rights remained enforceable by explicit recognition only (the rule or doctrine of recognition). According to the latter philosophy, custom’s validity depended not on actual practice or community acceptance per se, but rather upon external criteria of authority, which the successor state defined on its own terms.36 With each shift in political authority in North America, questions arose over such issues as the inhabitants’ acquired rights (to property in particular); established laws and governmental institutions; and the continuing force of existing treaties. The extent of recognition in cases of state succession depended upon several variables, including the terms of negotiation among nations in the transfer of political power; the variable conditions of the ceded territory, such as its population and institutions of government (the colony’s “legal personality”); and the legislative prerogative of the newly-formed                                                              35 “Treaty for the Cession of Louisiana,” dated 30 April 1803, in Ibid. pp. 498-511. 36 Kent McNeil, Common Law Aboriginal Title, Oxford: Oxford University Press, 1989, p. 161. As Daniel O’Connell observes, “[t]he explanation of this survival of law goes to the heart of legal philosophy; the theory that law is a concomitant of man’s social nature presumes survival of the legal system.” On the other hand, “the theory that law is a manifestation of the sovereign will—the imperative theory—predicates this survival on the tacit or explicit consent of the successor State.” See D.P. O’Connell, State Succession in Municipal Law and International Law, Vol. 1: Internal Relations, Cambridge: Cambridge University Press, 1967, p. 101. In describing the paradox of the law of state succession, Matthew Craven notes that while “its objective might be said to be the ‘minimization’ of the effects of political change, it is also obviously about the simultaneous recognition of that change: about order and disorder, about securing the continuity of certain legal relationships, and about legitimizing the discontinuity of others [emphasis in original].” See Craven, The Decolonization of International Law: State Succession and the Law of Treaties, Oxford: Oxford University Press, 2007, p. 25.     9 state sovereign.37 In most cases, specific legislative and treaty provisions expressly acknowledged the inhabitants’ pre-existing laws and customs, which became part of the general municipal law of the successor state.38 Examining these developments leads to the realization that the state legal system grew not only from the English common law and local statutory supplements but also from the integration of pre-existing norms and customs. Accordingly, this study posits that Indiana possessed a legal culture of historical depth and complexity by the time of statehood. When Indiana entered the Union in 1816, the western legal terrain embodied a mixed system of Indigenous customs, colonial transplants, popular norms, community usages, and federal territorial law (the latter of which comprised a synthesis of pre- existing laws from the original states).39 Legal pluralism defined jurisdictional practice.                                                              37 Jack P. Greene, “The Cultural Dimensions of Political Transfers: An Aspect of the European Occupation of the Americas,” Early American Studies, Vol. 6, No. 1 (Spring 2008): p. 3. As Mark D. Walters suggests, “imperialist powers were not always interested in exporting their municipal laws to the nations they subjugated.” Rather, “the political hegemony of an empire often depended upon an imperial constitution premised upon legal pluralism.” See Walters, “The ‘Golden Thread’ of Continuity: Aboriginal Customs at Common Law and Under the Constitution Act, 1982,” McGill Law Journal, Vol. 44, No. 3 (Nov., 1999): p. 714. 38 Acquired rights provisions and principles of continuity under the Treaty of Paris (1763), Royal Proclamation (1763), Quebec Act (1774), Act Establishing the County of Illinois (Virginia, 1778), Virginia Deed of Cession (1781), Northwest Ordinance (1787), Louisiana Cession Treaty and subsequent U.S. legislation (1803-1805), and various Native American treaties are discussed at length throughout this study. 39 In the introduction to his edited compilation of Indiana Territorial Laws, Francis Philbrick comments on the limited extent to which the statutes adapted to local circumstances or reflected the community norms of the region’s diverse inhabitants. In emphasizing the necessity of context and empirical analysis in constructing a more accurate picture of Indiana’s legal history, his comments deserve extended quotation: The statutes in this volume cannot support the theory, of which lawyers are vainly and inordinately fond, that the laws of a community are unique memorials of its history. These statutes were not an indigenous product, slowly developed, responsive and nicely adjusted to the peculiar needs of the territory. Some, indeed, do represent a rough attempt at such adjustment. The rest are foreign systems of older states, imposed upon the scattered villages of the territory. They did not embody the attainments, and only in a very partial sense did they express the traditions and the spirit of the territory—even of the American element. It is not in the statute-book, but outside of it, that one must seek for a view of the real life of the territory. Far from representing accurately what was being done in the community, we have seen that the laws most fundamental and most painfully drafted were very indifferently observed; and it is almost certain that the same was true of all the statutes. They were commands to live in a certain way that was an unfamiliar way, awkwardly and slowly learned. Despite the legislative mandates in this volume, to a large extent the people undoubtedly lived quite otherwise than commanded. To imagine that such things . . . were a reality     10 However, for many jurists, the diversity of legal traditions signified a crisis of legitimacy within the new constitutional order. As the nineteenth century progressed, the reconfiguration of the common law as a positive science began to displace custom as a fundamental source of law. As binding precedent and legal uniformity became guiding principles, the shift to a state-centered legal order signaled the decline of the complex, pragmatic jurisprudence of frontier life. Traditional legal history often depicts the transition from a custom-based society to a “mature” legal system as signifying the normal growth of a state. This idea regards custom-based societies as pre-legal, or lacking a particular system of rules, procedures, and civil institutions. Whereas law “consists in rules laid down by judicial or legislative authority,” custom—while sufficient for order and administration among societies with “simple social structures”—is “not quite the same as law.”40 Yet this projection of positivist concepts of law onto the past ignores the possibility that historical actors held a different sense of legal obligation. While the idea of the sovereign state as an autonomous legal entity had become axiomatic by the early 1800s, custom—as this study                                                                                                                                                                                   in the Illinois country would be absurd. The whole system was overwrought, too complicated for application—or even, as regards the French inhabitants, for understanding; it could actually have worked only where it had been long familiar. It was not alone, but only in a greater degree than of the American, that all this was true of the French population. Lawyers are prone to believe that a society is civilized in proportion as its law is elaborated. By this test, in view of the bulky legislation of the Northwest and Indiana territories dealing with the administration of justice, there must have been a prodigious forward step in civilization between 1787 and 1809. Yet anyone who reflects upon the life which was led, before the American period, in the French villages of the Illinois, may recall the other doctrine, implicit in our national political professions, that “civilization consists in teaching men to govern themselves by letting them do it,” and must harbor doubts as to the progress. The truth is, of course, that the bulk of the statute-book is no test at all. The legislation on the courts in the book before us is bulky precisely because most of it was ineffective and had no adjusted relation to the social life that it supposedly served. See Francis S. Philbrick, ed., Laws of Indiana Territory, 1801-1809, Collections of the Illinois State Historical Library, v. 21, Springfield, Ill: Trustees of the Illinois State Historical Library, 1930, pp. ccxxiii- ccxxiv. 40 Marianne Constable, The Law of the Other: The Mixed Jury and Changing Conceptions of Citizenship, Law, and Knowledge, Chicago: University of Chicago Press, 1994, pp. 67, 71, quoting legal historians John H. Baker and H.L.A. Hart.     11 attempts to relate—remained an important source of community obligation throughout the nineteenth century. Perhaps more indicative of customary law’s vitality is its presence in fully- developed, modern societies. Today, custom survives as a source of obligation in several areas of law: public easement rights to private property; the construction of contracts; American Indian tribal courts; and private and public international law.41 Customary law endures not only because of its deep jurisprudential foundations, but also because of its practical and rational nature. Although conflicts with state law and policy inevitably arise, “[c]ustom thrives in legal cultures that are accepting of multiple sources of legal obligation and the possibility that different rules could be applied on the same facts to the same actors.”42 Scope and Content   The foregoing context raises several important questions. How did the transition from colonial to territorial and state government affect the popular customs and community usages that existed among the region’s inhabitants? How and to what extent did civil government accommodate, either in policy or practice, the plurality of norms among its diverse settler communities? What were the legal foundations upon which the government recognized those laws and customs in place prior to territorial acquisition? Did Indiana lawmakers interpret and apply these rules or principles differently in respect                                                              41 See Bederman, Custom, pp. 75-79 (discussing Lucas v. South Carolina Coastal Council, 505 U.S. 1003 (1992) and other state cases on public easement rights), 84-88 (discussing the Uniform Commercial Code’s codification of trade custom), 131-132 (discussing forums and methods of dispute resolution in international commercial arbitration), 135-136 (discussing dispute resolution among nation-states under article 38 of the Statute of the International Court of Justice). On the role of custom in American Indian tribal courts, see Gloria Valencia-Weber, “Tribal Court: Custom and Innovative Law,” New Mexico Law Review, Vol. 24, No. 2 (Spring, 1994): pp. 225-263. 42 Bederman, Custom, pp. 179, 180; also see Robert Ellickson, Order with out Law: How Neighbors Settle Disputes, Cambridge, Mass.: Harvard University Press, 1991.     12 to the French? The Indians? How and to what extent did these groups take part in the recognition process? This study attempts to answer these questions by examining Indiana and its pre- territorial landscape within the context of Indigenous-settler legal relations, specifically in matters related to marriage, property rights, and testimony. Each of these areas of law illustrates, in a microcosm, the nineteenth-century shift from a custom-based society to a state-centered legal order and how the positivist rule of recognition either conferred or denied validity to the law of the “other.” Between 1717—the year marking the commencement of French expansionist efforts in the region—and 1897—the year in which the Miami Indians became the last federally recognized tribe in the State of Indiana—the region’s legal terrain transformed dramatically. Periods of conquest and state succession introduced distinct and often- discordant legal systems to the region. And with each transition, settlers carried with them a new set of social, economic, and cultural value systems. Ultimately, however, community norms and practices, rather than the unilateral acts of state, often dictated the character of local legal culture and its pace of change. The geographic scale of this study centers on the state of Indiana; however, because it considers the pre-statehood period, this is also a story of the Pays d’en Haut (“Upper Country”), Ohio Country, Western Great Lakes Region, Illinois and Wabash Countries, trans-Appalachian west, and Northwest Territory. Although the spatial scope of inquiry narrows as the frontier recedes and the western states take shape, a regional analysis provides an essential starting point, a practical framework for identifying     13 patterns of social and legal organization that local or national studies often overlook.43 On a larger scale, Indiana legal history reveals shared characteristics with Anglophone settler polities throughout the nineteenth-century colonial world.44 These commonalities existed from a shared history of conquest and settlement, resulting in a global diaspora of English language, common law culture, governmental institutions, household structures, and land tenure regimes. While the Northwest Ordinance of 1787 was “seminal in establishing a midwestern legal culture,” each state carved out of the Old Northwest has its own story that warrants further attention.45 However, in matters of nineteenth-century American Indian law and policy, Indiana history departs little from contemporary developments in other state jurisdictions, whether contiguous or non-contiguous. Following the federal removal efforts of the 1830s, Indiana lawmakers—like those in other states—assumed broad discretion in regulating those Indians that remained within state borders. While Indiana may have tailored its law and policy toward the tribes in response to shifting settler demographics or unique socio-economic needs, the state typically followed the lead of others, enacting legislation similar to that found in New York, Georgia, Alabama, or Tennessee.46 The reason for this uniformity of law is straightforward: the exercise of jurisdiction beyond matters traditionally reserved for the states—such as property and                                                              43 James W. Ely, Jr. and David J. Bodenhamer, “Regionalism and American Legal History: The Southern Experience,” Vanderbilt Law Review, Vol. 39, No. 3 (April, 1986): p. 540. 44 “Regionalism cannot account for all legal change because other forces—some particular, others global— have an impact on law.” Ibid. p. 544. 45 Quote from Bodenhamer and Shepard, History of Indiana Law, p.5. 46 For introductory, state-level studies, see Deborah Rosen, “Colonization through Law: The Judicial Defense of State Indian Legislation, 1790-1880,” American Journal of Legal History, Vol. 46, No. 1 (Jan., 2004): pp. 26-54; Tim Alan Garrison, “Beyond Worcester: The Alabama Supreme Court and the Sovereignty of the Creek Nation,” Journal of the Early Republic, Vol. 19, No. 3 (Autumn, 1999): p. 450; Cynthia Cumfer, “Local Origins of National Indian Policy: Cherokee and Tennessean Ideas about Sovereignty and Nationhood, 1790-1811,” Journal of the Early Republic, Vol. 23, No. 1 (Spring, 2003): pp. 21-46. For a brief overview on the state of this literature, see infra, n. 67, and corresponding text.     14 inheritance, marriage, and testimony—would have been seen as an explicit encroachment into the federal sphere of U.S.-tribal relations.47 The significance of Indiana in this study originates less from historical circumstances than it does with more contemporary developments in American Indian law and policy. Today, among the six states that emerged from the Old Northwest, only three—Michigan, Wisconsin, and Minnesota—have federally recognized tribes that retain sovereign status. Ohio, Illinois, and Indiana, on the other hand, exercise complete territorial jurisdiction over their Native American residents.48 Of these states, only Indiana has had a tribe petition for federal recognition since the Bureau of Indian Affairs (BIA) instituted new regulations in 1978.49 In 1992, however, the BIA formally declined acknowledgment to the Indiana Miami Nation of Indians, a tribe with whom the federal government held long-standing relations until 1897.50 Although tribal recognition extends from a complex history of federal relations (through treaty making, congressional acts, executive orders, Supreme Court cases, or otherwise), the states have played an important part in defining tribal legal status as well,                                                              47 As Bethany Ruth Berger observes, “[i]t was often at the state level that judges combined the shifting national perception of the ‘Indian problem’ with local exigencies of that problem, particularly in their treatment of traditional state law matters such as descent, marriage and property law.” See Berger, “After Pocahontas: Indian Women and the Law, 1830 to 1934,” American Indian Law Review, Vol. 21, No 1 (1997), p. 3, note 7. 48 Certain federal measures, however, such as the Indian Child Welfare Act (discussed at length in the afterword), reserve specific subject matter jurisdiction for the tribal courts, thus qualifying all states— including those without federally recognized tribes—from exercising complete territorial jurisdiction. 49 Since 1979, several tribes from Illinois, Ohio, and Indiana (18 in total) have filed letters of intent to petition the BIA for federal acknowledgment status, but only the Miami Tribe formally submitted their petition in 1984; see U.S. Department of the Interior, Bureau of Indian Affairs, “List of Petitioners by State (as of April, 29, 2011),” Basic Administrative and Regulatory Documents, pp. 22-23, 39-40, available at http://www.bia.gov/WhoWeAre/AS-IA/OFA/index.htm (accessed 27 October 2011). 50 See the afterword for an extended discussion of the BIA regulations and the Miami petition for recognition.     15 particularly during the period leading up to the Civil War.51 As the only state in the region to have had a tribe been denied recognition under modern federal regulations (which require unrecognized tribes to meet several criteria to demonstrate historical continuity as a distinct, autonomous community), Indiana deserves extended attention for its historical role in this process. The structure of this study entails three distinct chapters. Chapter one focuses on the period leading up to 1816, providing thematic context to the issues discussed at length in subsequent chapters. Each section, organized chronologically, collectively examines the effects of French and British colonialism and U.S. territorial government on Indian-settler relations and the shifting norms that governed community life within the continental interior. By studying the pre-statehood legal landscape in greater detail, I am concerned not only with outlining the impact that both Indigenous and Western legal thought had on the region, but also with distinguishing the origins of a normative dialogue that persisted across cultural lines and throughout cycles of imperial conquest and state succession. The French play a particularly unique role in this chapter for several reasons. First, in contrast to British and early American accounts of the frontier as a “lawless” hinterland, these early settlers had created a self-sufficient and sustainable system of law and government along the peripheries of colonial empire. Second, in adjusting to the unique circumstances of frontier life, the French adaptation to Indian laws and customs                                                              51 For example, Roche v. Washington (the 1862 Indiana Supreme Court case discussed at length in chapter three) deals squarely with matters of tribal recognition two and three years prior to, what are often considered, the first U.S. Supreme Court cases to address the issue; see William W. Quinn, Jr., “Federal Acknowledgment of American Indian Tribes: The Historical Development of a Legal Concept,” American Journal of Legal History, Vol. 34, No. 4 (Oct., 1990): pp. 345-346, discussing U.S. v. Holliday, 70 U.S. (3 Wall.) 407 (1865); and The Kansas Indians, 72 U.S. (5 Wall.) 737 (1866).     16 illustrates the cultural permeability of legal traditions, thus challenging ideas of incompatibility between two otherwise disparate peoples. The French presence in the region also highlights the ways in which the British and American successor states managed the colonial encounter. The search for legal order and political stability during the course of imperial conquest, territorial expansion, and state formation involved a variety of techniques, doctrines, and ideologies in relation to different subject polities. By rejecting the naturalist idea that a single, universally applicable law governed all peoples alike, early nineteenth-century legal positivists began to view international law as the exclusive domain of “civilized” societies. By stressing cultural differences between Indigenous peoples and those of European descent, leading jurists of the period relegated the former to a subordinate legal status.52 In contrast, the French presented less of a cultural barrier to Indiana law and policy. Although legal conflicts certainly arose and many French had emigrated during the territorial period, the task of incorporating them into settler society proceeded rather efficiently when compared with the Indian tribes. Chapter two, which commences with Indiana statehood in 1816, examines the transition of Indian-settler sovereignty from an inter-communal relationship based on the reciprocity of customary norms to a hierarchal legal order premised upon the idea of complete territorial jurisdiction. With an emphasis on the state expropriation of Indian lands, the discussion here entails a jurisdictionally focused analysis of larger national developments in American Indian law and policy. By the first quarter of the nineteenth century, American property law had undergone a radical transformation. Whereas the                                                              52 Antony Anghie, Imperialism, Sovereignty and the Making of International Law, Cambridge: Cambridge University Press, 2004, pp. 33, 52-53.     17 earlier natural law philosophy regarded property rights as inviolate, legal positivism vested an exclusive right in the state to regulate these matters. Within this paradigm shift, the notion that the tribes enjoyed full rights to the land they owned by virtue of occupancy or customary usage gave way to a new legal ideology, which ultimately failed to protect Indian title against the pre-emption claims of the settler state. In theory, the U.S. Constitution curtailed state authority over Indian affairs.53 However, with the tacit acceptance of the federal government, the state extended its jurisdiction over the tribes; defined Indian legal status; regulated the sale, conveyance, and inheritance of Indian lands; and restricted Indians’ ability to enter into enforceable contracts. Chapter three, organized topically, explores the characteristic features of colonial culture in nineteenth-century Indiana. Within a global context of Indigenous-settler relations, the narrative here traces the ideas and practices that surfaced across the far reaches of colonial empire and into the local legal institutions of the settler state. Despite their structural differences in approach to governing the Indigenous population, British and American settler polities employed similar strategies and techniques—both juridical and empirical in nature—for containing the jurisdictional anomalies of colonial society. State practices included the ethnographic study Native culture and life ways; the implementation of official criteria for recognizing Native customary law; and the establishment of rules of evidence, such as those regulating testimony in court. Following an extended survey of these issues, the final part of this chapter explores,                                                              53 U.S. Constitution, art. 1, sec. 8 provides that “Congress shall have power to . . . regulate commerce with . . . the Indian tribes.” The vague wording of this clause and the overall ambiguity in federal Indian policy led the states to claim jurisdiction for themselves. As historian Tim Alan Garrison notes, by the 1830s “the idea that states held jurisdiction over Indians within their borders became the majority rule in America.” See Garrison, “Beyond Worcester,” p. 450.     18 through case study analysis, how colonialism provided a doctrinal framework for the recognition of Indian marriage customs in Indiana. Needless to say, the ways in which the settler state responded to and recognized the Indian presence varied considerably. Throughout each of these chapters, themes of reciprocity and accommodation mark the historical narrative. Despite the nineteenth- century ascendance of legal positivism, the transition to a state-centered legal order failed to immediately or entirely displace a common normative discourse. Indians and settlers alike exploited, shaped, and borrowed law, often bridging the cultural divide, not only for group interests or self-serving purposes but also to accommodate socially evolving ideas of justice.54 On the Moral Presence of Our Past: A Note on Legal-Historical Methodology   In common law jurisprudence, the purpose of the past is to derive rules and principles that contain normative force and moral resonance with which to resolve contemporary issues and problems.55 Most academic historians consider this approach as subjective, Whiggish, or present-oriented, a distortion of historical representation in that modern values and anachronisms replace “objective” methods and “detached” interpretations of                                                              54 Bruce P. Smith, “Negotiating Law on the Frontier: Responses to Cross-Cultural Homicide in Illinois, 1810-1825,” in Daniel P. Barr, ed., The Boundaries Between Us: Native and Newcomers along the Frontiers of the Old Northwest Territory, 1750-1850, Kent, Ohio: Kent State University Press, 2006, p. 163. 55 Mark D. Walters, “Towards a ‘Taxonomy’ for the Common Law: Legal History and the Recognition of Aboriginal Customary Law,” in Diane Kirkby and Catharine Coleborne, eds., Law, History, Colonialism: The Reach of Empire, Manchester, England: Manchester University Press, 2001, p. 126.     19 the past. Proper history, by contrast, deals “not with past events in relation to ourselves and to the habitableness of the world, but in respect of their independence of ourselves.”56 While philosophers have long questioned the “purpose of the past,” the issue has emerged in recent decades with renewed vigor as historians debate the merits of one methodological theory over another.57 As a publicly oriented practice, history has broad implications on the ways in which moral discourse unfolds in today’s society. Legal historians in particular have an important responsibility in portraying the law’s past and its relationship to Indigenous peoples.58 History plays a critical role in contemporary Native claims litigation, perhaps more than any other area of law. The legal status of today’s Native peoples extends from a complex doctrinal history of international jurisprudence, treaties, statutes, constitutional principles, and customary practice spanning more than five centuries of interaction with settler society.59 As an ongoing process of legal inquiry, the Indigenous past is “alive with normative potential.”60                                                              56 Michael Oakeshott, Rationalism in Politics, and Other Essays, London: Methuen & Co., 1962, p. 147, as quoted by P.G. McHugh, “The Common-Law Status of Colonies and Aboriginal ‘Rights’: How Lawyers and Historians Treat the Past,” Saskatchewan Law Review, Vol. 61, No. 2 (1998): p. 394. 57 See generally, the introduction in Gordon S. Wood, The Purpose of the Past: Reflections on the Uses of History, New York: Penguin Press, 2008, pp. 1-16. On the “objectivity question,” the standard work is Peter Novick’s That Noble Dream: The “Objectivity Question” and the American Historical Profession, Cambridge: Cambridge University Press, 1988. 58 For a discussion on the influence of “revisionist” or “juridical” history on legal considerations of Indigenous land rights in Australia, see Bain Atwood, “The Law of the Land or the Law of the Land?: History, Law and Narrative in a Settler Society,” History Compass, Vol. 2, No. 1 (Jan. 2004): pp. 1-30. 59 On “why history matters” in American Indian law, see Felix S. Cohen, et al., Cohen’s Handbook of Federal Indian Law, 2005 Edition, Newark, NJ: LexisNexis, 2005, pp. 6-10; also see, Gloria Valencia- Weber, “American Indian Law and History: Instructional Mirrors,” Journal of Legal Education, Vol. 44, No. 2 (June 1994): pp. 251-266. Since the early 1990s, historians (as well as anthropologists, archaeologists, and other academics from the social sciences) have played a unique role in Native claims litigation. Legal and historical scholars often attribute this development to Mabo v. Queensland (175 CLR 1), a 1992 case in which the High Court of Australia rejected the colonial doctrine of terra nullius by recognizing Aboriginal title for the first time. Literature on the case is extensive; see for example, Christine Choo, “Historians and Native Title: The Question of Evidence,” in Kirkby and Coleborne, Law, History, Colonialism, pp. 261-276. On the ethical standards for historians involved in the legal process, see Jonathan D. Martin, “Historians at the Gate: Accommodating Expert Historical Testimony in Federal Courts,” New York University Law Review, Vol. 78, No. 4 (Oct., 2003): pp. 1532-1533; Douglas R. Littlefield, “The Forensic Historian: Clio in Court,” Western Historical Review, Vol. 25, No. 4 (Winter,     20 This study is, admittedly, presentist in that my interest in the subject of Indian- settler legal relations extends, in part, from concerns over modern developments in law and policy. Yet the question remains: is subjectivity a bad thing? All historical research and writing involves selection, interpretation, analysis, and emphasis of particular sources, never leaving the process completely free of partiality. In looking to the past for normative guidance, historians need not sacrifice academic integrity or sound empirical research. Nor must our projection of modern, ideologically informed, moral and political values distort the past. To the contrary, such values may actually provide greater depth of understanding historical subject matter through different perspectives, while leaving room for evaluation, critique, and negotiation.61 Without ignoring the means by which settler societies used law as an instrument of Native dispossession, it remains important—if only for broadening our knowledge of                                                                                                                                                                                   1994): p. 507; and J. Morgan Kousser, “Are Expert Witnesses Whores? Reflections on Objectivity in Scholarship and Expert Witnessing,” Public Historian, Vol. 6, No. 1 (Winter, 1984): pp. 5-19. Conversely, legal ethics regulating lawyers from engaging in what is often referred to as “law office history” is a subject of critical inquiry among many legal history scholars. The literature is large and diverse; see for example, Alfred Kelly, “Clio and the Court: An Illicit Love Affair,” Supreme Court Review, Vol. 1965 (1965): pp. 119-158; Daniel A. Farber, “Adjudication of Things Past: Reflections on History as Evidence,” Hastings Law Journal, Vol. 49, No. 4 (April 1998): 1009-1038; Martin S. Flaherty, “History ‘Lite’ in Modern American Constitutionalism,” Columbia Law Review, Vol. 95, No. 3 (April 1995): 523-590; John Reid, “The Touch of History – The Historical Method of A Common Law Judge,” American Journal of Legal History, Vol. 8, No. 2 (April 1964): 157-171; Neil M. Richards, “Clio and the Court: A Reassessment of the Supreme Court’s Uses of History,” Journal of Law and Politics, Vol. 13, No. 4 (Fall 1997): 809-891; Buckner F. Melton, Jr., “Clio at the Bar: A Guide to Historical Method for Legists and Jurists,” Minnesota Law Review, Vol. 83, No. 2 (Dec. 1998): 377-472; Matthew J. Festa, “Applying a Usable Past: The Use of History in Law,” Seton Hall Law Review, Vol. 38, No. 2 (2008): pp. 479-533; and Hon. Jack L. Landau, “A Judge’s Perspective on the Use and Misuse of History in State Constitutional Interpretation,” Valparaiso University Law Review, Vol. 38, No. 2 (Spring 2004): 451-487. 60 Mark D. Walters, “Histories of Colonialism, Legality, and Aboriginality,” University of Toronto Law Journal, Vol. 57, No. 4 (Fall, 2007): pp. 819, 820. 61 Ibid. p. 827; R.P. Boast, “Lawyers, Historians, Ethics, and the Judicial Process,” Victoria University of Wellington Law Review, Vol. 28, No. 1 (March, 1998): p. 109; and F.R. Ankersmit, “In Praise of Subjectivity,” in David Carr, Thomas R. Flynn, and Rudolf A. Makkreel, eds., The Ethics of History, Evanston, Ill.: Northwestern University Press., 2004, pp. 22, 24-25. According to Ankersmit, “[h]istorical writing is, so to speak, the experimental garden where we may try out different political and moral values and where the overarching aesthetic criteria of representational success will allow us to assess their respective merits and shortcomings.”     21 the legal past—to explore how settler law often accommodated the “other.” As several cases in this study illustrate, the courts dealt not only with legal questions, but also, and perhaps to a greater extent, with fundamental moral and structural questions over how to achieve sustainable justice across the cultural divide.62 Stories such as these present a unique opportunity for historians to use the past in shaping an intercultural modus vivendi in modern public discourse. Given the culturally permeable boundaries of the region’s legal traditions, the framework exists for an expanded and ongoing dialogue over the “narratives and counter-narratives of Indiana legal history,” stories that edify our modern sense of tolerance, accommodation, and reciprocity of diverse community norms. The challenge for modern legal forums in culturally plural societies involves identifying the value, relevance, and legitimacy of particular versions of the past, especially those that confront the “triumphalist and historicist logic of conventional settler history.”63 Literature Review   This study draws on an extensive literature. However, select works deserve attention for their influential sources, subject matter, historical theory, and method. Moreover, significant gaps in the scholarship warrant further consideration. Indiana legal history is limited in temporal scope. The literature often begins with statehood or the late territorial period, imparting little discussion and analysis under British and French colonial rule.64 The most relevant work is John Barnhart and Dorothy                                                              62 Also see, generally, Jeremy Webber, “The Jurisprudence of Regret: The Search for Standards of Justice in Mabo,” Sydney Law Review, Vol. 17, No. 1 (March, 1995): pp. 5-28. 63 Bain Attwood, “Settling Histories, Unsettling Pasts: Reconciliation and Historical Justice in a Settler Society,” in Manfred Berg and Bernd Schaefer, eds., Historical Justice in International Perspective: How Societies Are Trying to Right the Wrongs of the Past, Cambridge: Cambridge University Press, p. 219. 64 Early Indiana histories that discuss the French and British during the colonial period largely dismiss them for providing ineffective models of frontier law and government. Jacob P. Dunn, Jr., for example, admonished the French for having “had no conception of the modern ideas of civil liberty and political rights.” Rather, he insisted “[t]hey regarded self-government as an imposition on the people” and that     22 Riker’s Indiana to 1816: The Colonial Period, an excellent foundational study of the region under the French, British, and early American rule. Yet while the authors provide a thorough analysis of local and regional socio-economic developments, Indian-settler relations, and the politics of state succession, there is little discussion of the territory’s legal history.65 By and large, this work and others fail to consider the customary practices, community norms, and inter-cultural reciprocity that sustained an informal measure of law and “frontier justice” prior to statehood. Early nineteenth-century Indian-state affairs reveal critical aspects in the historical development of American Indian law and policy. However, the literature often overshadows this relationship by focusing instead on the role of the federal government. Deborah Rosen’s American Indians and State Law, a work that addresses issues such as tribal sovereignty, racial discrimination, and Indian citizenship under state jurisdiction, is a rare exception.66 Rosen provides a broad survey and analysis of civil and criminal court cases to illustrate the extent to which states assumed authority. Although national in scope, she introduces a state-level study unparalleled in the literature.67                                                                                                                                                                                   “[t]hey did not wish to make any laws.” “An honest commandment and the customs of the country were sufficient for their wants.” See Dunn, Indiana: A Redemption from Slavery, Boston: Houghton, Mifflin & Co., 1888, p. 271. 65 John Barnhart and Dorothy Riker, Indiana to 1816: The Colonial Period, Indianapolis: Indiana Historical Bureau, 1971. 66 Deborah Rosen, American Indians and State Law: Sovereignty, Race, and Citizenship, 1790-1880, Lincoln: University of Nebraska Press, 2007. 67 For other studies that address the topic of Indian-state relations indirectly or in limited extent, see Rosen’s historiography in the preface to her book. Additionally, Sidney Harring’s Crow Dog’s Case: American Indian Sovereignty, Tribal Law, and United States Law in the Nineteenth Century, New York: Cambridge University Press, 1994, is an equally useful study, albeit one with greater emphasis on the history of state criminal jurisdiction over American Indians. At the Indiana and Midwestern regional level, Bruce P. Smith and R. David Edmunds present unique, though short, narratives on Indians in the law based on local archives and county court records; see Smith, “Negotiating Law,” pp. 161-177; and Edmunds, “Justice on a Changing Frontier: Deer Lick Creek, 1824-1825,” Indiana Magazine of History, Vol. 93, No. 1 (March, 1997): pp. 48-52.     23 A fascinating niche literature on the “clash” of legal traditions in American frontier societies provides valuable insight into the nation’s mixed legal heritage and making of modern legal cultures.68 However, Indiana and other states formed from the Northwest Territory generally fall outside the scope of these studies. In addition, the emphasis in this scholarship on legal conflict and cultural disparity downplays the significance of accommodation and reciprocity.69 Exceptions to this gap in legal scholarship include H. Patrick Glenn, whose work has been described as “an effective antidote to the clash of civilizations.”70 By emphasizing a common normative discourse or cross-cultural modus vivendi between disparate groups of people, Glenn posits that all legal traditions—both in principle and in practice—“are externally open and internally accommodating.”71 The “middle ground” perspective offered by Glenn and other legal academics builds upon the foundational scholarship of historian Richard White.72 In his study of                                                              68 See, for example, David J. Langum, Law and Community on the Mexican California Frontier: Anglo- American Expatriates and the Clash of Legal Traditions, 1821-1846, Norman: University of Oklahoma Press, 1987; George Dargo, Jefferson’s Louisiana: Politics and the Clash of Legal Traditions, Cambridge, Mass.: Harvard University Press, 1975; Arnold S. Morris, Unequal Laws Unto a Savage Race: European Legal Traditions in Arkansas, 1686-1836, Fayetteville, Ark.: University of Arkansas Press, 1985; Bruce H. Mann, Neighbors and Strangers: Law and Community in Early Connecticut, Chapel Hill: University of North Carolina Press, 1987; María E. Montoya, Translating Property: The Maxwell Land Grant and the Conflict over Land in the American West, 1840-1900, Berkeley: University of California Press, 2002; Stuart Banner, “Written Law and Unwritten Norms in Colonial St. Louis,” Law and History Review, Vol. 14, No. 1 (Spring, 1996): pp. 33-80; and Stuart Banner, Legal Systems in Conflict: Property and Sovereignty in Missouri, 1750–1860, Norman: University of Oklahoma Press, 2000. 69 However, conflict itself involves a certain degree of accommodation and normative exchange. Conflicts necessarily arise from encounter and “even violent debate contains within it the possibility of toleration, since by implication the other is worth arguing with.” Moreover, “the (slightest) contact with another tradition implies a variation in the information base of the initial tradition.” See Glenn, Legal Traditions, p. 36. 70 As quoted in Nicholas H.D. Foster, et al., “A Fresh Start for Comparative Legal Studies? A Collective Review of Patrick Glenn's Legal Traditions of the World, 2nd edition,” Journal of Comparative Law, Vol. 1, No. 1 (2006): p. 107. 71 H. Patrick Glenn, “Are Legal Traditions Incommensurable?” American Journal of Comparative Law, Vol. 49, No. 1 (Winter, 2001): p. 142. 72 In her essay on American Indian studies, Mary E. Young describes the “middle ground” perspective, which emerged during the 1990s, as an “intellectual exchange” formed by an inter-disciplinary framework     24 Indian-settler relations in the Great Lakes region between 1650 and 1815, White focuses on the complex, historical processes of cultural mediation and exchange rather than conflict and subjugation. Although certainly not the first to consider the historical existence of negotiated social orders maintained under conditions of inequality, White’s work has had a profound influence on theory and method across a broad range of scholarly disciplines.73 Taking a “middle ground” approach to the past does not suggest overlooking the course of dispossession; however, this study attempts to find greater balance in an otherwise disproportionate body of scholarship. Because of its extra-legal nature, customary law receives broad treatment from many academic disciplines.74 By and large, however, scholars examine custom as a monistic source of authority within a particular legal tradition such as the English                                                                                                                                                                                   of demography, archaeology, ecology, anthropology and “new” social history. Drawing upon a range of scholarship, Young identifies this work as focusing on the “complexities of inter-cultural exchange” emphasizing the “egalitarian character of relations . . . between ethnocultural groups of the colonial period, and tend[s] to treat the gradual disappearance of this middle ground as decline rather than progress.” See Young, “The Dark and Bloody but Endlessly Inventive Middle Ground of Indian Frontier Historiography,” Journal of the Early Republic, Vol. 13, No. 2 (Summer, 1993): pp. 195-196. 73 On the historiographical influence of White, see Catherine Desbarats, “Following The Middle Ground,” William and Mary Quarterly, 3rd series, Vol. 63, No. 1 (Jan., 2006): pp. 81-96. James Pritchard of Queen’s University, flatly rejects the “middle ground” thesis, arguing simply that “ [the] Natives . . . governed themselves largely independent of French law, and the French sought continuously to conciliate them.” See Pritchard, In Search of Empire: The French in the Americas, 1670-1730, Cambridge: Cambridge University Press, 2004, p. 103, note 148. For earlier historiographical contributions, see for example, Mechal Sobel, The World They Made Together: Black and White Values in Eighteenth-Century Virginia, Princeton, N.J.: Princeton University Press, 1987. For other examples of the “middle ground” theory in law, see Jeremy Webber, “Relations of Force, Relations of Justice: The Emergence of Normative Community between Colonists and Aboriginal Peoples,” Osgoode Hall Law Journal, Vol. 33, No. 4 (Winter, 1995): p. 638; and Sally Hadden, “New Directions in the Study of Legal Cultures,” Cambrian Law Review, Vol. 33, p. 13. 74 For a legal analysis with a cross-disciplinary perspective, see Bederman, Custom. For an excellent collection of cross-disciplinary essays, see Amanda Perreau-Saussine and James Bernard Murphy, eds., The Nature of Customary Law: Legal, Historical, and Philosophical Perspectives, Cambridge: Cambridge University Press, 2007. Also see E.P. Thompson, Customs in Common, New York: New Press, 1993 (History); Karl Llewellyn and and E. Adamson Hoebel, The Cheyenne Way: Conflict and Case Law in Primitive Jurisprudence, Norman: University of Oklahoma Press, 1941 (Anthropology); H.L.A. Hart, The Concept of Law, Oxford: Clarendon Press, 1961 (Legal Philosophy); Burton M. Leiser, Custom, Law, and Morality: Conflict and Continuity in Social Behavior, New York: Anchor Books, 1969 (social philosophy); and Renteln and Dundes, Folk Law (Folk Studies).     25 common law or tribal legal system.75 Very few studies discuss the relational, inter- systemic, or dialogical qualities of customary law in legally plural societies. Notable scholars include Katherine Hermes, Ann Marie Plane, Peter Karsten, Paul McHugh, Mark Walters, and Brian Slattery, whose writings provide valuable insight into the legal recognition of Native laws and customs in French and British colonial America (and other parts of the British Diaspora).76 However, the extent of post-colonial analysis in these works focuses largely on the loss of tribal sovereignty and the decline of legal pluralism rather than the structural continuities of customary law during the early national period.                                                              75 On the role of custom in English common law, see Pocock, Ancient Constitution; on the role of custom in American Indian societies, see Elizabeth E. Joh, “Custom, Tribal Court Practice, and Popular Justice,” American Indian Law Review, Vol. 25, No. 1 (2000/2001): pp. 117-132; Robert D. Cooter and Wolfgang Fikentscher, “Indian Common Law: The Role of Custom in American Indian Tribal Courts,” Pts. 1 and 2, American Journal of Comparative Law. Vol. 46, No. 2 (Spring 1998), pp. 287-337; Vol. 46, No. 3 (Summer 1998), pp. 509-580. 76 See bibliography for respective works.     26 CHAPTER 1: A COMMON GROUND DIVIDED: INDIAN-SETTLER SOVEREIGNTY, COMMUNITY NORMS, AND THE CYCLES OF STATE SUCCESSION The modern Indiana landscape possesses a territorial history of shifting geo-political borders and overlapping claims to sovereign jurisdiction.77 As a contested site of imperial possession, the geographical realities of empire provided the region’s inhabitants with greater space to negotiate the terms of social and cultural interaction as well as the rules and norms that upheld these relationships.78 The lack of clearly defined political borders throughout most of the eighteenth century created a culturally porous frontier that blurred the boundaries of disparate legal traditions and customs.79 Within this popular ius commune, historical actors perceived themselves as “members of more than one legal community,” without a formal, uniform, or binding system of laws in place.80 As groups, agents, or subject polities negotiated the scope of their autonomy, colonial society qualified the imperial exercise of complete territorial jurisdiction.81                                                              77 For an overview of British and American jurisdictional claims encompassing modern-day Indiana, see “Introduction: Sovereignty and Legislative Authority over Indiana,” in John G. Rauch and Nellie C. Armstrong, eds., A Bibliography of the Laws of Indiana, 1788-1927: Beginning with the Northwest Territory, Indianapolis: Historical Bureau of the Indiana Library and Historical Dept., 1928, pp. xiii-xxxix. Until France’s cession of its North American colonies to England under the 1763 Treaty of Paris, both nations held extensive (and often overlapping) territorial claims to the interior region. English charters granted to various colonies during the seventeenth and eighteenth centuries—including those to Virginia, Massachusetts, Connecticut, and New York—coincided with actual French possession and settlement. 78 Leslie Choquette, “Center and Periphery in French North America,” in Christine Daniels and Michael V. Kennedy, eds., Negotiated Empires: Centers and Peripheries in the Americas, 1500-1820, New York: Routledge, 2002, p. 194. 79 On the permeability and accommodative nature of “legal traditions,” see H. Patrick Glenn, “A Concept of Legal Tradition,” Queen’s Law Journal, Vol. 34, No. 1 (Fall, 2008): pp. 427-445. On political boundaries and cultural frontiers see Jeremy Adelman and Stephen Aron, “From Borderlands to Borders: Empires, Nation-States, and the Peoples in between in North American History,” American Historical Review, Vol. 104, No. 3 (June 1999): pp. 815-816. 80 Lauren Benton, Law and Colonial Cultures: Legal Regimes in World History, 1400-1900, New York: Cambridge University Press, 2002, p. 14; also see generally, H. Patrick Glenn, “Transnational Common Laws,” Fordham International Law Journal, Vol. 29, No. 3 (Feb., 2006): pp. 457-471. 81 Lauren Benton, “Empires of Exception: History, Law, and the Problem of Imperial Sovereignty,” Quaderni di Relazioni Internazionali, No. 6 (Dec., 2007): pp. 54-55; Lisa Ford, “Empire and Order on the Colonial Frontiers of Georgia and New South Wales,” Itinerario, Vol. 30, No. 3 (Nov., 2006): p. 96.     27 For the French colonists—particularly those settling in the Illinois Country, Wabash, and Great Lakes regions after 1717—there was a greater flexibility in concepts of jurisdiction despite the claims of colonial and metropolitan authorities.82 The construction of colonial polities in the continental interior rested largely with the settlers themselves. In negotiating their place within this newly fabricated society, settlers crafted an independent jurisdictional order through economic relations, community politics, household structures, inter-personal mediation, and a spectrum of customary practices.83 By recognizing the economic, political, and social advantages of usufruct land tenure (the collective rights or individual privilege to exploit and benefit from, without squandering, another’s property), intermarriage, and strategic military alliances against foreign encroachments, the French were inclined to negotiate and concede jurisdictional boundaries to their Indian counterparts. In essence, personal and subject matter jurisdiction overrode territorial concerns.84 The transition of imperial authority in 1763 signaled little departure from this model of reciprocity. Rather than assert full territorial sovereignty, the British sought to expand their jurisdictional rights without displacing Native autonomy. However, by failing to establish an effective model of legal pluralism, the American colonies became sites of jurisdictional ambiguity and contest. The legal and political chaos of British North America fueled the Revolutionary radicals’ demands for change, eventually                                                              82 Hermes, “Jurisdiction in the Colonial Northeast,” p. 58. 83 Jack P. Greene, “The Cultural Dimensions of Political Transfers: An Aspect of the European Occupation of the Americas,” Early American Studies, Vol. 6, No. 1 (Spring 2008): p. 15. 84 Hermes, “Jurisdiction in the Colonial Northeast,” p. 58.     28 leading them to understand complete territorial authority as a logical prerequisite of settler sovereignty.85 Even as the region acquired key strategic importance during the eighteenth- century struggle for empire, it effectively remained an Indigenous controlled territory. During the French occupation of the Pays d’en Haut, Indians continued to manage their affairs internally; not only were the tribes necessary for colonial economic and political stability but also the shifting confederation of Algonquian tribes had no formal empire for the French to acquire and dominate. The sparse and loosely regulated trading and military outposts of the French regime represented only a meager and tenuous claim to sovereignty.86 British possession of the continental interior in 1763 signaled a greater centralization of authority. However, the Crown’s failure to reconcile Indian-settler conflict through a sustainable means of cross-cultural justice generated a common British enemy among the French and Indian inhabitants to the west and the American revolutionaries to the east. The collective failure of both colonial regimes to control the region reflected not only significant economic constraints and inherent political tensions but also the influence, adaptability, and enduring power wielded by the North American Indian tribes.87 This chapter examines the community foundations of a cross-cultural, custom-based law throughout the Illinois and Wabash countries and Great Lakes Region; geographic intersections of the continental interior that would later form the Territory and State of                                                              85 Lisa Ford, Settler Sovereignty: Jurisdiction and Indigenous People in America and Australia, 1788-1836, Cambridge, Mass: Harvard University Press, 2010, pp. 3, 21. 86 Choquette, “Center and Periphery,” pp. 198, 200. 87 Eric Hinderaker, Elusive Empires: Constructing Colonialism in the Ohio Valley, 1673-1800, Cambridge: Cambridge University Press, 1997, pp. xii-xiii.     29 Indiana. Through informal yet often highly disciplined practices, law was integral to sustaining Indian-settler sovereignty. The historical portrait that unfolds depicts a crucible of jurisdictional and jurisprudential experimentation, a “testing grounds” of modern colonial empire.88 Cycles of conquest and capitulation—under tribal, French and British occupation—introduced an array of common laws and customs, some of which survived the political transition under state succession, others that did not. The inherent tensions between colonial policy and settler norms, Indigenous customs and imperial discourse, and religious doctrine and secular authority, precipitated a crisis in American legal culture as the frontier receded and the newly-formed western states took shape. The geography and territorial jurisdiction that came into focus following more than two centuries of conquest and “discovery,” treaty provisions, and land ordinances, gradually distinguished the cultural divide, the hierarchies of which fell increasingly within the scope of a centralized, state-centered legal authority.89 With each shift in imperial authority came a new set of legislative prerogatives, legal systems, and cultural values. What followed was a gradual erosion of the middle ground between Natives and newcomers and the eventual dissolution of a community-based law in the Indiana territory. Perhaps this transition was inevitable considering the existing population’s size, density, and limited capacity for cultural resistance to the onslaught of American settlers.90 A closer examination of the historical record, however, challenges such presumptions. In                                                              88 Ibid. p. xiii. Phrase quoted from Christoph Strobel, The Testing Grounds of Modern Empire: The Making of Colonial Racial Order in the American Ohio Country and the South African Eastern Cape, 1770s-1850s, New York: Peter Lang, 2008. 89 Adelman and Aron, “Borderlands,” p. 817. 90 In addition to other political preconditions, Jack Greene identifies these variables as determinative of an existing polity’s degree of retained sovereignty as a conquered state; see Greene, “Cultural Dimensions,” p. 3.     30 considering the small but diverse and commercially active presence of American Indian and European communities in the west, post-Revolutionary statesmen expressed an initial preference for community-based law—reinforced in the republican spirit of the Ordinance of 1784—in the new American territory. Such principles persisted in western legal culture during the first two decades of the nineteenth century. The diverse sources of law upon which western jurists relied, as well as the vigorous debates over their intrinsic merits, displace modern assumptions of the English common law as the traditional and unequivocally recognized legal transplant in western jurisprudence by way of periodic “reception” statutes. Rather, lawmaking reflected an ongoing process of normative inquiry, which superseded the need for definitive enactment of binding, uniform law. Greater tolerance toward local customs and foreign sources of law emphasized the mixed character of Indiana’s foundational jurisprudence.91 By the early-nineteenth century, however, legal discord had become particularly acute as settlers flooded the trans-Appalachian west. Rather than adapting to the “custom of the country,” most American settlers followed their own social practices; transformed economic and household structures; introduced new systems of land tenure and concepts of property; and imposed the laws that they brought with them.92 The conflict of legal traditions in the Indiana territory illustrates a struggle between, what Peter Karsten identifies as, “high” and “low” legal cultures.93 The small but self-sustaining communities long established in the region had little room to negotiate with an aggressive                                                              91 H. Patrick Glenn, “Persuasive Authority,” McGill Law Journal, Vol. 32, No. 2 (March, 1987): pp. 267, 268. 92 See Greene, “Cultural Dimensions,” pp. 3, 15; and Karsten, Law and Custom, p. 118. 93 Peter Karsten, Between Law and Custom: “High” and “Low” Legal Cultures in the Lands of the British Diaspora—The United States, Canada, Australia, and New Zealand, 1600-1900, Cambridge: Cambridge University Press, 2002.     31 common law culture that viewed informal, customary-based legal systems with contempt and misunderstanding.94 In the long struggle for sovereignty, the region’s history of colonization, state succession, and territorial expansion proved ill-fated not only for the Indians but for the early French settlers as well. Inter-cultural Encounters and La Coutume à la Façon du Pays: Indian-Settler Relations and Community Norms During the French Colonial Period, 1717-1763   The social world of the Pays d’en Haut was in a constant state of flux and volatility at the turn of the eighteenth century. The Algonquian-speaking peoples (including the Mahican, Delaware, Munsee, and Shawnee tribes) of the Great Lakes region, Ohio Valley, and Illinois Country had taken refuge there during the latter half of the seventeenth century. Their forced migration westward followed the devastating epidemics introduced by European settlers along the Atlantic seaboard and the ensuing conflicts with the Iroquois tribes around eastern Lake Ontario. Other groups, including the Potawatomi, Miami, Piankeshaw, Wea, and Huron tribes had maintained a much longer presence in the Pays d’en Haut.95 This concentration of culturally diverse (and sometimes discordant) tribes coincided with an increasing presence of French traders, explorers, and Jesuit missionaries in the region. The moment and means of contact between the early European explorers and Indian tribes in what now constitutes the State of Indiana eludes the historical record. In 1679, French voyageur Sieur de La Salle and                                                              94 Richard P. Cole, “Law and Community in the New Nation: Three Visions for Michigan, 1788-1831,” Southern California Interdisciplinary Law Journal, Vol. 4, No. 2 (Winter, 1995): p. 165; and Hinderaker, Elusive Empires, p. 2. 95 See White, Middle Ground, pp. 1-3 and John Barnhart and Dorothy Riker, Indiana to 1816: The Colonial Period, Indianapolis: Indiana Historical Bureau, 1971, pp. 59-60, 65.     32 his men penetrated the area during their exploration of the Illinois and Wabash Countries.96 Permanent occupation and settlement, however, did not take place Map 1. Partie Occidentale de la Nouvelle France ou Canada, by Jacques Nicolas Bellin, 1755, from Library of Congress, Geography and Map Division (Digital Collections).                                                              96 Barnhart and Riker, Indiana to 1816, p. 62. Brian Slattery discusses the legal dimensions of French imperial expansion prior to colonization and settlement. The French Crown issued what is considered the first commission proper to explore the New World to Jacques Cartier on 17 October 1540. The commission made no assertions to French territorial rights nor did it authorize Cartier to acquire lands whether by treaty or by force. A commission granted to Jean François de Law Rocque, Sieur de Roberval on 15 January 1541 shifted the expeditionary goal to that of conquest and acquisition. The Royal instrument again made no assertion of pre-existing French rights; however, several provisions imposed French laws over the inhabitants, and the establishment of settlements, forts, and missions; see Brian Slattery, “Paper Empires: The Legal Dimensions of French and English Ventures in North America,” in John McLaren, A.R. Buck and Nancy E. Wright, eds., Despotic Dominion: Property Rights in British Settler Societies, Vancouver: University of British Columbia Press, 2005, pp. 56-65.     33 for another forty years. Although the French occupied posts and missions throughout the region during the mid- to late-seventeenth century, strict regulation of the colonial fur trade by French metropolitan authorities delayed western expansion.97 Despite these restrictions, hundreds of fur trading Frenchmen, known as coureurs de bois (literally “forest runners”), traded freely beyond the territorial confines of colonial jurisdiction. During their expeditions into the Pays d’en Haut the coureurs de bois relied upon Indigenous knowledge, languages, and services.98 To continue their self-regulating enterprise and remain securely in the west despite an official trading ban, the coureurs de bois used intermarriage as a means to build personal connections with the Indians.99 These frontiersmen and their Indian contemporaries served as critical intermediaries between two otherwise disparate worlds, creating models of social exchange that would become integral to sustaining a middle ground when the pace of colonization and settlement grew. In 1715, French metropolitan authorities lifted the trading ban and official expansion of the western posts began.100 Two years later, French Canada annexed the recently-formed colony of Louisiana.101 The tactical importance of the Illinois-Wabash Country—both in its commercial facility to the northern and southern colonies and as a line of defense against British encroachments—compelled the French to establish several                                                              97 In 1696, King Louis XIV issued a Royal Decree revoking the congé (or licensing) system of trade in the Indian country, prohibiting travel and settlement in the western provinces; see Barnhart and Riker, Indiana to 1816, p. 63; Saliha Belmessous, “Assimilation and Racialism in Seventeenth and Eighteenth-Century French Colonial Policy,” American Historical Review, Vol. 110, No. 2 (April, 2005): p. 338; and Winstanley Briggs, “Le Pays des Illinois,” William and Mary Quarterly, Vol. 47, No. 1 (Jan., 1990): p. 32. 98 Choquette, “Center and Periphery,” p. 197. For a brief historical etymology, see R.M. Saunders, “Coureur De Bois: A Definition,” Canadian Historical Review, Vol. 21, No. 2 (1940): pp. 123-131. 99 Belmessous, “Assimilation,” p. 339. 100 Barnhart and Riker, Indiana to 1816, pp. 70-71. 101 France founded the colony of Louisiana in 1699 and in 1718 the Illinois Country formally became part of the Province of Quebec; see Choquette, “Center and Periphery,” p. 199.     34 strategic forts and trading posts within the region. To further their economic and military interests, the French often built their posts adjacent to Indian villages. The construction of Post Ouiatanon (located near present-day Lafayette, Indiana) in 1717 commenced French expansionist efforts. Four years later, French officials reported the completion of Fort St. Phillippe near the Miami village of Kekionga (present day Ft. Wayne).102 To secure their economic and military control over the region, the French recognized the need for a fortified position on the lower Wabash and Ohio Rivers.103 After considerable delay, François-Marie Bissot, Sieur de Vincennes, founded “du Fort de Ouabache”— otherwise known by its namesake—near the Piankeshaw Indian village in 1733.104 French and Indian village boundaries remained distinct after initial settlement phases; however, social interaction became increasingly fluid and cultural exchange was commonplace. By the mid-eighteenth century, several trading posts throughout the greater Illinois Country, or Pays des Illinois, had developed a dynamic social and civic life. Post Vincennes formed a thriving community where village life adapted to the unique social conditions of the frontier. Records indicate that, as early as 1702, several French families had settled on or near the village site.105 Although accounts vary, over seven hundred French habitants resided throughout the Illinois Country in 1722 and, by                                                              102 Barnhart and Riker, Indiana to 1816, p. 75; also see Andrew R.L. Cayton, Frontier Indiana, Bloomington: Indiana University Press, 1996, p. 5. 103 Barnhart and Riker, Indiana to 1816, p. 76. 104 There is uncertainty over the exact date of Ft. Vincennes’ completion. Correspondence indicates, however, that foundations for the Fort were laid in late 1732 or early 1733; see Paul C. Phillips, “Vincennes in its Relation to French Colonial Policy,” Indiana Magazine of History, Vol. 17, No. 4 (Dec., 1921): p. 323. 105 Paul Phillips notes a 1772 French memorial to British General Thomas Gage stating “Notre Etablissement est de soixante et dix années [our establishment is sixty and ten years],” thus indicating French settlement at the village site as early as 1702; see Ibid.     35 1765, approximately ninety families had established themselves at Vincennes, having developed extensive trade relations and kinship networks with neighboring tribes.106 These early encounters constructed an intercultural village world, a tenuous one perhaps, but one with a flexible sense of community nonetheless. As historian Richard White portrays it, the French-Indian alliance endured “because two peoples created an elaborate network of economic, political, cultural, and social ties to meet the demands of a particular historical situation.”107 What began as an exercise in ad hoc, pragmatic accommodation, evolved into a new social order based on extended interaction and experience. With little authority extending beyond the village, groups formed connections at the local level.108 Despite the self-interests that gave life to the middle ground, community norms evolved by processes of tolerance and accommodation. “Cultural conventions,” White argues, “do not have to be true to be effective any more than legal precedents do . . . they have only to be accepted.”109 The primary thrust of social regulation came from village rules, either written or oral in form. Post commandants typically responded to local affairs only upon request or petition; in fact, the village community often relegated them to overseeing administrative matters such as promoting trade, taking censuses, or maintaining diplomacy with the                                                              106 Natalia Maree Belting, Kaskaskia under the French Regime, New Orleans: Polyanthos, 1975, p. 13; and John B. Dillon, A History of Indiana from its Earliest Exploration by Europeans to the Close of the Territorial Government in1816: Comprehending a History of the Discovery, Settlement, and Civil and Military Affairs of the Territory of the U.S. Northwest of the River Ohio, and a General View of the Progress of Public Affairs in Indiana from 1816 to 1856, Indianapolis: Bingham & Doughty, 1859, p. 84. 107 White, Middle Ground, p. 33. As Jeremy Webber remarks, “[t]his sense of community is more flexible than many competing definitions, more tolerant of internal disagreement and debate, more willing to recognize the presence of multiple allegiances, while nevertheless capturing the distinctiveness—the sense of separateness and cohesion—of communities.” See Jeremy Webber, “Relations of Force, Relations of Justice: The Emergence of Normative Community Between Colonists and Aboriginal Peoples,” Osgoode Hall Law Journal, Vol. 33, No. 4 (Winter, 1995): pp. 627-628. 108 White, Middle Ground, pp. 16, 17. 109 Ibid. pp. 53, 54. Also see generally, Clara Sue Kidwell, “Indian Women as Cultural Mediators,” Ethnohistory, Vol. 39, No. 2 (Spring, 1992): pp. 97-107.     36 local Indian tribes.110 The village parish served as a central forum for civic life. Rather than acting as mere ecclesiastical authorities on behalf of the colonial bishop, the local clergy served principally to promote the interests of the village community.111 Historian Winstanley Briggs portrays the normative essence of village life in the Illinois Country quite succinctly: Socially and politically, French Illinois demonstrated that successful creation of a self-generated, self-regulated, participatory early modern village society did not require Puritan Calvinism or the English common law or even homogeneity of background. Rather, the key element seems to have been the manorial village experience. . . . The point is the resilience and durability of this view of society, as created and accepted by its members, in the face of conditions that are commonly supposed to cause fundamental change. . . . French Illinois changed over its . . . history, but change was always made to fit under the umbrella of traditional village mores and methods because that was what the people of le Pays des Illinois insisted on.112 Within this self-regulated polity, the capacity for sustaining intercultural norms often exceeded that found under more formalized legal structures. The practice of marrying à la façon du pays (by custom of the country) emerged from the social and economic needs of fur trade society. These marriages evolved under both Indian and French customs and—while not always permanent and by no means contractual—did not necessarily reflect promiscuous encounters.113 Rather, marriage and sex served as vital links in sustaining the middle ground. Despite culturally conflicting ideas of marriage, divorce, and sexual activity, the appeal of domestic companionship reconciled French and Indian practices to form a new customary relation, according to the terms of which                                                              110 Briggs, “Le Pays des Illinois,” p. 43 and Belting, Kaskaskia pp. 17-18. Belting notes the shift in the commandant’s responsibilities at Kaskaskia by the 1730s, during which time the judicial duties of the provincial council functioned only irregularly; see Belting, Kaskaskia p. 17. 111 Briggs, “Le Pays des Illinois,” p. 42, referring to the village Kaskaskia. 112 Ibid. p. 56. 113 Susan Sleeper-Smith, “Women, Kin, and Catholicism: New Perspectives on the Fur Trade,” Ethnohistory, Vol. 47, No. 2 (Spring, 2000): p. 443, note 4.     37 Indians (and Indian women in particular) possessed considerable influence and freedom to negotiate.114 Like the French, many Indians recognized the socio-economic benefits of intermarriage. Moreover, both sides valued these conjugal relations as a form of diplomatic alliance, which—because of its larger political implications—encouraged even greater permanency.115 In addition to the fur trade, the Illinois settlers participated in agriculture and domestic husbandry. Under the semi-feudal seigneurial system that France introduced to its Canadian colony in 1627, the habitants, as individual tenants, occupied contiguous strips of land collectively adjacent to a common field, typically along a river or other waterway.116 However, the small size of the inhabitant’s land and the taxing annual dues left him with little financial independence.117 French-Canadian settlers who migrated to the Pays des Illinois carried this land tenure system with them but abandoned the vassalage system of paying tribute to the seigneur. With administrative responsibilities vested in the local commandant, the inhabitants continued exercising their usufruct rights on common pasturelands. At Vincennes, for example, most settlers—in addition to owning outright a half-acre lot upon which they built their farmhouses—received a strip of land, or “longlot,” along the banks of the Wabash, for collective farming and common pasturage. With strategic access to the Mississippi and the growing market demand for                                                              114 White, Middle Ground, p. 65. 115 Ibid. p. 69. 116See generally Jacques Mathieu, “Seigneurial System,” in James H. Marsh, ed., The Canadian Encyclopedia: Year 2000 Edition, Toronto: McClelland & Stewart, 1999, pp. 2136-2137. 117 Briggs, “Le Pays des Illinois,” p. 37.     38 food at New Orleans, Vincennes became an agriculturally self-sustaining economy by the mid-eighteenth century.118 Because there was little competition for land in the Illinois Country, usufruct land tenure presented a less exclusive form of boundary maintenance. Given the small population and ample land available, the settlers’ greatest problem was labor shortage. Under such conditions, women played an invaluable role, which their enhanced social and economic status certainly reflected.119 Moreover, the diverse economy of trade and agriculture presented fewer impediments to the integration of French and Indians in village life. As agricultural historian, Paul Salstrom, observes, “[t]he community first practices of the Midwest’s early French were not so different from those of the region’s Native Americans; [b]oth shared the idea that land uses should be regulated by membership groups which had the power to sanction or dispossess individuals whose practices broke social norms.”120 Unlike the “lawless frontier” so often depicted by early American historians, French legal culture in the interior region consisted not only of informal customs to guide social behavior but also of an elaborate body of laws, judicial orders, executive decrees, and colonial regulations.121 The official law of New France was the Coutume de Paris                                                              118 Paul Salstrom, From Pioneering to Preserving: Family Farming in Indiana to 1880, West Lafayette, Ind.: Purdue University Press, 2007, pp. 30, 31. 119 Briggs, “Le Pays des Illinois,” pp. 49, 53. 120 Salstrom, Pioneering to Preserving, p. 34. On the similarities between French and Indian systems of land tenure and the less exclusive nature of boundary maintenance, also see Hermes, “Jurisdiction in the Colonial Northeast,” p. 58. 121 With few exceptions, historians of today’s Midwest region have poorly articulated the subject of law governing civilian life throughout the eighteenth-century Illinois Country. For example, see Henry S. Cauthorn, A History of the City of Vincennes, Indiana from 1702 to 1901, Vincennes, Ind.: M. C. Cauthorn, 1902, p. 46; George Packard, “The Administration of Justice in the Lake Michigan Wilderness,” Michigan Law Review, Vol. 17, No. 5 (March, 1919): pp. 382-383; and George Alexander Dupuy, “The Earliest Courts of the Illinois Country,” Illinois Law Review, Vol. 1, No. 2 (June, 1906): pp. 81-93. Dupuy’s article begins with the establishment of the Cahokia court under the Act of Virginia in 1778. On views of the early Indiana French having no concept of liberty and self government, see Jacob Piatt Dunn, Jr., Indiana:     39 (Custom of Paris), a written body of civil laws first codified in France during the late fourteenth century.122 The Coutume consisted only of civil law, focusing primarily on land tenure, tenant rights, property and sales, family law, and inheritance. Comparatively, the Coutume de Paris covered only a fraction of those customs found in other regional compilations. However, as H. Patrick Glenn suggests, “[t]he Custom of Paris was . . . taken to be a synthesis of many other customs, a type of ideal custom against which others could be measured, and it was often the object of choice of law clauses, from as far away as Toulouse.”123 In practice, French jurists employed a “common law of custom” reasoning in formulating a substantive body of jurisprudence. Because the original sources of unwritten law grew from a variety of local conventions,                                                                                                                                                                                   A Redemption from Slavery, New York: Houghton, Mifflin, 1888, p. 271. Most of these historians have relied on the biased accounts of British colonial and early American legal authorities who considered the French as “lawless,” without representative government, and subject only to the arbitrary fiat of the local commandant. The most important historiographical exceptions include the works of Theodore Calvin Pease and Clarence Walworth Alvord, which are noted throughout this chapter and the bibliography. 122 An influential source of late fourteenth-century private compilations was the Grand Coutumier de France. In 1498, the French Crown issued letters patent, which vested local assemblies with the authority to determine what was to be included in the written codes. By “collecting the customs,” municipal and regional representatives committed local juridical principles to written form. By commission of Louis XII in 1510, French lawyers and magistrates began drafting articles for official enactment. The Crown took measures to ensure codification did not unalterably fix these customs. Through procedural inquiry, the enquêtes par turbe (local representative assemblies akin to the English common law grand jury) decided the final disposition of the law. In 1539, French jurist Charles Dumoulin began drafting a commentary on the Coutume de Paris. By expounding on basic principles of the Coutume, Dumoulin’s commentaries served to append or interpret provisions as well as to resolve common conflicts of custom. The significance of Dumoulin’s efforts (and those who built upon his work until the formation of the Napoleonic Code) exemplifies the Coutume as a living and adaptive corpus juris, not entirely unlike the English common law. At the turn of the seventeenth century, a sizeable compilation of the pays de coutume had been published and by the Revolutionary period, France had collected sixty-five regional customs and over three hundred local and town customs; see Jerah Johnson, “La Coutume de Paris: Louisiana’s First Law,” Louisiana History, Vol. 30, No. 2 (Spring, 1989): pp. 148-149; also see James Q. Whitman, “Why Did the Revolutionary Lawyers Confuse Custom and Reason,” University of Chicago Law Review, Vol. 58, No. 4 (Fall 1991): pp. 1345-1346. Whitman critiques Dumoulin’s and his contemporaries’ methods as a response to the growing evidentiary crisis of custom in the seventeenth century. For French regional compilations, see Jean Caswell and Ivon Sipkov, eds., The Coutumes of France in the Library of Congress: An Annotated Bibliography, Washington: Library of Congress, 1978, p. 22; for an extended analysis of the “collection” and codification of regional French customs through the end of the eighteenth century, see John P. Dawson, “The Codification of the French Customs,” Michigan Law Review, Vol. 38, No. 6 (April, 1940): pp. 765- 800. 123 H. Patrick Glenn, “The Common Laws of Europe and Louisiana,” Tulane Law Review, Vol. 79, No. 4 (March, 2005): p. 1052.     40 the Coutume de Paris—embodying the spirit of French customary law—was far more intricate and adaptive than many scholars have admitted. The brevity and even silence of the Coutume on several legal issues illustrated its flexibility not only in local matters but also throughout the French realm, rendering it equally adaptive as a colonial transplant.124 On 14 September 1712, Louis XIV declared the Coutume de Paris as the official law of the Louisiana colony.125 By extension of the Royal Charter of 1 January1718, the Coutume governed the vast Illinois Country, which was under the jurisdiction of the Company of the Indies.126 In order to “put justice, with greater ease, within the reach of the colonists,” the French Crown, in 1721, made provisions for the establishment and maintenance of a civil government in each of Louisiana’s eight regional districts.127 Kaskaskia (and adjacent Fort des Chartres) served as the primary seat of administration in                                                              124 Johnson, “La Coutume,” pp. 150-151. 125 Charles E. Hoffhaus, “The Coutume de Paris and the Jus Civile in Mid-America,” University of Missouri at Kansas City Law Review, Vol. 33, No. 2 (Summer, 1965): p. 227. Prior to this decree, French settlers typically followed the regional customs they were most familiar with, practices which may have also influenced how the Coutume de Paris took shape in the several colonial districts throughout North America. For example, during the early 1600s, Champlain drew his will following the custom of Saintonge, his native province in France; see Glenn, “Common Laws of Europe,” p. 1056. Francis Philbrick suggests that French-Canadian settlers in the Illinois Country likely followed the Custom of Normandy, from “whence came a very large portion of the population.” See Francis S. Philbrick, ed., Laws of Indiana Territory, 1801-1809, Collections of the Illinois State Historical Library, v. 21, Springfield, Ill: Trustees of the Illinois State Historical Library, 1930, p. ccxv, n. 2. 126 Natalia Maree Belting, Kaskaskia p. 16; also see Barnhart and Riker, Indiana to 1816, pp. 75-76. France granted letters patent to the Western Company in August of 1717 (becoming the Company of the Indies in 1719) for “the advantage of both colonies [Canada and Louisiana],” and providing the Company “the exclusive right of trading in [the] province and government of Louisiana,” and “to enjoy the same in full property, seigniory and jurisdiction.” See B.F. French, Historical Collections of Louisiana . . . Compiled with Historical and Biographical Notes, and an Introduction, Vol. 3, New York: D. Appleton & Co., 1851, p. 50 (pp. 49-59 include the complete text of the letters patent). According to French, “[t]he plan of this company was not unlike that of the British East India Company, and possessed powers and privileges nearly equal.” See B.F. French, Historical Collections of Louisiana and Florida . . . With Numerous Historical and Biographical Notes, New York: J. Sabin & Sons, 1869, p. 135, n. France granted the Company a complete monopoly on colonial commerce, full treaty-making powers with the Indian tribes, authority to grant lands, and the discretion to install and remove inferior judges and civil officers. 127 Belting, Kaskaskia, p. 16; quote from Johnson, “La Coutume de Paris,” p. 154. In addition to Illinois, Louisiana’s other districts included New Orleans, New Biloxi, Mobile, Alibamous, Natchez, Yaqou, and Natchitoches.     41 the Illinois District.128 By 1722, the provincial council at Kaskaskia presided over all cases involving criminal and civil matters. Jurisdiction extended east to the posts on the Wabash, and petitioners held entitlement of appeal to the Superior Council of Louisiana.129 From its introduction (or reception), the Custom of Paris—“representing the general, common law of the metropolitan territory”—served to moderate the diversity of French customs through legal uniformity; however, as Glenn posits, it “was not seen as a definitive code but as a resource, a complementary or relational source of law, which necessarily yielded to local regulation of a more imperative character.”130 Local notaries, district judges, and even the Superior Council of Louisiana exercised authority independent of the Crown and issued decisions interpretive of or modeled after the Custom of Paris.131 The presence of the Coutume de Paris in the Illinois Country reveals French concerns with regulating property and domestic relations. Provisions governing marriage, community (or jointly owned) property, and inheritance were especially relevant to French-Indian relations and Indian women’s property rights in the region.                                                              128 Belting, Kaskaskia, p. 16. The principle administrative and judicial body consisted of the commandant, chief clerk, captain of the military garrison, and several other officials. The composition of the courts may have varied from district to district and changed over time depending on the size of the population served and the administrative resources available. Historian Jerah Johnson suggests that “[e]ach local judge formed a court by appointing two citizens to sit with him when hearing civil cases and four when hearing criminal ones.” See Johnson, “La Coutume,” p. 154. 129 Belting, Kaskaskia, pp. 16-17. According to Belting, after retrocession of the Illinois Country from the Company of the Indies to the French Crown in 1731, the framework of civil government continued much the same. In 1734, however, the judicial duties of the provincial council transferred to the écrivain principal, an official Louisiana delegate who presided over all disputes between the inhabitants. For an overview of the composition, jurisdictional capacity, and functions of the Superior Council, see James D. Hardy, Jr., “The Superior Council in Colonial Louisiana,” in John Francis McDermott, ed., Frenchmen and French Ways in the Mississippi Valley, Urbana: University of Illinois Press, 1969, pp. 87-101. 130 Glenn, “Common Laws,” pp. 1056, 1057. 131 Ibid; also see Earl Finbar Murphy, “Laws of Inheritance in Indiana Before 1816,” New York Law Forum, Vol. 2, No. 3 (July, 1956): p. 256.     42 Although the Coutume limited the prerogative of all married women, it granted widows considerable discretion over their deceased husbands’ estates.132 Provisions were especially liberal when compared to the legal disabilities imposed by the English common law of coverture in other parts of contemporary colonial America as well as successor governments in the Northwest and Indiana Territories.133 For example, the Coutume entitled all widows, French and Indian alike, to one-half of their husbands’ estates with the remaining common property divided among their children. In the absence of children, the property went to the widow’s legatees rather than her deceased husband’s kin.134 Women were equally free to dispose of their share of the community property by last will and testament.135 French law also prohibited the husband from selling, exchanging, partitioning, or indebting his wife’s personal property without her consent. In addition, a widow received a grant from her husband’s personal property upon his death. Known as a douaire, this grant was obligatory and was intended to                                                              132 Jennifer M. Spear, “Colonial Intimacies: Legislating Sex in French Louisiana,” William and Mary Quarterly, 3rd ser., Vol. 60, No. 1 (Jan., 2003): p. 89. 133 For literature discussing the legal disabilities imposed upon women by coverture in colonial America, see Ariela R. Dubler, “In the Shadow of Marriage: Single Women and the Legal Construction of the Family and the State,” Yale Law Journal, Vol. 112, No. 7 (May, 2003): pp. 1641-1715; Deborah A. Rosen, “Women and Property across Colonial America: A Comparison of Legal Systems in New Mexico and New York,” William and Mary Quarterly, 3rd Series, Vol. 60, No. 2 (April, 2003): pp. 355-381; and Marylynn Salmon, “The Legal Status of Women in Early America: A Reappraisal,” Law and History Review, Vol. 1, No. 1 (Spring, 1983), pp. 129-151. For an overview of laws governing a widow’s inheritance rights under the Northwest Territorial, Indiana Territorial, and Indiana State governments, see Charles H. Scribner, A Treatise on the Law of Dower, 2nd ed., Vol. 1, Philadelphia: T. & J.W. Johnson & Co., 1883, pp. 45-49; on the persistence of coverture in Indiana despite restrictions under the 1787 Ordinance, see Murphy, “Laws of Inheritance,” p. 277. 134 Jennifer M. Spear, “‘They Need Wives’: Métissage and the Regulation of Sexuality in French Louisiana, 1699-1730,” in Martha Hodes, Sex, Love, Race: Crossing Boundaries in North American History, New York: New York University Press, 1999, p. 44. 135 This and the following examples are taken from Vaughan Baker, Amos Simpson, and Mathé Allain, “Le Mari Est Seigneur: Marital Laws Governing Women in French Louisiana,” in Edward F. Haas, Louisiana’s Legal Heritage, Pensacola, Fla.: Perdido Bay Press, 1983, pp. 11, 13.     43 provide the widow with economic security and a means to live respectably.136 That American Indian women enjoyed these benefits, at least initially, under the French legal regime is evident in the historical record.137 Inevitably, questions over identity, citizenship, and nationality entered French legal discourse.138 Heeding several complaints among the Kaskaskia French that Indian widows were failing to reconcile debt obligations held against their husbands’ estates, the Superior Council of Louisiana responded with stricter regulations. By decree of 18 December 1728, the Council ordered that estates going to Indian widows were to be administered by an appointed cure, often a Frenchman.139 The directive entitled an Indian widow to only one-third of her husband’s estate in annuities and the ownership of all real property transferred to the Company of the Indies. Pensions were to “cease forthwith if she . . . return[ed] among the natives to live according to their manners.”140 To deter intermarriage, the Council restricted “all French and other white subjects of the King to contract marriages with Savage women” and threatened those it considered complicit with “the loss of all civil dispositions.”141 In a reiteration of policy seven years later, the Council published an edict on 8 October 1735 prohibiting all French-Indian marriages without the consent of the governor, intendant, or commandant of the Illinois                                                              136 It is important to note that the wife became eligible for the douaire and other benefits under the Coutume only upon receiving marital blessing; see Ibid. p. 13. What constituted marital blessing, however, was relative not only to the royal code, but to community standards as well. 137 For several examples, see appendix of marriage records between 1723 and 1763 in Belting, Kaskaskia, pp. 80-85. 138 Spear, “They Need Wives,” p. 44. 139 See Belting, Kaskaskia, pp. 74-75, Spear, “Colonial Intimacies,” p. 89, and Guillaume Aubert, “‘The Blood of France’: Race and Purity of Blood in the French Atlantic World,” William and Mary Quarterly, Vol. 61, No. 3 (July, 2004): pp. 470-471. Belting mistakenly attributes the decree to the Canadian Superior Council. 140 Spear, “Colonial Intimacies,” p. 89 quoting decree. 141 Apparently, the case reached French metropolitan authorities as Versailles ratified the Superior Council’s decision; see Aubert, “Blood of France,” p. 471.     44 posts.142 In 1750, Governor Pierre François de Rigaud, Marquis de Vaudreuil wrote the Illinois commandant that the prevention of intimate relations among the French and Indians was an “essential aspect” of his duties.143 These developments emerged not from isolated incidents at the village level but rather from larger tensions within the French colonial empire that had evolved over the course of several decades. During the latter half of the seventeenth century, the general approach of colonial policy toward North American Indians emphasized assimilation to French religion and culture.144 New France submitted its Indigenous population to French laws, conferred citizenship status, encouraged their adoption of French language and customs, and initially promoted mixing and intermarriage with French settlers. Colonial officials fully intended to capitalize upon French-Indian marriages as a strategic means of social and economic cohesion for the fur trade.145 By the 1680s, however, serious doubts had grown among colonial authorities over the effectiveness of assimilation policy. With the expansion of the fur trade and the reopening of the western posts during the early eighteenth century, intermarriage grew precipitously, drawing increasing opposition from colonial authorities.146 Intermarriage often placed religious and secular authorities at odds. French clergy in North America had initially supported colonial assimilation policies; however, by the mid-seventeenth-century, they sought greater cultural compromise between Christian                                                              142 Belting, Kaskaskia, p. 75. 143 Aubert, “ Blood of France,” p. 472. 144 Belmessous, “Assimilation,” p. 330. 145 Ibid. pp. 330-331. 146 Ibid. p. 339.     45 doctrine and Indian customs in their attempts at religious conversion.147 Although French colonial policy shifted away from miscegenation, local priests and missionaries invariably sanctioned such unions, believing the practice to help fight moral disorder.148 In responding to the Superior Council’s 1728 edict, Father Jean Antoine Le Boullenger of Kaskaskia protested that French colonial policy in fact tolerated inter- marriage, provided that the Indian bride had been converted to the Catholic faith.149 At issue for Le Boullenger was not the legitimacy of these marriages but rather the question of whether Indian widows were French subjects and entitled to succession under French law.150 Father René Tartarin, a contemporary of Le Boullanger’s at Kaskaskia, argued that only by sanctioning intermarriage could mixed children effectively assimilate through legitimate inheritance from their French fathers.151 As early as 1708, Henry Roulleaux de La Vente, vicar-general of the bishop of Quebec in Louisiana, admitted that French-Indian marriages were acceptable in the Illinois Country where “[Indian] women are whiter, more laborious, cleverer, neater in the household work, and more docile than                                                              147 Ibid. p. 335. For an extended treatment of conversion efforts in colonial North America, see Luca Codignola, “The Holy See and the Conversion of the Indians in French and British North America, 1486- 1760,” in Karen Ordahl Kupperman, ed., America in European Consciousness, 1493-1750, Chapel Hill: University of North Carolina Press, 1995, pp. 195-242. 148 Belmessous, “Assimilation,” p. 343. Solemnizing intermarriages did not, however, suggest that the clerical order advocated such nuptials. While local missionaries or parish priests continued to accommodate community norms, the hierarchy of the French Jesuit order officially demanded the bishop’s consent in addition to that of the colonial governor and groom’s family before acknowledging civil matrimony; see Cornelius J. Jaenen, The Role of the Church in New France, Toronto: McGraw-Hill Ryerson, 1976, p. 29. Consequently, local clergy occasionally appealed to higher religious authorities to sanction mixed unions. As early as 1648, for example, Jesuit priest Pierre de Sesmaison sought a papal dispensation permitting Frenchmen to marry Native girls who had yet to be baptized; see Jaenen, Friend and Foe: Aspects of French-Amerindian Cultural Contact in the Sixteenth and Seventeenth Centuries, New York: Columbia University Press, 1976, p. 164. 149 See Belting, Kaskaskia, p. 74 and Aubert, “Blood of France,” p. 471. 150 Aubert, “Blood of France,” p. 471. 151 Belting, Kaskaskia, p. 75. For brief biographical sketches of Frs. Le Boullenger and Tartarin, see August Reyling, Historical Kaskaskia, St. Louis, Mo.: Reyling, 1963, pp. 45, 53.     46 those of the South.”152 In contrast, Commissary Jean-Baptiste Dubois Duclos argued in 1715 that Indian wives, “especially in the Illinois, have changed nothing or at the very least very little in their manner of living, [and] very often leave their [French] husbands.”153 Duclos added that only those French “liv[ing] in the manner of Savages would be willing to take such wives.”154 Rhetoric such as Duclos’s did not always correspond to the reality of social life in the Illinois Country. Nor did the Superior Council of Louisiana unilaterally reject French and Indian marriage as illegitimate or its incidental rights as unfounded. On 2 April 1745, Sieur Louis Auguste de la Louere Flaucourt, district judge of the Illinois Country, issued a ruling in a lawsuit involving the allocation and distribution of community property from the estate of an Indian woman named Francoise Missoury.155 Missoury’s first husband, Francois Dubois, was a French military officer with whom she had several children, including a daughter named Francoise Dubois. Following the death of Francois, according to the statement of facts, Missoury “took possession, as was her right, of all the effects without . . . making an inventory.”156 Sometime in 1730, Missoury married Louis Marin de la Marque (with whom she also had children) “without either making an inventory or drawing a marriage contract.”157 Subsequent to Missoury’s death (which appears to have occurred sometime in 1739), Francoise and her siblings “had an                                                              152 Letter of Le Vente dated 4 July 1708, quoted in Aubert, “Blood of France,” p. 469. 153 Letter of Duclos dated 25 December 1715, quoted in Ibid. p. 470. 154 Ibid. 155 Louis Thibierge v. Louis Marin de la Marque (1745), in Henry P. Dart, ed., “Decision Day, Superior Council of Louisiana,” Louisiana Historical Quarterly, Vol. 21 (1938): p. 1003. 156 Ibid. p. 1018. Neither the year of their marriage nor the date of Francois Dubois’ death are known. 157 Ibid. According to Marin, Missoury made a “declaration” (rather than an inventory) of her property on 28 July 1730, thus indicating (but not confirming) the year of their marriage. Article 220 of the Custom of Paris, “[c]oncerning the property that enters into the community and the time when the community begins,” held that “[m]en and women united by marriage own in common all movable property acquired during their uninterrupted marriage” and “the community begins from the day of the marriage and nuptial benediction.”     47 inventory made claiming their right to the community.”158 Louis Thibierge, the plaintiff and husband to Francoise Dubois (the latter having died sometime during the course of litigation), filed a petition with the Illinois Court for the division of community property. The issue involved Thibierge’s claim, on behalf of his minor children, to a share in the community property that had existed between Missoury and Marin, the defendant in the case. Thibierge contended, by authority of the Custom of Paris, that Missoury had failed to inventory the community existing between her and Sieur Dubois, the effects of which—to the benefit of Francoise and her successors in interest—mingled with Marin’s property following the second marriage.159 Marin, on the other hand, insisted that Missoury had made a declaration, in lieu of an inventory, “although he admit[ted] that it [was] not dressed in the form required by articles 240 and 241 of the Custom of Paris.”160                                                              158 The year of Missoury’s death, as noted above, is attributed to an inventory dated “February 3, 1739, produced by Thieberge,” having been “made after the death of said (widow) Dubois [Missoury].” The inventory was then “received by Barrois, Notary in Illinois, and considered closed and concluded without date, and considering the Act of division of February 4, 1739.” See ibid. p. 1014. The court records refer to another inventory dated 28 March 1733, but it is unclear whether this accounting was prepared during Missoury and Marin’s marriage or if it was transcribed in error. There are several inconsistencies in the record relating to dates attributed to the various documents in question. The 1733 inventory may have been taken following the death of Sieur Dubois; however, this indicates that he would have died sometime in late 1732 or early 1733, which conflicts with other dates and statements made in the record. Article 241 of the Custom of Paris stipulated that “the inventory shall be closed within three months after its shall have been made . . . [a]nd to confirm the dissolution of the community, it is necessary that the said inventory be made and perfected, and the surviving spouse shall cause it to be closed within three months after it shall have been made; in the event that the surviving spouse fails so to do, the community shall continue, if the children think fit.” Article 229, which regulated the “division of the community,” provided that “[a]fter the death of one of the said spouses the community property is divided as follows: the surviving spouse takes one half, and the heirs of the deceased spouse take the other half.” 159 Ibid. pp. 1003-1004; Article 240 of the Custom of Paris, regulating the “continuation of the community in default of a valid inventory,” stipulated that “when one of the spouses dies and leaves minor children of the marriage, if the surviving spouse does not cause an inventory to be made contradictorily, with some one capable of acting for the minors, of all the property, both movable and acquired immovable property, which was common during the marriage, and at the time of the said death, the surviving child or children, should he or they think fit, shall have the right to claim that all the property of the surviving spouse . . . be considered community property, in the event that the surviving spouse remarries.” 160 Ibid. p. 1018.     48 Following extended litigation and a failed attempt at arbitration, the Illinois Court ordered that Marin’s (Missoury’s) “inventory of July 28, 1730 . . . be maintained.”161 However, Judge Flaucourt reserved his decision on the legal issues at bar for consideration and remand by the Superior Council. On 5 June 1745, Thieberge filed a petition “to pursue his requests and to anticipate . . . Marin’s act of appeal before the Supreme Court of this Province,” which the Illinois Court granted.162 “May it please the Court,” Thieberge prayed in his appeal to the Superior Council of Louisiana, “to declare null the judgment rendered on April 2, 1745, in the jurisdiction of Illinois . . . between the appellant and the appellee; to declare null and void the would-be declaration, produced in lieu of inventory, made by Marin’s wife, and to sentence said Marin . . . to pay past and future costs of the lawsuit.”163 Marin’s petition, in turn, sought summary judgment on the case, “asking that it please the Council to decide on the validity or invalidity of the Inventory signed.”164 As persuasive authority, Marin’s counsel relied on a decree of 1601, which “declare[d] force and effect of dissolution of community notwithstanding some nullities in the inventory.”165 Having considered the appeals and weighed the evidence presented, the Superior Council sided with Thieberge. “[W]ith no signature affixed by any person entitled to the capacity of Judge or Notary,” the Council rejected Marin’s declaration as “defective both                                                              161 Thibierge v. Marin, in Heloise H. Cruzat, ed., “Records of the Superior Council of Louisiana,” Louisiana Historical Quarterly, Vol. 14 (1931): p. 591. 162 Thibierge v. Marin, “Decision Day,” pp. 1016-1017. 163 Ibid. p. 1019. 164 Ibid. p. 1017. 165 Ibid. p. 1018.     49 in its substance and in its form.”166 In an expository opinion, the Council held that in Missoury’s capacity as Dubois’ widow but appearing under the name of Marin: it was impossible for her to dissolve a community that she had kept up through the second marriage, as it is the day of the celebration that renders man and wife common, all the more that the community stipulated in a marriage contract takes place only under this condition, even if it were not stipulated, unless there existed clauses to the contrary, agreed upon by the contracting parties. “It is believed that these reasons,” the Council concluded, “based on the Custom (of Paris), are sufficient to render said declaration null.”167 Having applied the legal framework to the case, the Council issued a decree on 4 December 1845, declaring without remand “that there is continuation of community up to the inventory made on [February] 3, 1739, . . . [and] that a new division be made of the belongings contained in said inventory, by thirds, viz: one third to the children of Dubois, one third to Marin, and the last third to be divided, in equal shares, between the children of Dubois and those of Marin.”168 Although the case appears to have been an exceptional instance of legal action (considering the time and expense related to the trial and appeals process and the distance traveled to New Orleans), Thibierge v. Marin illustrates the validity given by the respective district and superior courts to French and Indian marriages, the incidental rights that the parties and their successors enjoyed, and the rule of law the courts followed under the interpretive principles of the Custom of Paris.                                                              166 Ibid. pp. 1017, 1018. 167 Ibid. p. 1019. 168 Ibid. p. 1006. Article 242 of the Custom of Paris provided that “[i]f the surviving spouse remarries, the said community is continued between them by thirds, namely, the children take one third, the husband and wife each takes one third.” Moreover, “if each of the spouses has children by former marriage, the said community is continued by fourths; and the said community is multiplied if there have been other marriages, and it is divided equally, so that the children of each marriage take one share in said community.”     50 Contemporary marriage and baptismal records also provide an intimate picture of regional village life that colonial policy often failed to reflect. The activity at St. Francis Xavier Parish at Post Vincennes and the St. Joseph River Mission (located near present- day Niles, Michigan, a short distance north of South Bend, Indiana) followed characteristic patterns of social adaptation to frontier life. Personal relations among the inhabitants illustrate the inter-cultural makeup and sense of kinship that imbued village life. French villagers often served as Godparents to many of the Indians baptized at the mission. At St. Joseph on 15 April 1752, Sieur Jacques du May and “the wife of Sieur Bolon” served as Godparents to “a panise by nation about thirty five years old who took the name of marguerite.”169 On other occasions the role was reversed. At St. Francis Xavier, “Marie [an] Indian woman [and] wife of la [F]ramboise” acted as Godmother to Louis Exepan and Marie Louise Pertuis.170 Parish records also document the community recognition of marriages between couples previously united à la façon du pays or in the absence of a religious or secular official. Moreover, local clerics observed marital union between French and Indian companions as well.171 For example, according to the “Record of Marriages for the Savages of Post Vincennes,” Jesuit priest S.L. Meurin “[c]onferred nuptial benediction on pierre giapichagane called le petit chis & Catherine mgkicge (already united in a natural                                                              169 George Pare and M.M. Quaife, “St. Joseph Baptismal Register,” Mississippi Valley Historical Review, Vol. 13, No. 2 (Sep. 1926): pp. 223. 170 Edwin J.P. Schmitt, ed., trans., “The Records of the Parish of St. Francis Xavier at Post Vincennes, Ind.: 1749-1773,” Records of the American Catholic Historical Society of Philadelphia, Vol. 12 (1901): p. 209. 171 This assertion is based on the explicit mention by priests of the participants’ ethnic origin or tribal nationality. While names alone do not provide the discerning characteristics of the historical actors’ identity, it is important to note that some of those with French names were likely to have been Métis peoples or Indians given Christian names by the local clergy.     51 marriage for a long time) the 26th of June, 1749.”172 On 10 August 1751, Meurin presided over public banns “bet[ween] joseph, a Paducah & Marie louise a Chickasaw.”173 The community sanction of vows such as these illustrate the permanence villagers attached to the idea of marriage. The importance of these records lies in their affirmation of community praxis. Village norms, rather than formal rules, determined the legitimacy of marriage practices. Following the transition to British imperial authority in 1763, these standards continued to regulate the frontier social order. The cultural encounters and normative exchanges in the Pays d’en Haut demonstrate that—despite French colonial policies aimed at regulating these interactions—local communities often chose to exhibit tolerance toward social diversity and legal pluralism. Geographic distance and village isolation certainly played a large part in this community dynamic. Even as settlement and trade expanded in the region, the Illinois Country remained at the periphery of effective colonial governance. Within this remote jurisdiction of empire, the official Coutume de Paris garnered adherence among the French inhabitants but served more as a model or supplemental common law adaptive to the popular norms and pragmatic accommodations associated with frontier life rather than as a fixed, binding code subject only to imperial authority. Consequently, colonial authorities made little attempt to adjust the self-regulating legal landscape.174 The inter- systemic dynamics of French and Indian customary law remained elastic, negotiable, and adaptive, challenging not only the traditional conquest narrative in American history but also the idea that mediation between two otherwise disparate societies was unworkable.                                                              172 Schmitt, “St. Francis Xavier,” p. 42. 173 Ibid. p. 43. 174 “Le Pays des Illinois,” p. 33.     52 With the fall of the French colonial empire in North America, following what Canadians refer to as La guerre de la Conquête, these cultural dynamics shifted. A new legal regime supplanted (or attempted to supplant) the existing normative order. Over the course of the next two decades, the British reconfiguration of territorial jurisdiction and the official segregation of Indian tribes from European settlers marked the beginning of the end of the middle ground, thus destabilizing the foundations of a tenuous yet otherwise workable system of cross-cultural jurisprudence. Imperial Transition and the Limits of Sovereignty: Legal Pluralism and the Failure of British Cross-Cultural Jurisprudence, 1763-1783   In matters of overseas empire, early modern British legal theory distinguished between “ceded” or “conquered” and “settled” territories. The latter designation referred to a colony where British subjects were supposedly the first to settle with a developed system of law. A ceded or conquered territory, on the other hand, continued to operate under the force of existing laws pending Royal prerogative to establish new instruments of governance.175 Legal scholars often refer to this presumption of uninterrupted local authority as the principle, doctrine, or convention of continuity.176 “Classification of a territory is important,” writes legal historian Kent McNeil, “for upon it depends both the law in force there and the power of the Crown to legislate.” “However,” he cautions, “though these general rules were well settled before the end of                                                              175 D.P. O’Connell, State Succession in Municipal Law and International Law, Vol. 1: Internal Relations, Cambridge: Cambridge University Press, 1967, pp. 36-37, 108; also see Greene, “Cultural Dimensions,” p. 3. The rules governing England’s imperial possessions derived not from English municipal law, but rather from “the several and distinct municipal laws” of the colonized dominion; see Calvin’s Case, 77 Eng. Rep. 377, at p. 400, as quoted by Mark D. Walters, “The ‘Golden Thread’ of Continuity: Aboriginal Customs at Common Law and Under the Constitution Act, 1982,” McGill Law Journal, Vol. 44, No. 3 (Nov., 1999): p. 715. The Crown’s imperial powers continued in the colonies until succeeded by a representative assembly or with the introduction of English law; see Kent McNeil, Common Law Aboriginal Title, Oxford: Oxford University Press, 1989, p. 131. 176 Walters, “Golden Thread,” p. 715; also see James Tully, Strange Multiplicity: Constitutionalism in an Age of Diversity, Cambridge: Cambridge University Press, 1995, pp. 124-129.     53 the eighteenth century, their practical application sometimes proved awkward in view of the diverse nature of the vast colonial empire which Britain acquired.”177 “Of necessity,” he adds: adjustments had to be made to accommodate local conditions. Thus, in conquered or ceded territories where local law was unsuitable for Europeans, the colonists were held to be subject to English law instead. Similarly, in settled territories containing indigenous populations the importation of English law by the settler community did not necessarily abrogate pre-existing customary law. The extent to which English law was introduced and local law retained was thus a variable depending on the circumstances of each particular colony.178 In practice, the British colonies used a variety of interpretive criteria—including the extent of cultivated lands, the local inhabitants’ level of civilization, and the suitability of local laws and customs—for classifying colonial acquisitions.179 While the English Privy Council regulated colonial policy, the English courts decided the validity of local laws and customs. In what is widely acknowledged as the first case to address the issue of recognition, the Irish Court of King’s Bench in 1608 ruled in the Case of Tanistry that local laws and customs survive British conquest if reasonable, certain, of immemorial usage, and compatible with Royal prerogative.180 That same year, however, Sir Edward Coke, Chief Justice of England’s Court of Common Pleas, ruled in Calvin’s Case that while the laws of a conquered Christian nation survive, those of an “infidel” nation did not.181 Once subjected by conquest,                                                              177 McNeil, Aboriginal Title, pp. 113, 115, 164. 178 Ibid. pp. 115-116. 179 See generally, ibid. pp. 117-120. 180 See James W. Zion and Robert Yazzie, “Indigenous Law in North America in the Wake of Conquest,” Boston College International and Comparative Law Review, Vol. 20, No. 1 (Winter 1997): p. 65. 181 Calvin’s Case, 77 Eng. Rep. 377 (1608). The question over whether or not Coke intended for Calvin’s Case to impart an imperialist thesis in common law jurisprudence remains a subject of debate. Daniel Hulsebosch argues that Coke may have intended for the case to apply to English jurisdiction (the issue concerning the rights and obligations of allegiance of a Scottish subject following the union of England and Scotland in 1604) rather than serve as exportable common law jurisprudence in the British colonies; See     54 “there ipso facto the laws of the infidel are abrogated, for that they be . . . against Christianity [and] the law of God and of nature.”182 While Coke’s opinion enjoyed a brief period of influence in North America,183 subsequent English jurists uniformly rejected its authority in Imperial common law.184 The “celebrated question” over whether America was acquired by conquest/cession or discovery/settlement remains open to debate.185 From the sixteenth century until the British Crown relinquished her authority, European imperial policies in                                                                                                                                                                                   generally Hulsebosch, “The Ancient Constitution and the Expanding Empire: Sir Edward Coke’s British Jurisprudence,” Law and History Review, Vol. 21, No. 3 (Autumn, 2003): pp. 439-482. 182 Calvin’s Case, p. 397; also see Williams, American Indian, p. 200. Citing the work of sixteenth-century theologians Francisco de Vitoria and Bartolomé de las Casas, legal historian Shaunnagh Dorsett notes that “Indigenous peoples had by this time long been equated with the infidel, although not specifically by the English common law.” See Dorsett, “Sworn on the Dirt of Graves: Sovereignty, Jurisdiction and the Judicial Abrogation of ‘Barbarous’ Customs in New Zealand in the 1840s,” Journal of Legal History, Vol. 30, No. 2 (Aug., 2009): pp. 186-187. 183 One of the first legal proceedings in British colonial America to test Lord Coke’s presumption that English conquest abrogated “infidel” laws and customs was Barkham’s Case, decided in 1622. The issue involved Barkham’s (a colonist) petition to the Virginia Company for confirmation of a deed from Governor George Yeardly, which granted certain lands lying outside of the Jamestown settlement. Prior to the case, sometime in 1620 or 1621, Yeardley—in an effort to mollify the concerns of the Powhatan Confederacy over growing settler encroachments—had agreed that all future grants to lands claimed by the tribes were to be approved by Chief Opechanacanough. Opechanacanough consented to Barkham’s grant; however, the transaction clearly violated contemporary English colonizing principles. Exercising jurisdictional authority vested by the Crown, the Virginia Company ruled that “this grant of Barkham’s was held to be very dishonorable and prejudicial” in that it “was limited with a Proviso to compound Opachankano, whereby a sovereignty in that heathen infidel was acknowledged, and the Company’s title thereby much infringed.” Although the Company’s decision invalidated the grant, the colonial government, Robert Williams notes, “had repeatedly failed to bring the king’s perpetual infidel enemies . . . under subjection,” effectively unsettling Lord Coke’s “Crusading-era-derived feudal paradigm of infidel conquest.” See Williams, American Indian, pp. 214-216; also see Susan Myra Kingsbury, ed., Records of the Virginia Co. of London, Vol. II, Washington: Gov’t Printing Office, 1906, pp. 94-96. 184 In Blankard v. Galdy (1693) Lord Chief Justice Holt held “that in the case of an infidel country, their laws by conquest do not entirely cease, but only such as are against the law of God.” A similar rule in the Case of Anonymous (1722) held that the laws of infidel countries remain in force except for those “contrary of our religion” or “malum in se.” In 1774, the Court of King’s Bench discarded any distinction between Christian and infidel countries. Lord Mansfield’s opinion in Campbell v. Hall (98 Eng. Rep. 1045) preserved the basic principles of Calvin’s Case, with the “absurd exception as to pagans.” For a discussion of these cases in the context of American Revolutionary legal theory and the formation of American Indian law, see Williams, American Indian, pp. 300-303; and Ford, Settler Sovereignty, pp. 13-17. In colonial Australia, see Dorsett, “Sworn on the Dirt of Graves,” p. 183. 185 “There is [a] celebrated question, to which the discovery of the New World has principally given rise,” Emerich de Vattell set forth in his late eighteenth-century international legal treatise: “It is asked whether a nation may lawfully take possession of some part of a vast country, in which there are none but erratic nations whose scanty population is incapable of occupying the whole?” See Emerich de Vattel, The Law of Nations: Or, Principles of the Law of Nature Applied to the Conduct and Affairs of Nations and Sovereigns, London: G.G. and J. Robinson, 1797, p. 100.     55 North America were not only diverse but often contradictory in colonial practice. The historical record reveals little consistency concerning such matters as the effectiveness of ritual or symbolic acts of discovery and appropriation, the status of Indigenous peoples and their lands, the character and purpose of treaties entered into with the tribes, and the force of Native customary laws.186 The English colonists settled North America by virtue of letters patent. By these imperial instruments, the Crown professed to grant territorial and governmental rights to the settlers without the consent of the Indians or making any pretense of conquest or cession. Early on, the idea of America as a “settled,” rather than a “conquered,” colony resonated strongly with most colonists. However, this view did not necessarily suggest any impairment to the rights, status, or laws of the Native peoples; rather it was a response to the fact that no pre-existing legal system suited the particular needs of the colonists.187 By and large, the parallel existence of Native and settler polities stood on a model of continuity, collaboration, and consent—recognized through treaties and other forms of diplomatic and normative dialogue—where personal and subject matter jurisdiction                                                              186 Brian Slattery, Ancestral Lands, Alien Laws: Judicial Perspectives on Aboriginal Title, Saskatoon: University of Sastatchewan Native Law Centre, 1983, p. 4; Mark D. Walters, “Mohegan Indians v. Connecticut (1705-1773) and the Legal Status of Aboriginal Customary Laws and Government in British North America,” Osgoode Hall Law Journal, Vol. 33, No. 4 (Winter, 1995): p. 792. 187 As Paul McHugh suggests, “the [conquered/ceded/settled] distinction was never regarded as having any bearing on the status or rights of the Indigenous peoples of the colony . . . but was a response to the situation of the Crown’s non-native subjects.” In “settled” territories, “this classification was not so much a denial of the Aboriginal presence as a realization that there was no pre-existing legal system suitably applicable to English people.” See P.G. McHugh, “The Common-Law Status of Colonies and Aboriginal ‘Rights’: How Lawyers and Historians Treat the Past,” Saskatchewan Law Review, Vol. 61, No. 2 (1998): pp. 402-403, 421; also see Marete Falck Borch, Conciliation, Compulsion, Conversion: British Attitudes Towards Indigenous Peoples, 1763-1814, New York: Rodopi, 2004, p. 220. For a succinct overview of diverging scholarly opinions on the relevance of colonial classification to the common law rights of Indigenous peoples, see Mark Walters, “British Imperial Constitutional Law and Aboriginal Rights: A Comment on Delgamuukw v. British Columbia,” Queen’s Law Journal, Vol. 17, No. 2 (Summer, 1992): p. 366, n. 44 and accompanying text.     56 supplanted unilateral assertions of territorial sovereignty.188 Imperial policy held as a general rule that the British colonists were not to intervene in Native affairs. However, when disputes arose, colonial governors were often instructed “to take care that they [the Indians] be allowed the same measure of justice in matters relating to the English . . . as by law is due and belonging unto them.”189 Because many colonists considered the tribes as a “separate and distinct people” with “a polity of their own,” and whose “policy, customs, and manners differ[ed] widely from those of the English,” British officials often sought a “law equal to both parties,” guided in principle by “the law of nature and nations.”190 In short, recognition of Indian laws and customs served a practical rather than a doctrinal purpose, a means to accommodate a peaceful co-existence between Native and settler polities rather than to incorporate Indian norms into the municipal law of settler society.191                                                              188 Tully, Strange Multiplicity, pp. 124-130; P.G. McHugh, Aboriginal Societies and the Common Law: A History of Sovereignty, Status, and Self-Determination, Oxford: Oxford University Press, 2004, pp. 65-70, 95, 102-103; and Mark D. Walters, “Histories of Colonialism, Legality, and Aboriginality,” University of Toronto Law Journal, Vol. 57, No. 4 (Fall, 2007): p. 823 (reviewing McHugh’s book). 189 Royal Instructions to Virginia Governor Thomas Culpeper issued 1679, as quoted in Leonard Woods Labaree, ed., Royal Instructions to British Colonial Governors, 1670-1776, Vol. 2, New York: Octagon Books, 1967, p. 471. Similarly, in 1681, the colony of Connecticut entered into a treaty with the Mohegan Tribe, assuring “Equal Justice” to them “as our own people.” As quoted in McHugh, Aboriginal Societies, p. 102. On 14 October 1670, the General Court of Colonial Virginia “ordered that Thomas Carter deliver unto Capt. Pipscoe[,] an Indian[,] his horse bridle and Saddle and retorne him Thirty good deere Skynns & pay costs.” On 4 April 1674, “[u]pon Petićon of the Notoway Indians,” the General Court “ordered that the English that have Seated within the bounds of the Said Indians [sic] Land . . . Come offe, and Noe Surveyor . . . to Survey any more Land.” See Minutes of the Council and General Court of Colonial Virginia, 1622- 1632, 1670-1676, ed. H.R.McIlwaine, Richmond: The Colonial Press, Everett Waddey Co., 1924, pp. 230, 365. 190 David W.Conroy, “The Defense of Indian Land Rights: William Bollan and the Mohegan Case in 1743,” Proceedings of the American Antiquarian Society, Vol. 103, No. 2 (1994): pp. 414, 420, quoting attorney William Bollan and Commissioner Daniel Horsmanden. In a 1717 case in the Superior Court of Judicature at Plymouth, Jacob Seeknout, a sachem of Chappaquiddick Island, defended his inheritance rights “according to [Indian] tradition and ye Course of ye Common Law.” See Ann Marie Plane, “Colonizing the Family: Marriage, Household and Racial Boundaries in Southeastern New England to 1730,” Ph. D. Diss., Brandeis University, 1995, pp. 166-167. 191 Yasuhide Kawashima, “The Indian Tradition in Early American Law,” American Indian Law Review, Vol. 17, No. 1 (1992): pp. 104-105, 108. While the imperial common law of continuity established the rule of recognition in principle, the individual colonies determined the scope and character of recognition in practice. Some colonies provided for the establishment and maintenance of Native courts, in which the     57 By 1763, the British were assuming control not only over the vast western territory with an extensive tribal presence but also over one that had been formally ceded by existing European sovereigns. With this cultural plurality of polities, the paradigm of colonial imperialism shifted. How British colonizing theory evolved in the region, the extent to which England conceded jurisdiction by recognizing those laws and customs in place, and the cultural dimensions of political transfer, decidedly reconfigured the terms of French and Indian sovereignty in the west.192 Under provisions set forth under the Treaty of Peace signed at Paris on 10 February 1763, France ceded to England all of Canada and the colony of Louisiana east of the Mississippi River apart from New Orleans.193 Four critical issues immediately framed the colonial debate for Great Britain’s new territorial acquisition: (1) the establishment of law and government; (2) the organization, defense, and security of the new colonies; (3) the administration of Indian affairs; and (4) the location of a permanent boundary line between Indians and settlers.194                                                                                                                                                                                   Indians—mostly those from the Christianized “praying towns”—appointed magistrates and other officials among themselves to administer justice in accordance with internal rules and norms. In 1647 and 1658, for example, the Massachusetts Bay Colony enacted legislation providing for the creation of Native courts. Tribal-appointed magistrates among the Natick, Ponkapaug, Mashpee, Chappaquiddick, and other Native communities presided over minor cases arising inter se with the advice and consent of British agents commissioned by the General Court; see Ives Goddard and Kathleen J. Bragdon, eds., Native Writings in Massachusett, Vol. 1, Philadelphia: American Philosophical Society, 1988, p. 5. In other colonies, the tribes or individual Indians appealed directly to the colonial courts—appearing on their own volition as attorneys, plaintiffs and defendants—to assist in resolving matters arising inter se. In a 1659 Rhode Island case, a local sachem hired an Indian attorney to litigate a dispute; see Hermes, “Justice Will Be Done Us,” pp. 133-134, 140. 192 Robert Williams summarily dismisses the French presence in the interior region, the British “having driven [them] out of the Old Northwest” after 1763; see Williams, American Indian, p. 233. Considering the emphasis Williams places on British and American colonizing theory in relation to the inhabitants’ rights, his failure to at least footnote the French struggle is surprising. 193 “Definitive Treaty of Peace and Friendship between his Britannick Majesty, the Most Christian King, and the King of Spain,” 10 February 1763, in Adam Shortt, and Arthur G. Doughty, eds., Documents Relating to the Constitutional History of Canada [hereinafter cited as DRCHC], 1759-1791, Vol. 1, Ottawa: Printed by J. de L. Taché, 1918, pp. 113-126. Remaining portions of Louisiana were ceded to Spain in 1762 by the Treaty of Fontainebleau. 194 Barnhart and Riker, Indiana to 1816, pp. 147-148.     58 The first attempt to formally resolve these issues materialized with the Royal Proclamation of 1763.195 The resolution’s approach (or lack thereof) to the interior Map 2. A General Map of the Middle British Colonies in America, by Lewis Evans, 1755, from Library of Congress, Geography and Map Division (Digital Collections).   region of the continent would come to have not only a profound impact on French and Indian legal status but also on what the Anglo-American colonists considered to be a violation of their fundamental right to liberty and private property. The imperial acquisition of the interior region immediately brought forth the issue of the inhabitants’ customary law rights to land. The main controversy centered on whether or not the North American Indigenous peoples possessed title by occupancy                                                              195 Royal Proclamation, 7 October, 1763. For full text of Proclamation see, DRCHC, Vol. 1, pp. 163-168.     59 when the British Crown asserted its territorial sovereignty.196 At the time of territorial cession, several British colonists advocated for expansion and settlement west of the Appalachian Mountains. The Crown could have conceded to the colonists without consideration of Indian title. However, a reluctant British ministry (largely due to the lack of knowledge of the newly-acquired territory) rejected a policy of imperial expansion and western settlement, thus treating the Indian nations as protected peoples under Crown sovereignty and presuming their customary rights to unceded lands.197 Under this legal framework, the Proclamation of 1763 provided, in part, that: [I]t is just and reasonable, and essential to Our Interest and the Security of our Colonies, that the several Nations or Tribes of Indians with whom We are connected, and who live under our Protection, should not be molested or disturbed in the Possession of such Parts of Our Dominions and Territories as, not having been ceded to or purchased by Us, are reserved to them, or any of them, as their Hunting Grounds.198 Royal instructions to the colonial governors on implementing the Proclamation underscored and elaborated upon these provisions. In order to “maintain a strict Friendship and good Correspondence” with the Indian tribes, the Crown requested Governor James Murray of Quebec to appoint persons “to assemble, and treat with the said Indians, promising and assuring them of Protection.” Murray was to “take the most effectual Care” in restricting all British subjects “from making any Purchases or Settlements . . . or taking Possession of any of the Lands reserved to the several Nations of Indians.”199                                                              196 The British had very little idea at the time of the extent of French settlements scattered throughout interior region. 197 See Slattery, Ancestral Lands, p. 6. 198 Royal Proclamation, as quoted in DRCHC, Vol. 1, p. 166. 199 Instructions to Governor Murray dated 7 December 1763, in DRCHC, Vol. 1, pp. 199, 200.     60 Initially, the imperial transition to British control over the Pays d’en Haut rejected the unofficial middle ground policy long adhered to by the region’s inhabitants.200 From the perspective of Jeffrey Amherst, Governor General of British North America, village politics carried little weight in matters of colonial empire. According to his imperialist logic, there was no room for conciliation; the British were conquerors and the Indians were their subjects. Amherst’s contemporaries in the British Indian Department soon realized, however, the destructive force of these views. In March of 1762, Indian agent George Croghan wrote to Lt. Col. Henry Bouquet that “[t]he British and French Colonies since the first Settling [of] America . . . have adopted the Indian Customs and manners by indulging them in Treaties and renewing friendships [by] making them large Presents which I fear won’t be so easey to break them of as the General may imagine.”201 Croghan’s concerns, and those of his superior Sir William Johnson, Superintendent of Indian Affairs, could not have been more perceptive: boundary disputes, aggressive squatters, and unfair trade practices plagued the frontier after the fall of New France in 1760. As tensions grew, frontier hostility seemed imminent. The events that transpired during the spring and summer of 1763 yielded this painful realization. An insurgence of Shawnee and Delaware tribes led to a series of violent confrontations throughout the Great Lakes region and Wabash country, culminating in an attack on British garrisons at Detroit. While the Indians’ failed to expel the British, and the British failed to subjugate the “savage” tribes, Pontiac’s Rebellion, as it came to be known, accelerated the need for a more definitive Indian policy in the region.202                                                              200 See, generally, White, Middle Ground, pp. 256-268. 201 Letter of Croghan to Bouquet dated 27 March 1762, as quoted by White, Middle Ground, p. 258. 202 See White, Middle Ground, pp. 279, 283, 289.     61 Following Amherst’s removal from service in November of 1763, the British left superintendents Johnson and Croghan to devise their own plans for Indian administration.203 Leaving behind British claims of unconditional sovereignty over the Indians, the two agents restored the middle ground approach to which the Algonquian tribes had been accustomed. Beyond the politics of diplomacy, however, lay a greater need for an effective system of cross-cultural justice. Law and jurisdictional concession lay at the heart of this infrastructure. “The most superficial view of the nature and disposition of the Indians,” Johnson’s superiors at Whitehall wrote to him during the summer of 1764, “and of the manner in which they regulate their civil concerns will suffice to show that a steady and uniform attachment to, and love of Justice and Equity is one of their first principles of Government.”204 Notwithstanding these views, the fundamental problem with mitigating Indian- settler conflict rested with the very purveyor of North American British law and justice itself: the colonial court system. Despite early colonial deference to tribal jurisdiction, by the mid-eighteenth century, the courts had not only assumed greater authority over Native affairs in the east, but had failed to consistently enforce laws designed to protect the Indians from settler incursions in the west, thus marginalizing any lingering tribal expectations of reciprocity or legal equity. The Ohio Indians, like many other tribes, mourned the loss of normative accommodation once vital to the middle ground: Before when accidents [murders] happened of this kind we made up by Condoling with each other, which is the antient Custom of all Our Nations in this Country, but you have broke tho. our old Customs and made New Ones which we are not well acquainted with; And you Can’t                                                              203 Barnhart and Riker, Indiana to 1816, p. 147 and White, Middle Ground, p. 267. 204 Lords of Trade to Sir William Johnson, dated 10 July 1764, in E.B. O’Callaghan and B. Fernow, eds., Documents Relative to the Colonial History of New York [hereinafter cited as DRCHNY], Vol. VII, Albany: Weed, Parsons and Co., 1856, p. 634.     62 Expect, let us be ever so desirous of living in Peace, that we will Sit Still and See our People murdered by yours without having the Same Satisfaction from you that you Demand of Us.205 While Croghan and Johnson would remain “agreeable to antient Custom” at tribal council meetings, they also recognized the inherent problems with transplanting the English common law into Indian Country: [A] material defect, from which Indian affairs have met with great obstruction, arrives from the Laws, which tho’ happily devised for our use are of little or none to the Indians, and many cases prove a bar to their getting justice. These Laws were most of them existing before the discovery of America, and since, there have been none made which are either effectual or salutary for this purpose. Admitting their case to have all the appearances of equity, yet the difficulties in which proceedings are involved, the particular proofs required, their sole want of written, and incapacity to give verbal evidence, and above all the not admitting any thing to affect the Title of a patent, prove insuperable bars.206 Despite his cultural preconceptions that Indians were unable to appreciate the “Nicetys of the Common Law,” William Johnson realized the dire need to formulate a legal system to accommodate the Indians.207 Yet procedural restrictions in most British courts imposed severe legal disabilities on American Indians. For example, the courts frequently barred American Indians from testifying. These evidentiary restrictions rested largely on racial prejudice, but British colonial legal culture also reflected the presumption that Indians, as non-Christians, lacked a fear of divine power. In the Anglo- American common law, this inherent deficiency effectively displaced any guarantee of truth that the oath was intended to disclose.208 “The Courts of Law,” William Johnson                                                              205 As quoted by White, Middle Ground, p. 346. 206 William Johnson, “Review of the Trade and Affairs in the Northern District of America,” 22 September 1767, in DRCHNY, Vol. VII, p. 972; also see White, Middle Ground, p. 346. 207 DRCHNY, Vol. VII, p. 972. 208 Based largely on Lord Coke’s early seventeenth-century views that Christian doctrine was fundamental to the English common law, the implication was that “infidels” could not be sworn and their testimony, therefore, was not admissible; see Reginald Good, “Admissibility of Testimony from Non-Christian Indians in the Colonial Municipal Courts of Upper Canada/Canada West,” Windsor Yearbook of Access to     63 conceded with regret, “cannot admit of their evidence, nor is there any reason to expect it from many Jurys, the prejudices against Indians being too strong . . . if these insurmountable bars did not exist.”209 The task of finding a mutually agreeable scheme for resolving disputes between the Indians and settlers in the interior region fell on William Johnson. The precipitous growth of violence, boundary disputes, and trade violations left the tribes with little recourse. Johnson’s options were limited. Subjecting traders and illicit settlers in Indian Country to courts-martial would certainly inflame the colonists. Providing British officials with itinerant justice of the peace powers might be helpful in minor cases, but rights of appeal to the British courts would likely disfavor Indian claims. “Such differences,” Johnson argued, “when they come to be litigated, frequently turning in favour of the White people, often thro’ prejudice, but generally thro’ the interested opposition of parties . . . renders [such] a course of Law equally tedious, uncertain, and expensive.”210 Johnson recognized the cultural incompatibility of litigating American Indian claims in Anglo-American courts. In seeking alternative means of dispute resolution, Johnson wished that “some method could be fallen upon . . . to determine in a summary way, such disputes relative to claims or titles, as could not be speedily or satisfactorily determined at Common Law.”211 Another problem came from the practical limitations of access to justice. Even if the Indians could overcome prejudicial barriers, the geographic distance to the eastern courts was an almost insurmountable obstacle for                                                                                                                                                                                   Justice, Vol. 23, No. 1 (2005): p. 57. For variation in legal approaches by seventeenth-century New England courts to American Indians, see Hermes, “Justice Will Be Done Us,” pp. 131, 139. 209 DRCHNY, Vol. VII, p. 968; also see Daniel K. Richter, “Native Americans, the Plan of 1764, and a British Empire That Never Was,” in Robert Olwell and Alan Tully, eds. Cultures and Identities in Colonial British America, Baltimore: Johns Hopkins University Press, 2006, p. 284. 210 Sir William Johnson to the Lords of Trade, [n.d.], DRCHNY, Vol. VII, p. 663. 211 Ibid. pp. 662-663.     64 them. Alternatively, the establishment of a western colony with a complete system of law and justice presented less of a realistic solution if Britain was to protect the Indian country from land-hungry settlers.212 Johnson’s answer to these problems found its way into his “Plan for the future management of Indian Affairs,” a working document circulated between colonial and metropolitan authorities designed to elaborate upon the shortcomings of the 1763 Proclamation.213 Introductory provisions under the Plan stipulated that “all laws now in force in the several Colonies for regulating Indian Affairs or Commerce [will] be repealed.”214 By dividing the interior region into Northern and Southern administrative districts, jurisdiction would fall not under the individual colonies but under the centralized authority of two appointed superintendents. Similar lines of authority would also extend to the tribal villages throughout Indian country. In both districts, to the greatest extent possible, each village would appoint a representative “to take care of the mutual interests both of Indians & Traders.”215 These representatives, in turn, were to “elect a Chief of the whole Tribe” to serve “as Guardian of the Indians and protector of Their Rights.”216 In order to maintain a workable boundary system and prevent fraudulent land sales, the Plan required the superintendents to negotiate all transactions in open council                                                              212 Richter, “Plan of 1764,” p. 284. 213 Richter provides the most comprehensive treatment of the Plan to date. For a briefer analysis, also see Williams, American Indian, pp. 238-241. 214 Plan for the future Management of Indian Affairs, DRCHNY, Vol. VII, p. 637. Full text of the Plan can be found at pp. 637-641. Appended to the Plan are lists of North American tribes for the northern and southern districts respectively. 215 Ibid. p. 638. 216 Ibid. p. 638-639. As Richter comparatively observes, “[t]his system envisioned something vaguely similar to the form of indirect imperial government being worked out at the same time around the globe in South Asian.” See Richter, “Plan of 1764,” p. 285.     65 with “the principal Chiefs of each Tribe claiming a property in such lands.”217 British civil officers would enforce regulations in consultation with both traders and Indians. Commissaries would serve as justices of the peace with the “capacity to declare summary judgments in civil cases.” Appeals would go to the superintendents only. Moreover, Indians were, “under proper regulations and restrictions[,] [to] be admitted in all criminal as well as civil causes that shall be tried and adjudged by the said Agents or Superintendents or by the said Commissaries and that their evidence be likewise admitted by the Courts of Justice in any of his Majestys Colonies or Plantations.”218 In elaboration of this proposal, Johnson remarked that all Indians “as are Christians[,] . . . shall produce a certificate of their Religious deportment and attendance on Divine Worship.”219 Johnson further stipulated that for those Indians “who (as yet) know not the nature of an oath, their evidence seems to require the opinion of those learned in the Law.”220 An elected Chief was to serve “as Guardian for the Indians and protector of their Rights with liberty . . . to be present at all meetings . . . hearings or trials relative to the Indians . . . and to give his opinion upon all matters under consideration at such meetings or hearings.”221 In a 1767 report, Johnson noted “[t]hat where Indians are proposed as Jurors, and are not known to be Christians . . . the Certificate of a Missionary (where such reside) in favour of such Indians, or the testimony of any reputable person, be the test by                                                              217 As quoted by Richter, “Plan of 1764,” p. 286. 218 DRCHNY, Vol. VII, p. 638. 219 Ibid. p. 663. 220 Ibid. 221 Ibid. pp. 638-639.     66 which they are to be admitted.”222 Provisions concerning the subject of jury composition, however, never found their way into the Plan.223 Sir William Johnson’s efforts reflected larger aspirations of peaceful co-existence. With hopes of returning to a middle ground, he had appealed to his contemporaries for greater tolerance toward Indian customary practices: Whilst the steps taken by many probably well meaning but gloomy people amongst us, to abolish at once their most innocent customs, Dances, and rejoicings at marriages ettc. & their premature proposals for bringing familys amongst them to instruct them in agriculture . . . alarm all Indians who hear of them with the apprehension, that it is done with design to wean them from their way of living, purely, that they may be the readier induced to part with their lands to the White people.224 In the end, however, Johnson’s contemporaries failed to appreciate his ideology, which extolled the virtues of compatibility “through knowledge of [the Indians’] manners and disposition.” Despite high expectations, the superintendents faced repeated frustrations in their attempts to implement sound policy regulating Indian-settler relations. “Had it been put into execution immediately,” Johnson regretted in hindsight, “I am of opinion, it would have had all the effects expected from it.”225 Squatters and free traders, however, had doomed Johnson’s Plan from the very beginning. The pre-Revolutionary chaos that plagued colonial administrators—extending in large part from the contempt American radicals held toward the Crown with the implementation of the Stamp Act—combined                                                              222 Johnson, Review of the Trade and Affairs in the Northern District of America, 22 September 1767, in Ibid. p. 976. 223 Occassionally, during the early colonial period, British courts appointed interpreters, Indian assessors (or customary law advisors), or mixed juries; see Kawashima, “Indian Tradition,” p. 102. Also see discussion of British use of French-Canadian assessors at p. 82, infra. For the British use of assessors in other colonial jurisdictions see Leon Sheleff, The Future of Tradition: Customary Law, Common Law, and Legal Pluralism, London: Frank Cass, 1999, pp. 380-381; and J.H. Jearey, “Trial by Jury and Trial with the Aid of Assessors in the Superior Courts of British African Territories,” Pts. 1-3, Journal of African Law. Vol. 4, No. 3 (Autumn 1960): pp. 133-146; Vol. 5, No. 1 (Spring 1961), pp. 36-47; and Vol. 5, No. 2 (Summer 1961), pp. 82-98. 224 DRCHNY, Vol. VII, p. 970. 225 As quoted by Richter, “Plan of 1764,” p. 289.     67 with growing expenses related to the administration of Indian affairs, led the English Board of Trade in 1768 to reject the Plan. In addition, the Board curtailed Johnson and Croghan’s authority to matters related to the “general interests of the Indians, independent of their connection with any particular Colony.”226 The superintendents newly-defined administrative and diplomatic duties included: the renewal of antient Compacts or Covenant-Chains . . .; the reconciling Differences and disputes between one body of Indians and another; the agreeing with them for the sale or surrender of Lands for public purposes . . .; and the holding interviews with them for these and a variety of other general purposes which are merely objects of Negotiation between your Majesty and the Indians.227 Without conceding to demands for territorial expansion, however, the only exception imperial authorities made involved the negotiation of Indian-settler boundary lines, fulfilled (in theory) by the Treaty of Ft. Stanwix executed on 5 November 1768. Despite the reluctance among English imperial authorities, the ideological importance of Johnson’s ill-fated Plan speaks volumes about unconventional British colonial theories of sovereignty and jurisdiction. The proposal suggested the importance of protecting a plurality of rights, laws, customs, and systems of government even when such recognition clashed with settler interests. In refuting claims that the Plan posed “a dangerous precedent,” Johnson contended that “surely a defect in the Laws owing to the times in which they were made . . . cannot be produced as of sufficient weight agst reason, and moral equity.”228 Above all, the Plan’s failure highlights the force of cultural                                                              226 Ibid. p. 290. 227 Ibid. 228 Sir William Johnson, Review of the Trade and Affairs in the Northern District of America, 22 September 1767, DRCHNY, Vol. VII, 967.     68 imperialism; after all, the settlers, traders, and colonial courts (rather than British imperial authorities) dictated the terms of its outcome.229 Beyond its dissolution in 1768, however, the Plan of 1764 would continue to serve as a model of colonial governance. The Plan’s brief resurrection following passage of the 1774 Quebec Act would highlight not only the perpetual tensions stemming from the 1763 Royal Proclamation but also from the overarching concern with maintaining an effective system of cross-cultural justice to conciliate tribal grievances in the face of increasing settler encroachments. In contrast to the territorial sovereignty accorded to the tribes of the North American interior, neither the Crown nor British metropolitan authorities made provisions for governing the region’s French inhabitants during the first decade of occupation. In effect, the Proclamation of 1763 failed to recognize their existence outside of the Quebec colony and considered them trespassers in their own communities. Under the Proclamation’s boundary lines, the geographic perimeters of the Pays des Illinois fell outside of British colonial jurisdiction.230 By reserving the interior region for the American Indian inhabitants, the royal edict not only restricted Euro-Americans from settlement and private purchase of land, but also required those remaining “forthwith to remove themselves from such Settlements.”                                                              229 See Richter, “Plan of 1764,” p. 292. 230 The Proclamation created three new colonies within the continental mainland; these included Quebec and East and West Florida. Formal stipulations provided for colonial authorities “to reserve under [British] Sovereignty, Protection, and Dominion, for the use of said Indians, all the Lands and Territories not included within the Limits of . . . said Three new Governments.” See DRCHC, Vol. 1, p. 167. Because British policy concerning the fourth colony of Grenada falls outside of this study’s geographic scope, I provide no further elaboration.     69 When conditions favored British exploration of the interior region, the large presence of French inhabitants perplexed colonial officials. At the time of surrender to British forces, approximately seventy families resided at or around Vincennes.231 Believing most to be residing there illegally, British General Thomas Gage initially ordered their evacuation along with all other French settlements along the Wabash. Yet the inhabitants insisted that they possessed legal title to their lands either by grant of the French Crown or the local commandant. Reluctant to proceed with his original plans of removal, Gage issued a decree in 1764 provisionally granting the Illinois inhabitants the “same rights and privileges, security for persons and effects and liberty of trade as the old subjects,” on the precondition of their taking an oath of allegiance to the British Crown.232 The question of law and civil administration in the Illinois Country remained a marginal one during the first decade of British occupation. Despite French petitions and summary proposals for the organization of civil government in the Illinois Country, the British accomplished little to placate French concerns. With little to no direction from colonial authorities, British post commanders reluctantly assumed civil duties in addition to their military obligations. In 1765, with little alternative recourse, Captain Thomas Stirling appointed Jean Baptiste Lagrange at Kaskaskia to “decide all disputes . . . [a]ccording to the Laws and Customs of the Country” with the right of appeal to the local commandant.233 Such relief, however, proved insufficient and short lived.                                                              231 Phillips, “Vincennes,” p. 335. 232 Louise Phelps Kellogg, “A Footnote to the Quebec Act,” Canadian Historical Review, Vol. 13, No. 2 (1932): p. 148. 233 Clarence Walworth Alvord, Illinois Country, 1673-1818, Centennial History of Illinois, Vol. 1, Springfield, Ill.: Illinois Centennial Commission, 1920. p. 265.     70 On 12 November 1768, Lieutenant Colonel John Wilkins issued a proclamation establishing a commission of judges “to form a Civil Court of Judicatory, with powers expressed in their Commissions to Hear and Try in a Summary way all Causes of Debt and Property . . . and to give their Judgement thereon according to the Laws of England to the Best of their Judgement and understanding.”234 On 4 March 1770, the commission extended its jurisdiction “to Hear, Try and Determine in the Summary Way” all criminal cases and “to impose and bring such Fine and Inflict such Corporale Punishment or commit Offenders to Jayle at the discretion of the said Court.”235 The court, however, “[d]id not admit of Tryals by Juries on account of its Small numbers of Inhabitants as Well as their Want of Knowledge of the Laws and Customs of England.”236 Again, such arrangements proved ephemeral. After 6 June 1770, there appears to be no further record of British-led court sessions.237 On 9 July 1771, two French representatives presented General Gage with a memorial of their grievances and an outline plan for a system of western government. Gage flatly rejected their proposition. The following year, a self-described “habitant des Kaskaskias” publicized the French dilemma in a pamphlet entitled “Invitation Serieuse aux Habitants des Illinois.” In addition to urging political change for the region and economic independence among his fellow Frenchmen, the pamphlet’s author conditionally pardoned the Crown’s failure to extend civil government in the hopes of reconciling their predicament. The proposal failed to solicit British                                                              234 Kaskaskia Manuscripts, court record 23, as quoted by Alvord, Illinois Country, p. 267. 235 Ibid. p. 268 236 Ibid. pp. 267-268. 237 On this date, the British court petitioned Wilkins with a memorial, setting forth its grievances over the Lieutenant Colonel’s recent order to hear all future cases at a different site. Wilkins responded by abolishing the tribunal; see Ibid. p. 268.     71 sympathies. Instead, as French-British relations deteriorated, British Secretary Lord Hillsborough instructed Gage to remove the region’s village inhabitants. Those at Vincennes responded with indignation. In a memorial to Gage, the petitioners documented their long history at the village, describing themselves as “peaceful settlers, cultivating the land which His Most Christian Majesty granted us, or which we have purchased, and often watered with our blood.”238 Fortunately, the French avoided displacement when Lord Hillsborough left his position as colonial secretary. His successor, Lord Dartmouth, sympathized with the French and considered the inhabitants as British subjects requiring the protection of the Crown and possessing full rights to their property and possessions.239 “The State of Settlements at Post St. Vincent on the Ouabache will necessarily make a part of this consideration,” Dartmouth wrote to Gage in 1773, “seeing that the Inhabitants there no longer appear a lawless vagabond Banditti, as they have been represented to be.”240 Lacking any official form of civil government or legal forum in which to adjudicate their claims, the French of the Illinois Country resorted to their traditional methods of arbitration and dispute resolution. With little semblance of legal administration from British authorities, customary practices continued largely uninterrupted during this period. Internal means of self-government dictated the pace and character of normative change. Assuming the inhabitants of the interior region had become British subjects following territorial accession, the imperial shift did not, however, imply any change to                                                              238 Memorial of 18 September 1772, as quoted in Barnhart and Riker, Indiana to 1816, p. 173. 239 Alvord, Illinois Country, p. 294; Barnhart and Riker, Indiana to 1816, p. 173; and Phillips, “Vincennes,” p. 337. 240 Letter of Dartmouth to Gage, dated 3 March 1773, in Clarence E. Carter, ed., The Correspondence of General Thomas Gage, Vol. 2, New Haven: Yale University Press, 1931, p. 157.     72 the legal order governing the territory.241 Despite the perfunctory existence of British courts at Kaskaskia between 1768 and 1770, imperial legislation (under the Royal Proclamation or otherwise) had made no pretense of creating or imposing a legal order over the territory.242 Thus, prior to the passage of the Quebec Act of 1774, the French presumably held the autonomy to maintain their laws and customs because Crown prerogative had not forbidden it. Moreover, imperial common law afforded the region’s inhabitants the means to create and maintain a legal order suitable to local needs and conditions. In Calvin’s Case, Lord Coke held that Aristotle’s Politicorum: proveth, that to command and to obey is of nature, and that magistracy is of nature: for whatsoever is necessary and profitable for the preservation of the society of man is due by the law of nature: but magistracy and government are necessary and profitable for the preservation of the society of man; therefore magistracy and government are of nature.243 In other words, the Crown’s subjects—even those in the hinterlands of colonial empire— possessed not only a right but also a duty to establish and preserve social order. Having formed their communities beyond the effective control of the Crown, the law required the region’s inhabitants to establish a legal system in the absence of a British one. Thus, the                                                              241 As inhabitants of a conquered territory, the French would have become subjects of the Crown through the process of denizenship. Premised upon the doctrine of allegiance as outlined in Calvin’s Case and affirmed in Campbell v. Hall, a correlative duty between ruler and ruled established a binding relationship of protection and obedience respectively. Prior to Lord Dartmouth’s opinion in 1773, additional measures suggest that the British considered the French as subjects of the Crown. Following the 1764 decree of General Thomas Gage, which granted the Illinois inhabitants the “same rights and privileges, security for persons and effects and liberty of trade as the old subjects” upon their oath of allegiance to the British Crown, colonial administrators appointed James Rumsey in 1768 as judge advocate of the province for purposes of examining land titles and administering the oath; see Barnhart and Riker, Indiana to 1816, p. 166, n. 81. 242 As Francis Philbrick writes, “[t]he British commandants of the [Illinois] country had assumed—though the Proclamation of 1763 gave them no explicit warrant for doing so—to introduce English law.” See Philbrick, Laws, pp. ccxiv-ccxv. 243 Calvin’s Case, as quoted by Albert Peeling and Paul L.A.H. Chartrand, “Sovereignty, Liberty, and the Legal Order of the ‘Freemen’ (Otipahemsu’uk): Towards a Constitutional Theory of Métis Self- Government,” Saskatchewan Law Review, Vol. 67, No. 1 (2004): p. 354.     73 laws and customs of the inhabitants possessed authority by the British Crown’s de facto recognition.244 In contrast to their counterparts in the Illinois Country, the French in Quebec received formal British sanction for the continuity of their laws and customs. Under the 1763 Treaty of Paris, the British conceded to the Canadiens “the liberty of the Catholick religion,” their legal rights to property, and continued use of the French language in official matters of the state. Rather than imposing a complete system of English law and political institutions, colonial authorities took a cautious approach by recognizing the entrenched cultural norms of the French inhabitants.245 The new system of government at Quebec, however, soon found itself mired in legal uncertainty. Whereas the lack of civil administration in the Illinois Country marginalized the French, the complexity of legal dualism in Canada frustrated British efforts to institute an effective form of inter-systemic justice. Moreover, the influx of British settlers (and the English common law they carried with them) began to displace French legal culture.246 The Proclamation of 1763 (issued a mere eight months following the signing of the Treaty) vested power in the Provincial governors, by advice and consent of the                                                              244 Ibid. pp. 355, 357. Although Peeling and Chartrand’s article discusses the historical context to the status of Métis rights of self-government under modern Canadian constitutional law, their analysis has particular relevance to the French inhabitants of the Illinois and Wabash Countries. However, considering the high level of inter-breeding following decades of French-Indian relations, the Métis, or mixed peoples, had a distinct presence in the region by the mid-eighteenth century. Having formed communities and identities independent of yet closely associated with French and Indian societies through trade and kinship, the Métis established for themselves distinct powers of political autonomy and self-government. During the early to mid-nineteenth century, the U.S. government recognized several of these tribes (including the Miami) as possessing special legal status. See chapter 2, part two, for overview and analysis of relevant treaties; for a brief discussion of the legal status of Métis peoples, see McHugh, Aboriginal Societies, pp. 236-237. 245 Greene, “Cultural Dimensions,” p. 13. 246 Alvord, Illinois Country, p. 197.     74 Representative Councils, “to make, constitute, and ordain Laws, Statutes, and Ordinances” and to erect “Courts of Judicature and public Justice . . . for hearing and determining all Causes, as well Criminal as Civil, according to Law and Equity, and as near as may be agreeable to the Laws of England.”247 The potential for colonial prerogative legislation and English common law jurisdiction to extinguish the normative force of French customs soon threatened the culturally accommodative provisions of the Treaty of Paris. In response, the British metropolitan and colonial governments took several measures to appease French concerns.248 In matters of land tenure, the conflict between French and British customs became particularly acute. Under the Proclamation of 1763 the English law of real property applied to the North American colonies.249 For the French habitants, however, British courts attempted to discover the laws and customs of the ancien régime. The problem lay in judicial notice by analogy to English land tenure rather than any systematic attempt at                                                              247 Royal Proclamation, in DRCHC, Vol. 1, p. 165. 248 In a 1766 Attorney and Solicitor General’s report, Charles Yorke and William de Grey identified “Two very principal sources of . . . Disorders in the province.” The first of these was the “attempt to carry on the Administration of Justice without the aid of the natives, not merely in new forms, but totally in an unknown tongue, by which means the partys Understood Nothing of what was pleaded or determined having neither Canadian Advocates or Sollicitors to Conduct their Causes, nor Canadian jurors to give Verdicts, even in Causes between Canadians only, Nor Judges Conversant in the French Language to declare the Law, and to pronounce Judgement.” The second source of conflict involved the Proclamation of 1763, under which the French inhabitants felt “[a]s if it were His Royal Intentions . . . to abolish all the usages and Customs of Canada, with the rough hand of a Conqueror rather than with the true Spirit of a Lawful Sovereign, and . . . to impose new, unnecessary and arbitrary Rules, especially in the Titles to Land, and in the modes of Descent[,] Alienation and Settlement.” As a remedy, the Report recommended “an Ordinance for admitting Canadian Jurors, . . . Advocates, Attorneys, and Proctors.” Other suggested measures included the establishment of a “Court of Chancery” and civil case proceedings to be governed by “French usages and Customs.” See “Report of the Attorney and Solicitor General Regarding the Civil Government of Quebec,” dated 14 April 1766, in Ibid. pp. 251-257. 249 “[W]ith the advice of [the] Privy Council,” the Proclamation gave “. . . unto the Governors and Councils . . . full Power and Authority to settle and agree with the Inhabitants . . . for such Lands[,] Tenements and Hereditaments” and “grant[ed] to any such Person or Persons . . . under such moderate Quit-Rents, Services and Acknowledgements . . . under such . . . Conditions as . . . necessary and expedient for the Advantage of the Grantees, and the Improvement and settlement of [the] Colonies.”     75 ascertaining local Canadian laws.250 In England, laws of copyhold tenure governed tenant rights to land held in common.251 Under the French-Canadian system, local habitants paid annual tributes to the governing seigneur for use of lands held en censive (under title of the French Crown). By applying English common law principles to the Canadian system of land tenure, British judges sought to “discover” the “customs” of the seigneury in deciding property cases. However, the English common law recognized copyhold tenure by judicial notice of local manorial custom, whereas the French- Canadian censitaire possessed a formal, written deed explicitly defining those dues and services to the seigneurial grantor.252                                                              250 William Bennett Munro, The Seigniorial System in Canada: A Study in French Colonial Policy, Cambridge, Mass.: Harvard University Press, 1907, p. 205. 251 Largely abolished by the nineteenth century, copyhold refers to an English feudal system of land tenure, which required tenants to provide specific services to the landholder based on customary arrangements. 252 See Munro, Documents Relating to the Seigniorial Tenure in Canada, 1598-1854, Toronto: The Champlain Society, 1908, p. ciii; and Munro, Seigniorial System, p. 206. Munro attributes the underlying conflict to the judicial misinterpretation of the Coutume de Paris. “The rights and responsibilities of seignior and habitant respectively,” Munro argues, “were regulated not by any local seigniorial custom, but by the Custom of Paris, which applied throughout the colony.” “The Custom of Paris,” he adds, “was not unwritten law, like the customary law of the English manors; it was, like the other French coutumes, a written code, systematically drawn up and enacted by authority.” This explanation is not entirely sufficient. While the Coutume de Paris existed largely as a written code, it was still an adaptive body of law that adjusted to the peculiar needs and conditions of the colony. Moreover, in certain cases where no deed existed, customary obligations dictated the terms of the inhabitant’s rights to land held en censive, so long as they were not considered repugnant to the Coutume (conditions that Munro, himself, acknowledges; see Documents, p. ciii). English land tenure certainly had an effect on the decisions of British judges in Canada as well. In England, judicial notice of copyhold custom evolved under variable conditions in the political economy. During the early sixteenth century, rural England witnessed its first enclosure movement in response to the demands of a growing international market. Manorial lords sought to appropriate land otherwise held for communal use by the local inhabitants. Consequently, English courts began to assume greater jurisdiction over land disputes whereas authority had traditionally rested within the local village. By incorporating local customs into the common law, English judges gradually introduced rules by which to determine the legal force of local customary usages; for further discussion of these rules see, infra, p. 260; and Andrea C. Loux, “The Persistence of the Ancient Regime: Custom, Utility, and the Common Law in the Nineteenth Century,” Cornell Law Review, Vol. 79, No. 1 (Nov., 1993): pp. 190-191. In the 1607 ruling in Gateward’s Case, the court refused to recognize the right of common tenure vested in the local inhabitants based on the grounds that it would be “transitory and altogether uncertain, for it will follow the person, and for no certain time or estate, but during his inhabitancy, and such manner of interest the law will not suffer, for custom ought to extend to that which hath certainty and continuance.” See Gateward’s Case, 77 Eng. Rep. at 344-345. While utilitarian considerations preserved some long-standing usages, by the eighteenth century, the English common law had become an instrument of dispossessing many customary rights to communal land use by finding them “unreasonable.” The gradual dissolution of usufruct land rights in England is evident nearly two centuries later. In the 1793 case of Bateson v. Green,     76 Further complications arose from the chaotic mass of registres in the colonial archives at Quebec. French officials had either removed or thoroughly mismanaged their records so as to leave little semblance of a legal depository for the British, let alone provide them with any clear ethnographic knowledge of specific legal issues. Alternatively, British judges often sought the advice of interpreters, notaries, and other skilled professionals in French-Canadian law to assist them in the decisions. On at least one occasion, British judges went so far as to solicit the opinion of “three eminent lawyers of Paris” concerning the granting of deeds to seigneurial lands.253 The resulting legal chaos compelled acting Governor Guy Carleton to institute a form of inter-systemic compromise.254 Through formal measures, Carleton sought to standardize the empirical methods by which British jurists attempted to resolve complex cases involving French claims. By his advice, the complete restoration of French law was to serve the court’s decisions in all civil cases. The persistent problem, however, was the inaccessible maze of decrees, edicts, and ordinances that the French Crown had issued as supplements or modifications to the Coutume de Paris.255 Consequently, Governor Carleton requested several “Canadian gentlemen well skilled in the laws of France” to compile the principal civil laws of the French period to make them more                                                                                                                                                                                   the court held “that the lord had a right to use [his] common as he pleased” even if “the commoners have been abridged of their enjoyment.” See Bateson v. Green, 101 Eng. Rep. 230, 234; also see Loux, “Persistence,” p. 198. While the above does not suggest a complete arbitrariness of judicial decision making in England or the British colony of Quebec, the significance of contemporary English legal philosophy certainly had an impact on French-Canadian land tenure. This is especially evident in later British efforts to convert en censive grants to those held in “free and common socage” (land held in freehold or fee simple); see, for example, “Report of the Solicitor-General upon various Questions relating to the Seigniorial System,” dated 5 October 1790, in Munro, Documents, pp. 250-266. 253 See Munro, Seigniorial System, p. 204; and Munro, Documents, p. cii. 254 Alvord, The Illinois Country, p. 198. 255 Munro, Seigniorial System, p. 198.     77 accessible.256 Work began on this ambitious project in 1766, culminating in the publication of four treatises between 1772 and 1775.257 Each of these works consisted of sketches, abstracts, and commentaries on French-Canadian law based on selections from the Coutume de Paris.258 To further these codification efforts and help reinstate French legal tradition, Carleton submitted a draft ordinance to British metropolitan officials in 1767. The ordinance proposed to enact “all laws and customs which prevailed in this province . . . concerning the rights, privileges, and pre-eminences of tenures . . . inheritances . . . and                                                              256 Ibid. 257 Munro, Seigniorial System, pp. 198-199. The U.S. government used similar methods of collecting and publishing the laws of former governments during the course of nineteenth-century territorial expansion. See, for example, Joseph M. White, ed., A New Collection of Laws, Charters and Local Ordinances of the Governments of Great Britain, France and Spain: Relating to the Concessions of Land in Their Respective Colonies, Together With the Laws of Mexico and Texas on the Same Subject, 2 Vols., Philadelphia: T. & J.W. Johnson, 1839. Following the U.S.-Mexican War and the territorial accession of the American Southwest, the U.S. government faced the administrative complexities of recognizing and administering Hispanic land grants. Provisions established under article eight of the Treaty of Guadalupe Hidalgo protected the fee simple, or absolute tenure interests, of those who received land grants under the Spanish and Mexican governments and their successors in title in the annexed territory. Consequently, American jurists compiled and published select Spanish and Mexican laws to which they could refer in the flood of land claims cases that followed; see, for example, Matthew Reynolds, ed., Spanish and Mexican Land Laws: New Spain and Mexico, St. Louis, Mo.: Buxton and Skinner Stationery Co., 1895. The problem with these published legal summaries was the failure to mention pre-existing customary practices, rules of evidence, or laws providing prescriptive rights to title based on continuous possession. Nevertheless, American courts adopted these biased “historical sketches” in adjudicating subsequent land claims cases; see Charles L. Briggs and John R. Van Ness, eds. Land, Water, and Culture: New Perspectives on Hispanic Land Grants, Albuquerque: University of New Mexico Press, 1987, pp. 44- 45; and Malcolm Ebright, Land Grants and Lawsuits in Northern New Mexico, Albuquerque: University of New Mexico Press, 1994, pp. 133-135. 258 Published titles included the following: 1. An Abstract of those Parts of the Custom of the Viscounty and Provostship of Paris, which were received and practiced in the Province of Quebec in the time of the French Government; 2. The Sequel of the Abstract . . . containing the thirteen latter Titles of the said Abstract; 3. An Abstract of the Criminal Laws that were in force in the Province of Quebec in the time of the French Government; and 4. An Abstract of the several Royal Edicts, and Declarations, and Provincial Regulations and Ordinances, that were in force in the Province of Quebec in the time of the French Government, and of the Commissions of the several Governours-general and Intendants of the said Province, during the same Period. For further discussion of these compilations, see Hilda M. Neatby, The Administration of Justice under the Quebec Act, Minneapolis: University of Minnesota Press, 1937, pp. 13- 14.     78 power[s] of devising or bequeathing [real property] by a last will or testament.”259 The home authorities, however, took no immediate action on Carleton’s proposal. The British failure to accept Carleton’s scheme for legal reform reflected not so much a rejection of the Governor’s efforts as a signaling of greater sea change in colonial politics. The growing tensions among the French of the interior region finally compelled the British to respond. By the summer of 1773, authorities had yet to decide upon what legal grounds French land claims stood. In any case, British officials were disinclined to remove the French inhabitants from their settlements. By year’s end, Prime Minister Lord North and Colonial Secretary Lord Dartmouth had decided to grant a civil government to those French inhabitants residing north and west of the Ohio River.260 Having expressed considerable misgivings on the “justice and Propriety of restraining the Colony to the narrow Limits” prescribed by the Proclamation of 1763, the British government set out a new administrative agenda for the interior region of the continent.261 On 1 December 1773, Lord Dartmouth wrote to Hector Cramahé, Lieutenant Governor of Quebec (serving temporarily in Carleton’s absence), that the affairs of the northern colony were “under the immediate Consideration of His Majesty’s Servants.”262 With mounting pressure for British reinforcements on the eastern seaboard (colonists were brewing tea in the Boston Harbor only two weeks after Dartmouth’s letter to Cramahé) and the pressing need for an effective system of civil administration for the interior’s French inhabitants, political change had become paramount. With the passage                                                              259 Letter of Carleton to Earl of Shelburne, British Secretary of State for the Southern Department, dated 24 December 1767, as quoted by Munro, Seigniorial System, p. 200. 260 Jack M. Sosin, Whitehall and the Wilderness: The Middle West in British Colonial Policy, 1760-1775, Lincoln: University of Nebraska Press, 1961, pp. 235-236. 261 Letter of Dartmouth to Lt. Gov. Cramahé dated 1 December 1773, as quoted by Sosin, Whitehall, p. 238. 262 Ibid. p. 237.     79 of the Quebec Act on 7 October 1774, the British hoped to thwart revolutionary crisis and secure imperial control over the colonies. Under the Act, the colony’s boundaries extended south to the Ohio River and west to the Mississippi to include what would come to be known as the Northwest Territory.263 More importantly, the Act made similar provisions to those found under the 1763 Treaty of Peace. In concession to the disabilities imposed by the Royal Proclamation of 1763, the preamble to the Quebec Act recognized that “a very large Extent of Country, within which there were several Colonies and Settlements of the Subjects of France . . . was left without any Provision being made for the Administration of Civil Government therein.” In matters of ecclesiastical jurisdiction, the British Crown granted its new subjects “the free Exercise of the Religion of the Church of Rome.” With the exception of “the Criminal Law of England, and the Benefits and Advantages resulting from the Use of it,” all other “Matters of Controversy, relative to Property and Civil Rights,” were to proceed under the laws of the old regime.264 Furthermore, all causes arising in the “Courts of Justice” were to “be determined agreeably to the said Laws and Customs of Canada” until altered or repealed by ordinance or legislative authority. In matters of personal property and inheritance, the Act stipulated a choice of law clause by according the colony’s inhabitants “[the] Right to alienate . . . Lands, Goods, or Credits [and] to devise or bequeath the same . . . [under] any Law, Usage, or Custom . . . prevailing in the Province [by] such [Last] Will [and Testament] being executed either according to the Laws of                                                              263 An Act for Making More Effectual Provisions for the Government of the Province of Quebec in North America (1774), Statutes at Large, from Magna Charta, to the Twenty-Fifth Year of the Reign of King George the Third, Inclusive, Vol. 8, London: Printed by Charles Eyre and Andrew Strahan, 1786, pp. 405- 407. For a concise legislative history of the Act, see Sosin, Whitehall, pp. 240-249. 264 For a discussion of contemporary debates over whether to incorporate French, rather than English, criminal law and procedure into the national legal system prior to the passage of the Quebec Act, see J. Edwards, “The Advent of English (Not French) Criminal Law and Procedure into Canada—A Close Call in 1774,” Criminal Law Quarterly, Vol. 26, No. 4 (Sept., 1984): pp. 464-482.     80 Canada, or according to the Forms prescribed by the Laws of England.” With the intention of preventing further settlements in the region (but excluding direct reference to the Indian tribes) article seventeen provided that nothing within the Act should “extend, or be construed to extend, to repeal or make void . . . any Act or Acts of the [British] Parliament . . . made for prohibiting, restraining, or regulating, the Trade or Commerce of [the] . . . Colonies.” The latter of these provisions had become particularly pressing. Despite settlement restrictions under the Proclamation of 1763, western land speculation had grown precipitously since British territorial occupation.265 With subsidies from London financial firms, political backing from parliamentary lobbyists, and a public anxious to invest, numerous land companies had launched their business ventures into the great territorial expanse west of the Alleghany Mountains.266 The problem for speculators was the British imperial government’s persistent reluctance to adopt a policy of territorial expansion and thus open the floodgates to western settlement, a course of development the Royal Proclamation had been designed to restrain. To overcome this obstacle, land speculators needed a tangible endorsement of their activity. They found this authority in a 1757 legal opinion written by two prominent British lawyers. “In respect to such places, as have been or shall be acquired by Treaty or                                                              265 Alvord, Illinois Country, p. 286. Advertisements began circulating throughout the United Kingdom only a few months after England signed the Treaty of Peace. A pamphlet entitled “Expediency of Securing our American Colonies by Settling the Country adjoining the River Mississippi, and the Country upon the Ohio, Considered,” appeared in Edinburgh during the fall of 1763. 266 The Mississippi Land Company was one of the first Anglo-American enterprises to plan colonization and settlement in the west and certainly one of the most well known at the time. Among other prominent businessmen, George Washington served on the board of directors. Early corporate records reveal the extent of their plans and their influence among investors in London. The Company’s proposed colony consisted of two and a half million acres that covered parts of present-day Illinois, Indiana, and Kentucky. See Clarence E. Carter, “Documents relating to the Mississippi Land Company,” American Historical Review, Vol. 16, No. 2 (Jan., 1911): p. 311.     81 Grant from any of the Indian Princes or Government[,]” Charles Pratt and Charles Yorke wrote, “your Magisties Letters Patent are not necessary, the property of the Soil, Vesting in the Grantee by the Indian Grants.”267 In distinctively paradoxical fashion, colonial expansionists and western land speculators quickly became zealous advocates of Indian sovereignty. Their laissez-faire attitude, however, reflected less of a concern with preserving Indian laws and customs than a self-serving interest in free market enterprise. By natural law, speculators argued, Indians could sell their land to anyone they pleased.268 After the opinion surfaced in North America sometime in 1773, the Illinois Land Company (later the Illinois and Wabash Land Company) quickly referred to its authority as endorsing the private acquisition of Indian lands. On 5 July 1773, following negotiations “with several tribes of the Illinois Nations of Indians at [the] Kaskaskias village,” the Company purchased two large tracts of land, one on the Illinois River, the other situated between the Ohio and Mississippi Rivers.269                                                              267 The document later became known as the Camden-Yorke opinion after Pratt became Lord Chancellor Camden in 1766. By the time the Camden-Yorke opinion surfaced in North America, it had undergone several revisions. The original version, prepared for the Privy Council in 1757, related to the rights of the British East India Company over its acquisition of Native lands in India. Compare American and Indian versions of opinion in Williams, American Indian, pp. 276-277. Extended commentary and comparative analysis is provided by Sosin, Whitehall, pp. 229-232. 268 Williams, American Indian, pp. 272-273. This reasoning, however, was a great source of debate between speculators from the “landed” and “landless” colonies, the difference resting on whether or not one possessed Royal charter claims to the west. Whereas the “landless” colonies, such as Pennsylvania and Maryland, urged direct purchase of land from the Indians, “landed” colonies such as Virginia and New York argued for the prohibition of private transactions without Crown sanction; see Williams, American Indian, p. 230. 269 Account of Company Representative William Murray, as communicated in letter from Captain Hugh Lord to (then acting commander-in-chief) Frederick Halimand, quoted in Alvord, Illinois Country, pp. 301-302, 340. Two years later, the Wabash Land Company purchased two tracts along the Wabash River in present-day southern Indiana. Lois Viviat, a French agent with the Company, played a leading role in negotiating the purchases with the Piankeshaw Tribe. On 18 October 1775 Viviat secured a deed for the land from eleven of the Tribe’s chiefs. Combined, the 1773 and 1775 purchases—which were followed by nearly fifty years of political lobbying and litigation for recognition of title—would come to define modern American property law in the case of Johnson v. M’Intosh. For boundary descriptions and the full-text of the 1775 deed of conveyance, see George R. Wilson, "The First Public Land Surveys in Indiana; Freeman's Lines," Indiana Magazine of History, Vol. 12, No. 1 (March, 1916): pp. 2-6.     82 By introducing the foreign complexities of French law into the continental interior under the Quebec Act, the British hoped to curb speculation in western lands. The measure was a calculated risk. However, in order to secure French allegiance, suppress insurrection in the east, and conciliate the western Indian tribes, British officials had few other options. On 3 January 1775, Lord Dartmouth forwarded instructions to Governor Carleton on implementing the “Act for making more effectual Provision for the Government of the Province of Quebec in North America.” In outlining a tentative judicial system for the enlarged colony, Dartmouth’s instructions provided for “an Inferior Court of Criminal and Civil Jurisdiction in each of the Districts of the Illinois, St Vincenne, Detroit, Missilimakinac, and Gaspée, by the Names of the Court of King’s Bench.”270 Each court was to “consist of one judge, being a natural-born Subject of Great Britain . . . and of one other Person, being a Canadian, by the name of Assistant or Assessor, to give advice to the Judge in any Matter.”271 Appointed officials were to administer fixed boundaries within each district to prevent settler encroachments on tribal lands or disruptions to trade regulation.272 Governor Carleton appointed Edward Abbott as Lieutenant Governor of Vincennes. Abbott arrived at the village on 19 May 1777 to inaugurate the new administration “bearing His Majesty’s commission.”273                                                              270 Instructions of Dartmouth to Carleton dated 3 January 1775, DRCHC, Vol. 2, pp. 600-601. Also see Neatby, Administration of Justice, pp. 20-21. 271 DRCHC, Vol. 2, p. 601. This is one of the first instances of appointing “assessors” in matters of British colonial legal administration that would to serve as a model for England’s expanding empire during the nineteenth and early twentieth centuries; see Leon Sheleff, Future of Tradition, p. 380. 272 Sosin, Whitehall, p. 249. 273 Lt. Gov. Edward Abbott to Governor Carleton, dated 26 May 1777, as quoted in Paul L. Stevens, “‘To Keep the Indians of the Wabache in His Majesty’s Interest’: The Indian Diplomacy of Edward Abbott, British Lieutenant Governor of Vincennes, 1776-1778,” Indiana Magazine of History, Vol. 83, No. 2 (June, 1987): p. 156. Abbott arrived at Vincennes with children and French-Canadian wife. Despite his intentions to “do the inhabitants justice,” Abbott’s tenure lasted only a few short weeks; see letter of Abbott to Carleton, dated 25 May 1777, in H.W. Beckwith, ed., Collections of the Illinois State Historical Library, Vol. 1, Springfield, Ill.: Illinois State Historical Library, 1903, p. 313. Also see Barnhart and Riker,     83 Dartmouth’s correspondence to Carleton also included a supplementary enclosure to his instructions. In outlining proposed regulations for “the Peltry Trade of the Interior Country,” article thirty-two of this document referred to “a Plan proposed by Our Commissioners for Trade and Plantations in 1764, a copy of which is hereunto annexed.”274 For all practical purposes, Dartmouth intended for the Plan of 1764 to “serve as a Guide in a variety of cases, in which it may be necessary to make provision by Law for that important Branch of American Commerce.”275 Whereas Sir William Johnson’s scheme had failed six years before, its resurrection by the British government signaled a fleeting hope of returning to the middle ground. Overall, the importance of the Quebec Act to the region’s history lies in its multi- cultural provisions guaranteeing religious tolerance, linguistic diversity, dual systems of land tenure, a hybrid legal structure, and customary institutions of self-government. The Act explicitly acknowledged the British government’s past failure to maintain peaceful relations with the western tribes and its neglect of the French inhabitants of the interior. By exercising jurisdiction through Quebec, the British hoped to rectify their strategic errors by reintegrating the convention of continuity into colonial policy and reconciling the constitutional association of Indian-settler inter-dependence and protection.276                                                                                                                                                                                   Indiana to 1816, pp. 175-176, where the authors note, unfortunately, that very little if any of the court record at Vincennes has been preserved. 274 DRCHC, Vol. 2, p. 607. 275 Ibid; also see Sosin, Whitehall, p. 249; Barnhart and Riker, Indiana to 1816, p. 175, n. 112; and McHugh, Aboriginal Societies, p. 105, who notes that formal instructions issued to the Governor, Indian Superintendents, and other officials, “maintained the principles of the ‘Plan of 1764.’” Prior to his departure for Vincennes, Edward Abbott received written instructions from Governor Carleton, containing “the form of Office on all occasions,” which, as Paul Stevens notes, “outlined a lieutenant governor’s responsibilities over his post’s civil administration, fiscal accounts, and fur trade as contained in Carleton’s own instructions from the home government.” See Stevens, “His Majesty’s Interest,” p. 147. 276 Tully, Strange Multiplicity, pp. 125, 126.     84 While the measure served as a concession to the French and Indians of the interior region, it signified a direct affront to the colonial expansionists of the east. As part of a “long train of abuses and usurpations,” the revolutionary radicals discredited the measure as an act of injustice for “abolishing the free system of English Laws in a neighbouring Province, establishing therein an Arbitrary government, and enlarging its boundaries so as to render it at once an example and fit instrument for introducing the same absolute rule into these Colonies.”277 Rather than submit themselves to the normative force of local, peculiar customs and usages, the colonists sought a single, unifying constitutional order under which “all men are created equal” and “endowed by their Creator with certain unalienable rights.” By rejecting the convention of continuity, the revolutionaries could free themselves of the variegated patchwork of customary constitutions. The universal language of “consent,” “uniform government,” “equality,” and “consanguinity,” replaced a multi-national, multi-lingual, constitutional dialogue.278 The Quebec Act not only offended the sensibilities of Anglo-American legal and political culture, but it also obstructed settler interests in western land. The privatization of property—representing both a commodity and value system in American settler society—rested squarely on the colonial radicals’ ideas of labor and self-sufficiency. John Locke’s natural law philosophy that men “have a right to their own preservation”                                                              277 Declaration of Independence, 4 July 1776, in Charles C. Tansill, ed., Documents Illustrative of the Formation of the Union of the American States, Washington: Gov’t Printing Office, 1927, p. 24. For English political debate following the Act’s passage, see Robin E. Close, “The Attempted Repeal of the Quebec Act: The State of Parliamentary Opposition in 1775,” Past Imperfect, Vol. 1 (1992): pp. 77-91. 278 Declaration of Independence; and Virginia Declaration of Rights, 12 June 1776, in William Hening, Statutes at Large, Vol. IX (1775-1778), p. 111. According to John Jay in the Federalist Papers, there was no need for multi-cultural dialogue, for “Providence has been pleased to give this one connected country to one united people — a people descended from the same ancestors, speaking the same language, professing the same religion, attached to the same principles of government, very similar in their manners and customs, and who, by their joint counsels, arms, and efforts, fighting side by side throughout a long and bloody war, have nobly established their general liberty and independence.” As quoted in Tully, Strange Multiplicity, p. 94.     85 [by as] much land as [one] tills, plants, improves, cultivates, and can use the product of,” both personified and sustained the Americans’ “common sense” view of government and their relation to the west.279 Locke’s theory facilitated the American settlers’ appropriation of land from the Indians, as the right to acquire property was limitless, “at least where there is enough, and as good left in common for others.” To be sure, “[i]f such a consent was necessary, man would have starved, despite God’s plenty given him.”280 The Indian was not only “rich in land and poor in all the comforts of life,” but also, perhaps most abhorrently, “want of improving it by labor.”281 In essence, the western wilderness of uncultivated “waste” lands lay ripe for the taking. For the colonial radicals, the British Crown’s sovereign prerogative represented a tyrannical confiscation of their natural right to property and prosperity. During the brief period of British colonial rule, the legal topography of the North American interior changed little from what it had been prior to imperial conquest. Rather than assert full territorial sovereignty, the Crown sought to expand its authority without displacing the inhabitants’ land rights, laws, and customary forms of self-government. Ironically, however, by prescribing Indian-settler boundaries under the Proclamation of                                                              279 John Locke, Second Treatise on Civil Government, as quoted by Williams, American Indian, pp. 247- 248. “Common Sense” refers here to Thomas Paine’s pamphlet published at Philadelphia in 1776 in which he espouses “freedom and property to all men.” See Moncure Daniel Conway, ed., The Writings of Thomas Paine, Vol. 1: 1774-1779, New York: G.P. Putnam’s Sons, 1894, p. 98. 280 Quoted in Williams, American Indian, p. 247. 281 Ibid. p. 248. By replacing the inhabitants’ unwritten customs and convoluted usufruct rights with a system of land tenure based on clear and systematically defined boundaries, parceled tracts, recorded deeds, and clear titles, settlers and speculators had a greater sense of security in their investments; see María E. Montoya, Translating Property: The Maxwell Land Grant and the Conflict over Land in the American West, 1840-1900, Berkeley: University of California Press, 2002, pp. 4-5, 117. Montoya’s study of the American southwest provides a useful comparative model of analysis by exploring the impact of territorial settlement on Native peoples living in peripheral, agriculture-based frontier societies. As Montoya observes, “method[s] of incorporation and land dispossession followed a similar path regardless of the time period or location.”     86 1763, British policy began to marginalize the middle ground. The lack of an effective legal framework governing the French and the failure to adopt a coherent policy to mediate Indian-settler relations only deepened the cultural divide. Despite attempts at conciliation—beginning with Sir William Johnson’s Plan of 1764 and culminating in the Quebec Act ten years later—the jurisdictional ambiguity that had become endemic to the region reflected England’s failed imperial model of legal pluralism. In other respects, the cross-cultural frontier endured. Independence from England would, by no means, ensure unfettered U.S. sovereignty. The greatest obstacle for the fledgling nation lay in the trans-Appalachian west, where geography, Indian resistance, and the ambiguous loyalties of Euro-American settlers threatened expansionist ambitions. For an effective political transition, the new American government would have to make concessions. By observing international law conventions of continuity and consent— notably through treaty-making practices and acquired rights provisions—the U.S. would recognize, albeit with the foresight of eventual unification, the integrity of multiple, customary-based jurisdictions. “The Revolution may have begun on the seaboard,” Eric Hinderaker observes, “but it would be really tested in the west.”282 Law, Community, and the Continuity of Custom: Regional Inhabitants under Virginia and Northwest Territorial Accession, 1778-1800   By commission of Virginia, the 1778 military expedition led by George Rogers Clark into the Illinois Country provisionally secured American interests over the southern                                                              282 Hinderaker, Elusive Empires, p. 227; also see François Furstenberg, “The Significance of the Trans- Appalachian Frontier in Atlantic History,” American Historical Review, Vol. 113, No. 3 (June, 2008): p. 659.     87 portion of lands northwest of the Ohio River.283 “This new territory,” historian Clarence Alvord charts descriptively, “stretched from the Ohio to Illinois River and up the Wabash toward Detroit to an indefinite boundary.” “Ouiatenon,” he adds, “was certainly under the jurisdiction of Virginia, but beyond that post and the Illinois River, there is no proof that [Virginia] exercised jurisdiction.”284 To formalize these otherwise imprecise claims, the Virginia General Assembly passed a law on 9 December 1778 entitled “An act for establishing the county of Ilinois [sic], and for the more effectual protection and defence thereof.”285 Virginia’s brief jurisdictional tenure in general, and the Act’s provisions in particular, show how the Commonwealth formed a temporary government suited to the unique circumstances of the region’s inhabitants. By provisions of the Act, “all civil offices to which the . . . inhabitants have been accustomed, necessary for the preservation of peace and the administration of justice, shall be chosen by a majority of the citizens . . . [and all] civil officers, after taking the oaths . . . prescribed, shall exercise their several jurisdictions and conduct themselves agreeable to the laws, which the present settlers are now accustomed to.” On 12 December 1778, Virginia Governor Patrick Henry appointed John Todd as Illinois County Lieutenant. In his instructions to Todd, Henry wrote that “[a]ltho Great reliance is placed on your prudence in managing the people you are to reside amoung, yet consider’g you as unacquainted in some Degree with their Genius, usages, and maners, as                                                              283 Based on their interpretation of several royal charters dating back to 1606, officials of the Commonwealth of Virginia held title claims to an extensive yet indefinite portion of this territory; see Rauch and Armstrong, Bibliography, pp. xiv-xvii. 284 Alvord, Illinois Country, p. 335. 285 William Hening, Statutes at Large, Vol. IX (1775-1778), pp. 552-555. The full text of the Act is available in numerous publications and online. For a legislative history of the Act, see Virginia, Journal of the House of Delegates of the Commonwealth of Virginia, Richmond: Commonwealth of Virginia, Oct. Sess., 1778, pp. 48, 49, 51, 52, 53, 70-71.     88 well as the Geography of the C[o]untry, I recommend it to you to consult and advise with the most inteligable and upright persons who may fall in your way."286 In recognizing both the necessity of flexible governance and the informal, unwritten laws and customs of the French inhabitants, Henry advised Todd “to act according to the best of yr Judgement in cases where these Instructions are Silent and the laws have not Otherwise Directed.”287 For purposes of maintaining “prudence and Justice,” Henry further instructed Todd to “Discountinence and punish every attempt to Violate the property of the Indians.”288 In compliance with these instructions, Todd held elections for the installation of judges at the newly-created courts at Kaskaskia, Cahokia, and Vincennes. With one exception, all twenty-five judicial officers elected were French.289 Despite Virginia’s accommodative approach, the political transition highlighted significant cultural tensions in the administration of local government. Following Clark’s departure, and with little executive oversight from Todd stationed at Kaskaskia, discord ensued between the French inhabitants and American military authorities installed at Vincennes. When Illinois County Lieutenant Governor Richard Winston charged several of Clark’s men with criminal conduct in April of 1782, the officers simply imprisoned him by “tyrannic military force [and] without making any legal application to the civil magistrates.”290 With little internal recourse, the French inhabitants set forth their grievances in a memorial to Virginia on 30 June 1781. In their petition, several local                                                              286 Instructions of Gov. Patrick Henry to John Todd, dated 12 December 1778, as quoted by Carl Evans Boyd, “The County of Illinois,” American Historical Review, Vol. 4, No. 4 (July, 1899): p. 625. 287 Ibid. p. 627. 288 Ibid. p. 626. 289 Ibid. p. 628. For an extended treatment of the French courts throughout the region, see Clarence Walworth Alvord, ed., Collections of the Illinois State Historical Library, Vol. II: Virginia Series, Vol. 1: Cahokia Records, 1778-1790, Springfield, Ill.: Illinois State Historical Library, 1907, pp. lvii-lxiii. 290 William H. English, Conquest of the Country Northwest of the River Ohio 1778-1783: And Life of Gen. George Rogers Clark, Vol. 2, Indianapolis: Bowen-Merrill Co., 1895, p. 736.     89 citizens wrote that they were “unwilling longer to submit to the exactions incident to [the Americans’] lawless proceedings.”291 Civil disorder evolved, in large part, from the clash of legal traditions that emerged soon after inauguration of the new government. In his original instructions to Todd, Governor Henry advised him “to inculcate in the people the value of liberty” by which “[a] free & equal representation may be expected by them in little Time, together with all the improvmts in Jurisprudence . . . which the other parts of the State enjoy.”292 Other Americans expressed less optimism in their cultural arrogance. “The civil law has ruined them,” Captain John Williams wrote to General Clark on 25 September 1779.293 With little regulatory oversight from Virginia after 1781, civil government at Vincennes floundered but nevertheless endured. Despite the ensuing years of neglect from the American government, the French courts of the Illinois and Wabash countries continued to administer estates, probate wills, resolve matters of inheritance, and arbitrate disputes.294 While preserving their laws and customs in managing their civil affairs, the French also proved their willingness and adaptability to the incoming legal regime.295 Notwithstanding the cultural tensions, conflict of legal authority, and competing land claims, community norms and customary practices persisted.296 Civil government                                                              291 Ibid. p. 739. Statutory organization of the County expired in May of 1781. However, several officers retained their civil posts and government continued under temporary administration. 292 Instructions of Henry to Todd, 12 December 1778, quoted in Boyd, “County of Illinois,” p. 626. 293 Boyd, “The County of Illinois,” p. 634, n. 5. 294 Murphy, “Laws of Inheritance,” p. 258. 295 For example, on 1 September 1788, the clerk of the Cahokia court received for probate the will of James Moore. The will was drafted in English, translated and registered in French, and applied various terms of American law; see Murphy, “Laws of Inheritance,” p. 259. 296 For a contemporary account of the confusion and conflict over competing land claims at Vincennes, see American inhabitants’ petition to Congress dated 1 June 1786 in Leonard C. Helderman, ed., “Documents: Danger on the Wabash; Vincennes Letters of 1786,” Indiana Magazine of History, Vol. 34, No. 4 (Dec., 1938): pp. 457-458. The several letters published in this edited collection illustrate the post-Revolutionary tension between the French, Indian, and American settlers at Vincennes.     90 under Virginia was a conscientious effort, however imperfect, to institute a republican form of government based on the legal traditions of the French inhabitants. Following more than two decades of minimal British interference, French laws, customs, and language remained largely in tact. In turn, by preserving local laws and customs, not only was Virginia following international legal norms of state succession but also accommodating the convention of continuity in its relations with the French inhabitants and Indian tribes. With independence tentatively secured under the 1783 Definitive Treaty of Peace, the new American government turned its attention to fulfilling its interests in national expansion.297 Autonomy from the British, however, failed to resolve the protracted debates over western territorial claims. Despite outward appearances of consensus over colonizing the west, the colonies had clashed when it came to what law would govern their landed interests. Following independence, the internal crises of western expansion became as much of a threat to quashing American autonomy as the British loyalists had been in thwarting revolution. As historian Robert Berkhofer notes “[t]he change shifted concern from how to go about erecting new royal colonies, if any, in the West to whether there would and ought to be new governments in the West as well as what ought to be their nature.”298 By Act of 20 December 1783, Virginia’s cession of its northwestern territory to Congress resolved this crisis in part. The measure also specified certain terms and                                                              297 The Jay Treaty, signed in 1794, stipulated that the British were to evacuate all remaining occupied posts in the Northwest Territory and American Indians and American and Canadian citizens were allowed to travel and trade freely across the northern international border. However, not until 1814, with the signing of the Treaty of Ghent, did the U.S. secure full removal of British colonial interests in the United States. 298 Robert F. Berkhofer, “Jefferson, the Ordinance of 1784, and the Origins of the American Territorial System,” William and Mary Quarterly, Vol. 29, No. 2 (April, 1972): p. 233.     91 conditions structuring the transition to U.S. jurisdiction and the formation of western territorial government. With respect to “the French and Canadian inhabitants, and Map 3. The United States of America Laid Down from the Best Authorities, Agreeable to the Peace of 1783, by John Wallis, 1783, from Library of Congress, Geography and Map Division (Digital Collections).299   other settlers of the Kaskaskias, St. Vincents, and the neighboring villages who have professed themselves citizens of Virginia,” all were to “have their possessions and titles                                                              299 “Published in London shortly after the signing of the Paris Peace Treaty, this map is one of the first published in Europe to recognize the new nation's independence and the first to incorporate the United States flag into the iconography of the map's cartouche. Also included in the cartouche are the likenesses of George Washington paired with a figure representing Liberty and Benjamin Franklin paired with the figures of Wisdom and Justice.” See Library of Congress, “First Map to Display the United States Flag,” Creating the United States [online exhibition], available at http://myloc.gov/Exhibitions/creatingtheus/, accessed 20 November 2011.     92 conferred to them, and be protected in the enjoyment of their rights and liberties.” Other than a grant “not to exceed one hundred fifty thousand acres of land” to General Clark and his officers, all remaining “tracts of waste and uncultivated territory” were to be ceded by Virginia and other “landed” states “for the common benefit and support of the union.”300 With the cession creating, for the first time, a national domain for the newly independent Union, Congress faced the formidable task of allocating and governing the newly-acquired territory.301 On the day of Virginia’s cession, the “committee appointed to prepare a plan for the temporary Government of the Western territory” read its report to Congress assembled. The timing of this report indicates that Congress had thoroughly considered western state making in the months prior to the cession. On 19 and 22 September 1783, pursuant to recommendations proposed by General George Washington, the Committee on Indian Affairs issued a two-part report to Congress. In stressing the importance of “security against the . . . disorderly and dispersed settlements in those remote and wide extended territories,” the report’s second installment recommended “the speedy establishment of government and the regular administration of justice in such District thereof as shall be judged most convenient for                                                              300 Act of 20 December 1783, as quoted in Worthington C. Ford, ed., Journals of the Continental Congress, 1774-1789, Vol. 26: 1784, Washington, D.C.: U.S. Gov’t Printing Office, 1928, pp. 112-118. Congress formally accepted Virginia’s deed of cession on 1 March 1784. Any mention of the Indian tribes or their rights and interests in land, however, were conspicuously absent from the document. 301 Berkhofer, “Ordinance of 1784,” p. 232. Berkhofer provides a valuable legislative history of the Ordinance of 1784. For a late nineteenth-century analysis, see Jay Barrett, Evolution of the Ordinance of 1787, With an Account of the Earlier Plans for the Government of the Northwest Territory, University of Nebraska, Dept. of History: Seminar Papers, no. 1, 1891, pp. 17-32. For a more thorough historical context, see Peter S. Onuf, Statehood and Union: A History of the Northwest Ordinance, Bloomington: Indiana University Press, 1987, especially chapter three, “New States in the Expanding Union: The Territorial Government Ordinances,” pp.44-66.     93 immediate settlement and cultivation.”302 To explore these proposals in depth, the report further suggested the creation of a “committee to devise a plan for the temporary government of the inhabitants . . . until their number and circumstances shall entitle them . . . to form a free constitution for themselves not incompatible with . . . republican principles.”303 The Committee report included five principal matters for Congressional consideration: the delineation of proposed states, provisions for the formation of both temporary and permanent systems of government, the terms and conditions for admission to statehood, and a charter of compact to govern the newly-formed states.304 Ensuing debates reveal deep tensions under which congressional lawmakers considered their charge. In particular, several proposed amendments illustrate the uncertainty over whether the settlers would have a role in creating a system of government or, on the other hand, if the process would be left to the authority of Congress alone.305 With minor variations, these two alternatives divided the federal legislature. Following several months of protracted debate, Congress (with the exception of New Hampshire) adopted a formal ordinance on 23 April 1784. In its final form, the provisions for settler autonomy read as follows:                                                              302 Committee on Indian Affairs draft report, dated 22 September 1783, in Papers of the Continental Congress, National Archives, as quoted by Berkhofer, “Ordinance of 1784,” p. 238. 303 Berkhofer, “ Ordinance of 1784,” p. 238. 304 Ibid. p. 248. Thomas Jefferson’s geographical ideology for the west underscored his commitment to a republican form of government. In true Montesquieuian spirit, Jefferson and his colleagues initially “proposed to divide the country into fourteen new states.” See letter of Elbridge Gerry (committee member from Massachusetts) to Jonathan Arnold dated 21 February 1784, in Julian P. Boyd, et al., eds., The Papers of Thomas Jefferson, Vol. 6, Princeton: Princeton University Press, 1952: p. 592 (see proposed Jefferson- Hartley map on p. 593). This proposal suggests the importance of keeping the new states small enough to instill republican principles and to preserve the interests and customs of each government’s citizens; see Berkhofer, “Ordinance of 1784,” p. 244. 305 Based on Berkhofer’s legislative history, the principal actors in this debate were Elbridge Gerry of Massachusetts and David Howell of Rhode Island. Berkhofer argues that Thomas Jefferson’s contributions were, in fact, less significant than most scholars assume, despite his role as committee chairman.     94 That the settlers on any territory so purchased and offered for sale, shall either on their own petition, or on the order of Congress, receive authority from them . . . within the limits of their state, to meet together, for the purpose of establishing a temporary government, to adopt the constitution and laws of any one of the original states; so that such laws nevertheless shall be subject to alteration by their ordinary legislature; and to erect, subject to like alteration, counties, townships, or other divisions, for the election of members of their legislature.306 By vesting authority in the local community, the Ordinance of 1784 provided for its proposed western states a flexible system of settler governance. In essence, this compact embodied the spirit of community jurisprudence rooted in local institutions connected with settler norms and customs. Although the Ordinance gave Congress the power to take measures “necessary for the preservation of peace and good order among the settlers,” this provision was much less invasive than alternative proposals.307 As legal historian Richard Cole observes, “one of the remarkable aspects of the western ordinance that Congress adopted in 1784 was the degree of commitment to small and highly autonomous western communities.”308 By omitting express provisions for a western judicial system, the Ordinance of 1784 deferred to settler customs and values and provided communities with broad discretion in crafting their own legal order.309 Yet not long after the ink dried, the Ordinance’s spirit of legal and political autonomy came under attack. The compact’s opponents considered it an inadequate framework for sustaining western government.310 They saw the persistent conflict between the Indians, French inhabitants, and American settlers as a failure to restore                                                              306 Ford, Journals, Vol. 26: 1784, p. 276. 307 On 21 April 1784, Jacob Read of South Carolina proposed an amendment that would submit the settlers, during the temporary stages of government, to the authority of federally appointed magistrates as well as “such laws and regulations as the United States in Congress shall direct.” The motion failed to pass by one state; see Ibid. pp. 259-260; also see Berkhofer, “Ordinance of 1784,” p. 252. 308 Richard P. Cole, “Community Justice and Formal Law: The Jurisprudence of the Western Ordinances,” Legal Studies Forum, Vol. 16, No. 3 (1992): p. 267. 309 Ibid. p. 268. 310 Ibid. pp. 278-279.     95 frontier order as the congressional framers of western government had intended. Adding to this charge, powerful land companies and wealthy landowners lobbied Congress to protect their vested interests in private property. Others criticized the lack of provisions prohibiting slavery and the need to protect Indian lands from settler encroachment. In addition, congressional policymakers received several petitions from the French inhabitants expressing concerns over preserving their laws and customs and securing their acquired property rights.311 Congress, in turn, asserted greater executive authority. “Despite their antipathy to imperial rule,” historian Peter Onuf observes, “congressmen began to talk about the need to establish ‘colonial’ government in the West on a ‘temporary’ basis.”312 In revising territorial policy, Congress considered in greater detail the administrative framework of a legally plural western government. For example, on 15 February 1785, Congress adopted a resolution recommending the appointment of a commissioner to the “Kaskaskie and Illenois [sic] Settlements” who, “in the exercise of his Authority and the administration of justice,” was to “suppress those disorders and irregularities of which the said Inhabitants complain” and “pursue the mode which he may judge the best calculated to quiet the Minds of those people and secure their attachment to the federal government.”313 The following month, an appointed committee                                                              311 See, for example, Memorial of François Carbonneaux, dated 8 December 1784, in Clarence Walworth Alvord, ed., Collections of the Illinois State Historical Library, Vol. V: Virginia Series, Vol. II: Kaskaskia Records, 1778-1790, Springfield, Ill.: Illinois State Historical Library, 1909, p. 369. 312 Onuf, Statehood and Union, p. 45. On 20 April 1786, Congressional delegate James Monroe wrote to Secretary of Foreign Affairs, John Jay, that Congress was considering the establishment of Territorial government “upon Colonial principles” before the new states were to be “admitted to a vote in Congress with the common rights of the other States.” Letter of James Monroe to John Jay, as quoted in Ibid. p. 49. “The territorial form of government,” William Henry Harrison would later remark, “possesses some traits which are not altogether reconcilable with republican principles.” See Philbrick, Laws, p. xxx. 312 Northwest Ordinance of 1787, section 5. 313 See Ford, Journals, Vol. 28: 1785, pp. 67-68.     96 elaborated on these responsibilities. In addition to adjusting competing land claims among the inhabitants, the commissioner was to “mark out convenient districts, and summon the inhabitants of each to elect three or more magistrates . . . to hear and determine all civil Controversies not relative to the property in Lands, agreeable to the Laws, usages and customs that prevail in such districts.” The committee further recommended the formation of “a court of criminal jurisdiction” over which the French magistrates were to preside.314 In the administration of Native affairs—a matter that the Virginia act of cession failed to treat—the Commissioner was to “preserve peace with the Indian nations, not permitting any settlement upon their Lands, untill [sic] a previous purchase has been made from them with all due solemnity.”315 The revisionary process formalized the law, first expressed in the Land Ordinance adopted by Congress on 20 May 1785. Designed to remove uncertainty over                                                              314 See Report of the Committee of Congress on Powers of Commissioners to be Appointed, dated 14 March 1785, in ibid. p. 156. Policymakers also sought to acquire a better knowledge of existing French laws and customs, which, until expressly repealed, would continue in force in the territory under international laws of state succession. Having previously neglected to pursue these measures with due diligence, Congress made formal inquiries and received testimony from several French inhabitants. In July of 1786, for example, Jean Gabriel Cerré, a Canadian-born justice of the peace for the Kaskaskia District, testified before Congress at length. “The people of Illinois,” Cerré stated, “were governed before the Conquest of Canada by the same laws as the people of Canada which were of the same nature with those of old France, adapted to the particular circumstances of the country.” The “local customs,” he added, “were equally binding as the laws.” See Alvord, Kaskaskia Records, p. 383. For biographical details on Cerré, see H.W. Beckwith, ed., Transactions of the Illinois State Historical Society, Springfield, Ill.: Illinois State Historical Library, 1903, pp. 275-288. In May of 1787, Congress considered the “Report of Committee on Post St. Vincents and Illinois,” which recommended provisions for the administration of civil government under French laws and customs and supplemental Virginia statutes relative to courts and legal procedure; see Philbrick, Laws, p. ccxv; and Ford, Journals, Vol. 32: 1787, pp. 266-269. In the end, however, Congress failed to enact any law consistent with recommendations under the 1785 and 1787 reports. 315 Committee Report of 14 March 1785, in Ford, Journals, Vol. 28: 1785, p. 156. The lack of provisions protecting Indian property rights under the Virginia act of cession reflected contemporary views on the nature of Indian title. For a brief period of time following the American Revolution, the prevailing belief among many lawmakers held that all Indian lands transferred automatically to the U.S. by right of conquest. Federal Indian policy soon changed, however, when the U.S. began entering into treaties with the tribes during the mid-1780s (between October of 1784 and January of 1785, the U.S. signed the Treaties of Ft. Stanwix, Ft. McIntosh, and Hopewell). The Committee Report’s stipulation on the sale of Indian lands certainly corresponded with these developments, foreshadowing the “good faith” clause adopted under the 1787 Northwest Ordinance. For further discussion of federal Indian policy during this period, see Stuart Banner, How the Indians Lost Their Land: Law and Power on the Frontier, Cambridge, Mass: Harvard University Press, 2005, especially pp. 121-140.     97 jurisdictional boundaries—a characteristic source of confusion for metropolitan authorities attempting to regulate the hinterlands of frontier settlement—the 1785 charter committed the west to a system of land tenure based on precise surveying methods and an orderly distribution of property. In turn, Congress adopted the Northwest Ordinance on 13 July 1787 “for the purposes of temporary government,” underscoring what little confidence federal lawmakers had left in the original compact designed by Jefferson and his colleagues.316 With the founding charter in place, a centralized government—under the consolidated administration of a federally appointed governor and three judges—replaced local systems of authority.317 For many, however, the important point was the “temporary” nature of this new regime. In exchange for government protection, settlers agreed, in theory, to the provisional suspension of their basic rights and privileges as U.S. citizens. As territorial judges Samuel Parsons and James Varnum would later remark, the                                                              316 The French continued to express their concerns in the days leading to passage of the Northwest Ordinance. On 7 July 1787, several French magistrates of the Kaskaskia District petitioned Congress protesting the appointment of American judges “who do not understand the French language.” Lacking a capable interpreter, the French complained of not being able to “communicate our thoughts [concerning the] litigations that are brought before us.” This petition preceded a similar memorial from several other “citizens of Kaskaskia,” who were “unanimously of the opinion that there should be only French magistrates just as the Court was established when it was erected by the late [John] Todd, [Illinois] County Lieutenant.” Rather than admit American judges to administer their courts, the French inhabitants preferred to “follow the law to which we are accustomed which has been granted us by the General Assembly of Virginia.” See Protest of Antoine Bauvais, St. Gemme Bauvais, and François Corset, dated 7 July 1787; and Agreement Among the Citizens of Kaskaskia, dated 8 July 1787, in Alvord, Kaskaskia Records, pp. 405-409. 317 During the first stage of government, the governor and judges held absolute powers of administration. Not until the territory consisted of “five thousand free male inhabitants of full age,” would the general populace be able to “elect a representative from their counties or townships to represent them in the general assembly.” See Northwest Ordinance of 1787, section 9. To its credit, the Ordinance integrated certain provisions that embodied a spirit of community law. Section 7 provided for the appointment of “magistrates and other civil officers in each county or township . . . for the preservation of peace and good order[.]” Section 14, article 2 instituted the jury trial by which all “inhabitants shall always be entitled to the benefits of[.]” Under earlier drafts of the 1787 Ordinance, western lawmakers would have been restricted to a much greater extent in their judicial and legislative capacities. For example, under the third draft, the federally appointed judges were to “agree on the Criminal Law of some one State, in their Opinion the most perfect, which shall prevail in said district.” See Cole, “Community Justice,” p. 297, n. 82.     98 new Ordinance was viewed “in the light of a compact between the United States and all the settlers.318 In laying the foundations to a western jurisprudence, the post-Revolutionary debates reflected a period of considerable uncertainty. Amidst the normative chaos from which the nation emerged after the War, territorial lawmakers considered it necessary to develop a consistent, uniform, and homegrown body of legal principles. American independence from the imperial yoke, however, failed to produce an immediate or complete departure from the British colonial legal heritage. Rather, the new nation demonstrated a conservative disposition in its lawmaking capacity.319 Legal historian Charles Cook identifies several reasons—both theoretical and practical in nature—for the post-Revolutionary preference for legal continuity. First, the American radicals did not identify the English legal system as a basis of their colonial agitation, nor did the revolutionary leaders ideologically dictate such changes. Second, the pragmatic difficulties of creating an entirely new system of law brought uncertainty and instability that threatened to undermine the independence that revolution had so tenuously achieved.320 Paradoxically, the preservation of English law failed to provide a suitable resolution to governing the newly-acquired western territory. Instead, a growing dissatisfaction with the extant legal order led to amplified demands for change. According to Cook, post-Revolutionary reformists criticized the existing law as ambiguous and inaccessible, needlessly complex and technical, and representative of an                                                              318 As quoted in Onuf, Statehood and Union, p. 73. 319 Charles M. Cook, The American Codification Movement: A Study of Antebellum Legal Reform, Westport, Conn.: Greenwood Press, 1981, p. 3. 320 Ibid. p. 4.     99 alien or foreign identity incompatible with ideas of independence and nativism.321 In particular, the sources of law presented the greatest conflict for the emerging western legal order. The Northwest Ordinance provided for the territorial court to “have common law jurisdiction,” and charged the governor and his judicial colleagues to “adopt and publish . . . such laws of the original states . . . as may be necessary and best suited to the circumstances of the district.”322 Other than these provisions, however, the charter offered little direction on the sources of law. In practical terms, the great “void” of legal materials weighed most heavily on lawmakers’ perceived obligations toward creating a new western jurisprudence. Between July and December of 1788, Northwest Territorial Governor Arthur St. Clair and Judges Samuel Holden Parsons, James Mitchell Varnum, and John Cleve Symmes published ten statutes to implement the Ordinance and initiate civil government. These laws dealt with basic structural matters such as crime and punishment, the establishment of a territorial militia, the creation of courts, the regulation of marriage, and the transfer of property.323 In 1790, however, having failed to enact supplementary measures, Judges Symmes and George Turner conceded that the original legislation proved “extremely inadequate to form a ground work for the full administration of justice.”324 St. Clair agreed that the territory lacked sufficient legal structure but went                                                              321 Ibid. p. 5. 322 Northwest Ordinance of 1787, section 5. The first and third drafts to the Ordinance gave judges the jurisdiction and powers of English chancery courts with explicit reference to the English common law; see Cole, “Community Justice,” pp. 284, 297, n. 83. 323 Theodore Calvin Pease, ed., “The Laws of the Northwest Territory, 1788-1800,” Collections of the Illinois State Historical Library, Vol. XVII, Springfield, Ill.: Illinois State Historical Library, 1925, pp. xxii, 1-26; also see William Wirt Blume, “Legislation on the American Frontier: Adoption of Laws by Governor and Judges—Northwest Territory 1788-1798; Indiana Territory 1800-1804; Michigan Territory 1805-1823,” Michigan Law Review, Vol. 60, No. 3 (Jan., 1962): pp. 325-330. 324 Letter of Judges Symmes and George Turner to Acting Governor Winthrop Sargent, dated 22 August 1790, as quoted in Blume, “Legislation,” p. 331. Varnum and Parsons had both died in 1789.     100 further by suggesting that the “common law of England,” which had “not been altered by statute previously to the late Revolution, or by laws of the Colonies before that period, or by laws of the States since,” was “the common law of the land.”325 The territorial judges, on the other hand, never fully acceded to this point of view. Samuel Parsons and James Varnum, for example, considered the adoption of the English common law among the original states to have “entered essentially into the principles of monarchial government,” and the same jurisprudence could not, “with propriety,” have applied in the territory.326 The backcountry politics and fierce localism of the western settlers marked a strong distrust of centralized authority. Moreover, the French and Indian communities posed obstacles to the uniform, Anglo-centric legal culture that St. Clair had envisioned. The Northwest Ordinance expressly recognized the French and Indian presence and codified their rights accordingly, thus providing the territory with an intrinsic form of legal pluralism.327 By the mid- to late-1780s, growing numbers of other European immigrants settled the western region, introducing their own legal traditions and exercising a considerable degree of autonomy in governing their diverse and scattered settlements despite the Governor’s emphasis on legal uniformity.328                                                              325 Letter of Governor St. Clair to Judges Parsons and Varnum, dated 7 August 1788, in William Henry Smith, The St. Clair Papers: The Life and Public Services of Arthur St. Clair, Soldier of the Revolutionary War, President of the Continental Congress, and Governor of the North-Western Territory; With His Correspondence and Other Papers, Vol. 2, Cincinnati, Ohio: Clarke, 1882, p. 76. 326 As quoted in Blume, “Legislation,” pp. 330-331. 327 Pursuant to stipulations under the Virginia act of cession, section 2 of the Ordinance guaranteed “to the French and Canadian inhabitants, and other settlers of the Kaskaskies, St. Vincents and the neighboring villages who have heretofore professed themselves citizens of Virginia, their laws and customs now in force among them, relative to the descent and conveyance, of property.” Section 14, article 3 provided that “[t]he utmost good faith shall always be observed towards the Indians; their lands and property shall never be taken from them without their consent; and, in their property, rights, and liberty, they shall never be invaded or disturbed, unless in just and lawful wars authorized by Congress; but laws founded in justice and humanity, shall from time to time be made for preventing wrongs being done to them, and for preserving peace and friendship with them.” 328 Furstenberg, “Trans-Appalachian Frontier,” p. 663; also see Andrew R.L. Cayton, “The Northwest Ordinance from the Perspective of the Frontier,” in Robert M. Taylor, ed., The Northwest Ordinance, 1787:     101 The mix of migrant newcomers and established French inhabitants posed as much of a threat to the territorial authorities’ vision of law and order as did the “savage” tribes throughout the region. After visiting the French settlements, General Josiah Harmar wrote to Secretary of War Henry Knox in 1787 that “all these people are entirely unacquainted with what Americans call liberty. Trial by jury, etc. they are strangers to. A commandant with a few troops to give them order is the best form of government for them; it is what they have been accustomed to.”329 When Governor St. Clair spoke at the                                                                                                                                                                                   A Bicentennial Handbook, Indianapolis: Indiana Historical Society, 1987, pp. 1-23. In addition to the long- established French communities, the increasing number of English, Scotch-Irish, and German immigrants had the greatest influence on the Old Northwest’s demographic composition; see Robert P. Swierenga, “The Settlement of the Old Northwest: Ethnic Pluralism in a Featureless Plain,” Journal of the Early Republic, Vol. 9, No. 1 (Spring, 1989): p. 80. In a 1789 letter to President George Washington, St. Clair described in detail the diversity of settlements in the Northwest Territory: Upon the Mississippi and Wabash Rivers a considerable Number of People, the remains of the ancient french Colony, who have been accustomed to be governed by the Laws of France, the Customs of Canada, and the arbitrary Edicts of the British Commandants, after they fell under the Power of Britain: —there are also some People there, who migrated from Virginia after the Cession of the country to the United States. A Settlement is begun between the great and little Miami composed of Emigrants from Virginia and New Jersey, but principally from the last. The Reservation, for the Virginia Officers, upon the Scioto Rover, has turned the Attention of many to that part of the Country, and a Settlement will be made there, so soon as it shall be laid open, by People from Virginia and the District of Kentucky where they have been used to the Laws & Customs of Virginia. —Higher up the Ohio comes the Country purchased by the Ohio Company, which be composed of Adventurers, chiefly, from Massachusetts, Connecticut and Rhode Island, the first Inhabitants are, and will be, from those States—Above that a gain are the Ranges of Townships parts of which have been sold, and as they are now the Property of Persons in New York, Jersey and Pennsylvania the Settlements will be made by People from those States—to the north of the last is the Connecticut Reservation, which that State is now disposing of—and to the north of the Ohio Company[’]s Tract one of the Reservations for the late Army lays. Letter of Governor Arthur St. Clair to President George Washington, dated [?] Aug. 1789, as quoted in Blume, “Legislation,” p. 323. 329 Letter of Brigadier-General Harmar to the Secretary of War dated 24 November 1787, in Smith, St. Clair Papers, Vol. 2, p. 32. Such views continued to evolve under measured yet nonetheless persistent legal prejudice. In 1790, Judge John Cleve Symmes expressed his disposition toward the French: “We have an arduous task before us to form the government & put the laws in operation here— from appearances the people will not relish a free government, they say our laws are too complex, not to be understood, and tedious in their operation—the command or order of the Military commandant is better law and spedier justice for them & what they prefer to all the legal systems found in Littleton and Blackstone. it is a language which they say they can understand, it is cheap and expeditious & they wish for no other—Indeed I am of opinion that the establishing of law in this extremity of the United States will be the means of driving to the Spanish government, multitudes of those who remain—very many already having gone. Indeed they went away because they had no government—and they will still go away because the government they now are like to have is not on the foot of an absolute Government like france.” As quoted in Philbrick, Laws, pp. ccxvi-ccxvii.     102 inauguration of territorial government at Marietta, Ohio on 15 July 1788, he urged those in attendance to “Cultivate a good Understanding” of the American Indians and treat them “with Kindness and the strictest Regard for Justice.” He cautioned his audience, however, not to admit of “their Customs and Habits . . . but endeavor to induce them to adopt yours.”330 In 1795, St. Clair and the judges took formal steps to fill the “void” of legal sources by publishing the “Maxwell Code,” a compilation of statutes adopted from the original states, including Pennsylvania, New York, Massachusetts, and New Jersey. The code included a statute from Virginia entitled “a law declaring what laws shall be in force,” which provided that The common law of England, all statutes or acts of the British parliament made in aid of the common law, prior to the fourth year of the reign of King James the first [1607] (and which are of a general nature, not local to that kingdom) and also the several laws in force in this Territory, shall be the rule of decision, and shall be considered, as of full force, until repealed by legislative authority, or disapproved of by congress.331 The passage of the Northwest Territory’s first English common law reception statute appears to have clarified and formalized St. Clair’s vision of legal order. However, reception occurred as a matter of practical construction rather than a matter of principle. “With regret,” Judges John Cleve Symmes and George Turner observed, “there are some laws in which the Territory is in great need, but which from locality, we despair of finding among those of the original states.”332 The English common law and British statutes helped fill this gap; however, these were of a general, non-binding nature and the                                                              330 Arthur St. Clair, Address at Marietta upon receiving his commission as governor, 15 July 1788, in Clarence E. Carter, ed., The Territorial Papers of the United States, Vol. 2: The Territory Northwest of the River Ohio, 1787-1803, Washington: U. S. Gov’t Printing Office, 1942, p. 265. 331 Pease, “Laws of the Northwest Territory,” pp. p. 253. 332 Address of Judges Symmes and Turner to the territorial legislature, May, 1795, as quoted in Cole, “Law and Community,” p. 185, n. 74.     103 idea of suitability became a test for adoption rather than a test for exclusion. Until lawmakers could examine, revise, or repeal the “rule of decision,” custom and local circumstances continued to play a significant role in forming a western jurisprudence.333 Preservation of local law and custom ultimately depended upon the continuing vitality of community legal forums. The decentralized nature of the county court system facilitated this process by giving broad administrative powers to local justices of the peace. Provisions under the Northwest Ordinance directed the governor to appoint county magistrates and other civil officers “for the preservation of the peace and good order.” By act of 23 January 1788, St. Clair and the judges established the General Courts of Quarter Sessions of the Peace, which vested authority in local judges to “hear, determine and sentence, according to the course of the common law, all crimes and misdemeanours, of whatever nature or kind.” The measure also created the County Courts of Common Pleas, which the justices held bi-annually to hear “causes of a civil nature, real, personal and mixed, according to the constitution and laws of the territory.”334 Several French inhabitants received appointments as justices of the peace                                                              333 Glenn, “Persuasive Authority,” pp. 276-277. On the introduction of the revisal-repeal method during the early national period, with particular reference to Thomas Jefferson’s efforts at statutory revision in Virginia between 1776 and 1779, see Elizabeth Gaspar Brown and William Wirt Blume, eds., British Statutes in American Law, 1776-1836, Ann Arbor: University of Michigan Law School, 1964, pp. 34-39. For a concise treatment of the post-Revolutionary debates among leading American jurists over the authority of English common law, see Charles A. Warren, A History of the American Bar, Boston: Little, Brown, and Co., 1911, pp. 224-239. 334 Act of 23 August 1788, in Pease, “Laws of the Northwest Territory,” pp. 6, 7. Under the Maxwell Code, “A Law establishing Courts of Judicature” gave justices of the peace the “full power and authority to take all manner of recognizances and obligations . . . as any of the United States, may, can, or usually do” and to “hold special and private sessions . . . as often as occasion shall require.” See Ibid. pp. 154-155. As federal appointees, however, justices of the peace did not always reflect local interests and their authority often clashed with popular community norms; see John R. Wunder, Inferior Courts, Superior Justice: A History of the Justices of the Peace on the Northwest frontier, 1853-1889, Westport, Conn.: Greenwood Press, 1979, p. 12. Moreover, St. Clair often held a low opinion of the justices. In 1795 he warned “of the consequences of all the litigated property being subjected to the arbitrary decisions of single justices,” those of whom the governor considered “often entirely ignorant of the law and of the rules which ought to govern testimony.” See Observations on Extending the Jurisdiction of a Single Magistrate in the Trial of Small     104 and as other administrative officials.335 Throughout the late eighteenth and early nineteenth centuries, justices of the peace frequently administered estates according to the laws and customs of the French; county court records continued to reference the French notaire and the use of various arbitration tribunals; and marriage contracts often included choice-of-law clauses or citations to the Coutume de Paris.336 Despite these examples, St. Clair’s advocacy for a uniform and centralized legal order gradually marginalized the region’s French legal tradition. Although he had acknowledged French customs in the past, by the mid-1790s St. Clair had begun to cast doubts as to their continuing legal force. In 1791, the Governor wrote to the Secretary of State that [b]y the Ordinance for the Government of the Territory the Laws and Customs which had prevailed among the ancient Settlers are to be continued so far as respects Descent and Conveyance of real property – the mode of conveyance was an Act before a Notary, and filed in his Office, of which an attested Copy was delivered to the Party – to fulfill that part of the Ordinance it was necessary that Notaries public should be                                                                                                                                                                                   Causes, by Governor St. Clair, in the Legislature, dated 3 June 1795, in Smith, St. Clair Papers, Vol. 2, p. 368. 335 With the organization of St. Clair County on 27 April 1790, Governor St. Clair appointed Jean Baptist Barbot, John Edgar, Antoine Gerardin, Philip Engel, and John de Moulin as judges of the court of common pleas; Bartholomew Tardavieu as judge of probate; Charles Le Ferre as coroner; and Joseph La Bussiere as notary public “for the purpose of taking due recognition of land titles among the French.” In Knox County, organized on 20 June 1790, acting Governor Winthrop Sargent appointed Pierre Gamelin, Louis Edeline, and James Johnson as judges of the court of common pleas; Antoine Gamelin, Paul Gamelin, and Francis Bussero as justices of the court of quarter sessions; and Antoine Gamelin as judge of probate; see Smith, St. Clair Papers, Vol. 2, pp. 165-167. 336 For the administration of Maria Edeline Perrot’s estate according to French custom in the Knox County Court of Common Pleas, see Barnhart and Riker, Indiana to 1816, p. 275, n. 7. On late eighteenth-century French marriage contracts in Kaskaskia and Cahokia, see Hans W. Baade, “Marriage Contracts in French and Spanish Louisiana: A Study in ‘Notarial’ Jurisprudence,” Tulane Law Review, Vol. 53, No. 1 (Dec., 1979): pp. 72-73. For an example of a French notarial marriage contract executed in St. Clair County in 1792, see Edward G. Mason, ed., Chicago Historical Society’s Collections, Vol. 4, Chicago: Fergus Printing, 1890, pp. 162-165. For references to the French notaire and arbitration tribunals, see Cole, “Law and Community,” p. 190, n. 91, discussing the Wayne County Court of Common Pleas. For a discussion of boundary disputes over Wayne County following Ohio’s admission to statehood in 1802, see Blume, “Probate and Administration,” pp. 220-221, n. 39.     105 appointed, and one was commissioned at Kaskaskia, one at Prairie du Rocher, and one at Cahokia.337 However, in a letter written four years later to the probate judges of Randolph and St. Clair Counties, the Governor held a different view: Having been informed that the Notaries public take upon themselves to settle all testamentary affairs of the French Inhabitants and the Estates of such persons among them as happen to die intestate, I have been led attentively to consider the rights reserved to those Inhabitants by the Ordinance of Congress for the Government of the Territory, and it is very clear that the ancient mode of Conveying real Estates and the manner in which such Estates descend to Heirs by the french Laws are all that are reserved: but it is not so clear how long that reservation is to continue in force – that is – whether it was to continue a distinct right to them only until the Organization of the Government and the Adoption of Laws by the Governor and Judges . . . or until a Legislature by representation was formed – In either Case however, the Notaries have nothing to do with Testamentary affairs.338 During this period, the territorial government’s legal relationship with the American Indians met with considerable uncertainty. St. Clair and the judges had conceded specific subject-matter jurisdiction to the French, but federal policy forced them to recognize the Indian tribes as possessing full territorial sovereignty (at least where Indian title had yet to be extinguished). Under the U.S. treaty system, the federal government formally recognized the tribes as self-governing nations with jurisdictional integrity.339 The “good faith” clause under the Northwest Ordinance acknowledged                                                              337 As quoted in William Wirt Blume, “Probate and Administration on the American Frontier: A Study of the Probate Records of Wayne County: Northwest Territory 1796-1803; Indiana Territory 1803-1805; Michigan Territory 1805-1816,” Michigan Law Review, Vol. 58, No. 2 (Dec., 1959): p. 212. 338 Ibid. pp. 212-213. 339 Section 6 of the 1795 Treaty of Greenville provided, in part, that “[i]f any citizen of the United States, or any other white person or persons, shall presume to settle upon the lands now relinquished by the United States, such citizen or other person shall be out of the protection of the United States; and the Indian tribe, on whose land the settlement shall be made, may drive off the settler, or punish him in such manner as they shall think fit.” “Lest the firm peace and friendship now established should be interrupted by the misconduct of individuals,” article 9 stipulated, in part, that “the United States, and the said Indian tribes agree, that for injuries done by individuals on either side, no private revenge or retaliation shall take place; but instead thereof, complaint shall be made by the party injured, to the other: By the said Indian tribes, or     106 Indian title to land and reserved to the federal government the sole right of purchase upon tribal consent. The American government’s right to Indian soil, Thomas Jefferson conceded in 1792, was nothing more than [a] right to preemption of their lands; that is to say, the sole and exclusive right of purchasing from them whenever they should be willing to sell. . . . We consider it as established by the usage of different nations into a kind of Jus gentium for America, that a white nation settling down and declaring that such and such are their limits, makes an invasion of those limits by any other white nation an act of war, but gives no right of soil against the native possessors.340 However, conflict over land possession and the lack of distinct boundary lines between Indian Country and ceded territory left questions of law and jurisdiction largely unresolved.341 Territorial proximity to Indian Country presented several occasions for jurisdictional conflict. Taking into account the territorial boundaries contiguous to the “many savage tribes, with whom (the principles of religion and justice are out of the question),” St. Clair declared to the legislative assembly in 1800 that “it may be proper                                                                                                                                                                                   any of them, to the President of the United States, or the superintendent by him appointed; and by the superintendent or other person appointed by the President, to the principal chiefs of the said Indian tribes, or of the tribe to which the offender belongs; and such prudent measures shall then be pursued as shall be necessary to preserve the said peace and friendship unbroken, until the Legislature (or Great Council) of the United States, shall make other equitable provision in the case, to the satisfaction of both parties.” See Charles Joseph Kappler, ed., Indian Affairs: Laws and Treaties: Vol. 2, “Treaties,” Washington: Govt. Print. Office, 1903 [hereinafter Kappler, Indian Affairs, Vol. 2], pp. 42, 43. 340 As quoted by Wilcomb E. Washburn, Red Man’s Land/White Man’s Law: The Past and Present Status of the American Indian, 2nd ed., Norman: University of Oklahoma Press, 1995, p. 56. 341 In large part, these issues arose from the four-year delay in drawing boundary lines referred to in the Treaty of Greenville, which, as Francis Paul Prucha argues, “meant that there were only unmarked frontiers, and the settlers, perhaps often in innocence, settled on lands the Indians still claimed, and so the friction continued.” See Prucha, American Indian Policy in the Formative Years: The Trade and Intercourse Acts, 1790-1834, Lincoln: University of Nebraska Press, 1962, pp. 105, 157. In addition, although the treaty provided for separate jurisdictions, specific terms permitted the United States to overstep these boundaries. For example, with respect to illegal settlements made in Indian Country, article 6 stipulated that “the United States shall be at liberty to break them up, and remove and punish the settlers as they shall think proper.” Regular Indian-settler interactions also presented the opportunity for frequent conflict of authority. Under article 7, the Indians retained their hunting and fishing rights in those lands ceded and article eight provided for a system of open trade and intercourse. See Kappler, Indian Affairs, Vol. 2, p. 42.     107 that the general regulations that have been established with respect to them, should sometime, be aided by municipal laws.”342 Although lawmakers and other territorial officials often recognized the jurisdictional limits under which they exercised authority in relation to the tribes, once U.S. treaties extinguished Indian title, authorities made little to no distinction from territorial and other forms of personal and subject matter jurisdiction. Despite the marginalization of a middle ground under the territorial government, local community forums helped to sustain cross-cultural relations. Vincennes, throughout the late eighteenth century, continued to illustrate the quintessential diversity of the Pays d’en Haut. “If the Algonquians and the Americans could have created a post- Revolutionary middle ground on the Ohio border,” Richard White suggests, “this would have been the place.”343 Legal records and court transcripts reveal the extent to which Indians remained integral to the social framework of village life in Vincennes. For example, on 15 March 1795 Joseph Johnson filed a petition with the Knox County Probate Court on behalf of “Joyet [sp?] an Indian female minor” who had “Chosen Charls Langlois [as] her guardian[,]” desiring “that he may be Vested With powers as such.”344 In several instances, probate records list debts owed, payments made, or property distributed to various Indians in the administration of estates. For example, receipts from the estate of Moses Henry, filed with the Knox County Probate Court in 1792, indicate                                                              342 Address of Governor St. Clair to the Territorial Legislature, at the Opening of the Second Session, at Chillicothe, 5 November 1800, in Smith, St. Clair Papers, Vol. 2, p. 502. As legal historian William Wirt Blume notes “the legislators of the Northwest Territory understood they had the power to adopt laws which would have force in the Indian country within the Territory.” See Blume, “Criminal Procedure on the American Frontier: A Study of the Statutes and Court Records of Michigan Territory 1805-1825,” Michigan Law Review, Vol. 57, No. 2 (Dec., 1958): p. 211. 343 White, Middle Ground, p. 422. 344 Knox County, Indiana, Papers, 1769-1847, Indiana Historical Society.     108 payment of sixty livres “to Sepeehqua a Shawny [Shawnee] Indian.”345 The inventory of John Toulon’s estate, filed with the Knox County Probate Court in 1797, lists several items “Supposed to belong to an Indian who used to lodge in the house.”346 In a 1799 case, John Duley filed charges of trover and conversion against Jonathan Purcell in the Knox County Court of Common Pleas.347 Duley accused Purcell of “contriving & fraudulently intending” to keep a horse belonging to the plaintiff.348 Judge Pierre Gamelin referred the case to arbitration, upon which the referees, “with Consent of [the] Parties[,]” agreed to have Purcell pay “Ten Gallons of whiskey as a reward to the [unnamed] Indian, bringing in the Said Horse.”349 By the turn of the century, however, settler clashes, competing land claims, and the rise of the illicit liquor trade overwhelmed cultural tolerance and peaceful co- existence. Moreover, the regional influx of American and European settlers introduced new social and ethnic boundaries in the administration of law and justice. In 1796, French politician and philosopher Constantin François Volney toured the United States                                                              345 Estate of Moses Henry, Northwest Territory, Knox County Probate Court (1792), Knox County Public Library, Wabash Valley Visions and Voices, available at http://visions.indstate.edu. Probate records from another estate indicate payment to “Chasso[,] an Indian for bringing in a lost horse.” See Estate of Lewis Chatellerault, Northwest Territory, Knox County Probate Court (1797), available at Ibid. 346 Estate of John Toulon, Northwest Territory, Knox County Probate Court (1797), available at Ibid. 347 Duley v. Purcell, Northwest Territory, Knox County Court of Common Pleas (1799), available at Ibid. 348 Complaint of John Duley, Ibid. “Trover” is a common law action for recovering damages sustained from the adverse possession of personal property; see definition in Bryan A. Garner, ed., Black’s Law Dictionary, 8th ed., St. Paul, Minn.: West, 2009. 349 Statement of referees, Duley v. Purcell. The problem of horse stealing had become so pervasive in the territory by the late eighteenth century, compelling Congress to include provisions in the trade and intercourse acts curbing traffic in this black market commodity. Under section 6 of the 1793 trade and intercourse act, “horses [were] not to be purchased of Indians without [a] license.” See Act of 1 March 1793, 2nd Cong., 2nd sess., ch. 19, Statutes at Large: p. 330. While indictments against Indian perpetrators often led to their conviction, occasionally the parties resolved their disputes with little intervention from the courts. During the November term in 1797, the Knox County Court of Common Pleas issued a writ of replevin, summoning Grand Blue, an Indian, for stealing a “certain mare” belonging to Henry Pea. Having “appeared in their proper persons,” the parties “amicably settled the dispute” and “the Court order . . . [was] dismissed.” Henry Pea v. Grand Blue, in Minutes of the Knox County Court of Common Pleas, 1796-1799, Pt. 1, Indianapolis, Ind.: Indiana Historical Records Survey, 1941, p. 186.     109 and made his way to Vincennes that summer. Shortly after his arrival, Volney attended a court session of which he made the following remarks: On entering, I was surprised to observe the audience divided into races of men, in person and feature widely differing from each other. The fair . . . complexion . . . indicative of health and ease, of one set, were forcibly contrasted with the emaciated frame, and meagre tawny visage of the other . . . I soon discovered that the former were new settlers from the neighboring states, whose lands had been reclaimed five or six years before, while the latter were French, of sixty years standing in the district. The latter, three or four excepted, knew nothing of English, while the former were almost as ignorant of French.350 According to Volney’s notes, the French often complained “that their rights were continually violated by the courts . . . [for] two judges only out of five were Frenchmen, who knew little of the laws or language of the English.”351 In turn, he wrote, “[t]hese statements were confirmed, for the most part, by the new settlers.” According to Volney, the Americans believed that the French knew “nothing at all of civil or domestic affairs,” nor were they able to “comprehend the nature of elective or municipal government.”352 Volney’s stay at Vincennes also “afforded [him] some knowledge of the Indians.” His encounters with the tribes of the Wabash region, including the “Weeaws, Payories, Sawkies, Pyankishaws, and Miamis,” proved to be “a new and most whimsical sight.” Mishikinakwa, the Miami Chief also known as Little Turtle, along with William Wells, travelled with Volney throughout the region and acquainted him with a variety of tribal customs, those the Frenchman “put upon paper [were] what appeared . . . worth noting.” Despite his attempt to clarify “a subject so much obscured by paradox and misrepresentation,” the empiricism and cultural relativism with which Volney wrote                                                              350 C.F. Volney, A View of the Soil and Climate of the United States of America, Philadelphia: J. Conrad & Co., 1804, p. 333. 351 Ibid. p. 335. 352 Ibid. pp. 336-337.     110 merely accentuated his subjectivity, Euro-centric bias, and personal disdain toward the “aborigines of North America.”353 In Volney’s analytical musings on tribal laws and customs, the subject of property arose frequently. “It is generally true that no right of property exists among the Indians, but,” he conceded, “it is to be admitted with some exceptions.”354 Even “in the wildest and most vagabond tribes, each one has an exclusive right to his arms, clothes, trinkets, and other moveables.”355 However, by distinguishing this personal “species of property” from “real or landed property,” Volney concluded the latter to be “entirely unknown among them.” Such is the case “in relation to all the wandering and unsettled tribes” but not for “those whom a fertile soil, or any other circumstance, has rendered sedentary.”356 Volney also elaborated upon tribal modes of inheritance and domestic governance. Extolling the virtues of private property and agriculture, Volney wrote that “in some tribes, where tillage is regularly pursued, children and kindred inherit these, and consequently the rights of real property are fully established.”357 “In other unsettled tribes,” by contrast, “all is heaped together, after the last possessor’s death, and divided among his neighbors, by lot or by some other rule.”358 “[O]n the women,” he observed, “is laid the burthen of all household affairs” and they “have no share in their husbands’ property.” “Such is the custom of [the] tribe,” he added, “and of many others: while living, each enjoys his arms, trinkets, and other moveables, but when dead, not even his                                                              353 Ibid. pp. 352-353, 358. 354 Ibid. p. 395. 355 Ibid. p. 396. 356 Ibid. Using the “Creeks and Putewoatamies” as examples, Volney noted that “[t]hese tribes reside in villages . . . and in these dwellings the builder has an undisputed property . . .” 357 Ibid. 358 Ibid.     111 knife or pipe falls to his children.”359 By applying western legal models to his subjects, Volney—like many of his contemporary and successive nineteenth-century observers— denied Indian customs the normative force of laws that protected their rights and proprietary interests in land and other forms of property. During the Northwest Territorial period, the consolidation of administrative powers under the governor and judges and the centralization of legal authority gradually displaced the community-based jurisprudence that had evolved over the course of the century to meet the socio-economic needs of a frontier society. However, by the late 1790s, the conflict between advocates for a community based law and those supporting a more centralized legal order had climaxed. On 29 October 1798, the Northwest Territory moved to its second phase of government, thereby instituting a representative legislature and limiting St. Clair and the judges’ absolute powers of administration.360 Federal officials retained their overarching authority and the governor held the unconditional veto power over the territorial legislature. By the turn of the century, however, the Northwest Territory had begun to fragment politically. Agitation for statehood had already gained momentum and the conflict between local and federal interests peaked with the Ohio secession movement in 1802.361 Opponents of the territorial order rejected their continuing status as “subjects” within a “dependent colony” without representation in Congress.362 While conceding to the temporary imposition of law and order during the early stages of government and frontier settlement, by 1800 the territory’s population had exceeded forty                                                              359 Ibid. p. 373. 360 The first general assembly met at Cincinnati on 24 September 1799. 361 Onuf, Statehood and Union, pp. 67-68. 362 Ibid. p. 71 quoting terms used by St. Clair in his criticism of dissenting rhetoric in 1795.     112 thousand and the institutions of civil government struggled to accommodate the growing settler polity. The territorial government’s failure to provide an adequate system of law and justice became a primary concern for many reformers. While most of the nine counties maintained justice of the peace courts, the three federal judges of the General Court lacked the practical ability to ride circuit and hear appeals throughout the vast territory.363 William Henry Harrison, territorial delegate to Congress, proposed judicial reform by expanding the bench. Instead, Congress pursued administrative reorganization of the territory. On 7 May 1800, Congress passed “An act to divide the territory of the United States northwest of the Ohio, into two separate governments,” creating the Indiana Territory.364 In recognizing Harrison’s leadership and successful track record in Congress, President John Adams appointed the former delegate as territorial governor of Indiana. With the seat of government at Vincennes, Harrison presided alongside federally appointed judges William Clark, Henry Vanderburgh, and John Griffin.365 With the new territorial government in place, Harrison and the judges officiated over a diversified jurisdiction of French inhabitants, American settlers, and other persons                                                              363 Barnhart and Riker, Indiana to 1816, pp. 274-275, 309-310. The Northwest Territory encompassed more than 260,000 square miles. Knox County was the largest of the nine counties, extending south from the Ohio River, north to Lake Superior, encompassing most of present-day Indiana and large portions of Ohio, Illinois, Wisconsin, and Michigan; see George W. Knepper, Ohio and Its People, 3rd ed., Kent, Ohio: Kent State University Press, 2003, p. 68; and Logan Esarey, A History of Indiana, Vol. 1, B. F. Bowen & Co., 1918, p. 154. 364 Act of 7 May 1800, 6th Cong., 1st sess. ch. 41, Statutes at Large: pp. 58-60. Territorial division was not well received by some of the inhabitants, the French in particular. Three months prior to the Act’s passage, Governor St. Clair wrote to William Henry Harrison, enclosing a “petition from the people of St. Vincennes,” outlining their concerns “that such a division . . . would throw them and the people of the Illinois country back into that kind of government from which the Territory at large ha[d] just emerged.” See letter of Governor St. Clair to William Henry Harrison dated 17 February 1800, in Smith, St. Clair Papers, Vol. 2, p. 489. 365 For a biographical sketch of the early bench and bar and historical overview of Indiana’s territorial and early state court system, see W.W. Thornton, “The Supreme Court of Indiana,” Green Bag, Vol. 4, No. 5 (May, 1892): pp. 207-234.     113 of European, Indian, African, and mixed descent. Moreover, with the exception of Clark’s Grant, Post Vincennes, Fort Massac, and “all other places in possession of the French people and other white settlers among them, of which the Indian title ha[d] been extinguished [those lands ceded to the U.S. by the 1795 Treaty of Greenville],” the Indiana Territory remained under the control of the Indian tribes, principally the Miami, Pottawatomie, Sauk, Fox, Shawnee, and Piankeshaw.366 The idea of a uniform legal order premised upon the sources of the English common law would face its most difficult hurdle in prevailing over this constitutional plurality of customs and self-governing polities. Toward a State of Uncertainty: Mixed Jurisdictions and the Crisis of Custom in The Indiana Territory, 1800-1816   The administration of civil government changed little immediately following the territorial division.367 In nearly all respects, the laws of the Northwest Territory continued operating in force in the Indiana Territory as Congress made no express act for their abrogation. Neither, on the other hand, did the Indiana Territorial government adopt, in whole, the laws of the Northwest Territory. Rather, as Daniel Wait Howe suggested in his late nineteenth-century writings, “these laws were regarded as continuing                                                              366 Barnhart and Riker, Indiana to 1816, p. 320; Kappler, Indian Affairs, Vol. 2, pp. 39-45. The Indiana Territory originally encompassed all land “northwest of the Ohio river, which lies to the westward of a line beginning at the Ohio, opposite to the mouth of Kentucky river, and running thence to Fort Recovery, and thence north until it shall intersect the territorial line between the United States and Canada.” See Act of 7 May 1800, Statutes at Large: p. 58. For maps illustrating the evolution of the territory’s size following the 1800 division, 1803 Ohio admission to statehood, 1805 division of Michigan Territory, and 1809 division of Illinois Territory, see Barnhart and Riker, Indiana to 1816, pp. 319, 353. For a map of Indiana land cessions between 1803 and 1809, see Ibid. p. 377. 367 The Act provided for the temporary stages of territorial government “in all respects similar to that provided by the ordinance of Congress, passed on the thirteenth day of July one thousand seven hundred and eighty-seven.” Moreover, the “officers for the said territory . . . shall respectively exercise the same powers [and] perform the same duties” as those outlined under the Northwest Ordinance. As for the territory’s inhabitants, they were to “be entitled to, and enjoy all and singular the rights, privileges and advantages granted and secured to the people” by the Northwest Ordinance; also see Barnhart and Riker, Indiana to 1816, p. 312.     114 in force upon a principle similar to that in the law of nations.”368 Thus, the laws then in force in the Indiana Territory consisted of the Quebec Act of 1774 and subsequent Canadian legislation, the common law of England and British statutes to 1607, laws adopted from the several states under the Maxwell Code, and the laws of the Northwest Territory’s legislative assembly before 1800.369 Yet these laws existed merely as a tentative expression of authority; their continuing validity and force would depend on the extent to which Indiana inhabitants recognized and adhered to them in the search for a homegrown jurisprudence. During the first stage of Indiana territorial government, Governor William Henry Harrison and his judicial colleagues exercised full executive and legislative authority. Careful to avoid the reputation of arbitrary rule that made Governor Arthur St. Clair so unpopular, Harrison acknowledged the criticism of his opponents, encouraged the diffusion of public opinion, and made every effort for a smooth transition in territorial government.370 During this period, land acquisition, slavery, and the administration of Indian affairs demanded most of the Governor’s attention. The latter of these issues would become particularly challenging in perfecting settler sovereignty over the region. Governor Harrison’s executive powers expanded dramatically following U.S. acquisition of the vast Louisiana Territory in 1803. By Act of 26 March 1804, Congress vested authority in the Governor and judges of the Indiana Territory to “establish . . .                                                              368 Daniel Wait Howe, “Laws and Courts of Northwest and Indiana Territories,” in Indiana Historical Society Publications, Vol. 2, No. 1, Indianapolis: Bowen-Merrill Co., 1886, p. 15. Moreover, as Francis Philbrick states, “[d]ivision caused no break in the administration of justice or other machinery of government—as was true likewise when the Indiana Territory was later divided, and true of the other territories for which the Ordinance was the basic law. The code of the older territory persisted as the law of the newer.” See Philbrick, Laws, pp. civ-cvi for a fuller discussion. 369 See Arthur Belitz and Lyman Nash, eds., “Common and Statute Law in the Northwest Territories,” in Wisconsin Annotations, Madison, Wisc.: State of Wisconsin, 1914, p. 1823. 370 See Barnhart and Riker, Indiana to 1816, p. 323.     115 inferior courts, and prescribe their jurisdiction and duties, and to make all laws which they may deem conducive to the good government of the inhabitants [of the District of Louisiana].”371 Although Congress intended for the Act to serve as a temporary administrative measure, the opportunity demonstrated for the first time the extent to which Indiana government acknowledged the legal pluralisms and diverse jurisdictions of the expanding Republic. For example, when Harrison planned to enact a complete code for the District in 1804, Secretary of State James Madison reminded him of the congressional statutory provisions under which the former Spanish and French laws continued in force “until altered, modified, or repealed by the Governor and judges of the Indiana Territory.”372 Harrison’s new authority also meant greater responsibility in the administration of Indian affairs. Maintaining peaceful relations with the powerful western tribes— including the Osage, Chickasaw, and Sauk and Foxes—proved especially challenging, as many of them viewed the U.S. as anxious to secure their lands. In October of 1804, Harrison travelled to St. Louis to organize the basic framework of civil government for the Louisiana District. During his stay, military affairs and treaty negotiations occupied much of his time. Relations with the Sauk and Foxes had recently deteriorated as a small hunting band had murdered four Americans trespassing on tribal lands that summer.                                                              371 Act of 26 March 1804, 8th Cong., 1st sess. ch. 38, Statutes at Large, p. 287. 372 Philbrick, Laws, p. cv, n. 1 quoting letter of Madison to Harrison, dated 14 June 1804 in Logan Esarey, ed., Messages and Letters of William Henry Harrison: Vol. 1: 1800-1811, Indianapolis: Indiana Historical Commission, 1922, p. 96. The Indiana Territorial Government passed a code of laws in October of 1804, which outlined criminal jurisdiction, established a system of courts, created a militia, and regulated slavery. While there is no indication that Harrison and his colleagues repealed any laws of the District, the 1804 Code introduced the jury trial in all criminal cases as well as civil cases with the consent of both parties; and justices were “empowered to grant . . . replevins, writs or partition, [and] writs of view.” References to the “common law” were general in nature, without mention of England, and the Code provided for arbitration in small claims courts; see Laws for the Government of the District of Louisiana, Vincennes, Indiana Territory: Printed for E. Stout, 1804, pp. 25, 94, 96.     116 Attempting to diffuse the situation, a delegation of Sauk chiefs led by Quashquame travelled to St. Louis to condemn the murders and compensate for the losses.373 The “principal” offender, Major James Bruff wrote, “voluntarily surrendered himself [as] a peace offering for his nation.”374 In response, the Governor “offered to pardon the other murderers” if they testified at trial “agnst the one that . . . gave himself up.”375 Two of Harrison’s colleagues, Indiana Territorial Judge John Griffin and District Commandant Amos Stoddard, objected to this proposal, arguing that, as non-Christians, the Indians could not “be admitted as witnesses.” More importantly, they believed, “none of this party can be condemn’d” under U.S. jurisdiction on the grounds that “the crime was committed while the Spanish laws were in force.”376 Governor Harrison met with Sauk and Fox chiefs on 3 November. In exchange for future protection against warring tribes, settler encroachments, and private retaliations, the chiefs agreed to cede nearly eighty thousand square miles of land along the upper Mississippi.377 Although cognizant of the Spanish law that applied in the District, as Griffin and Stoddard had noted with respect to criminal jurisdiction over the murders, Harrison and his colleagues were either unaware or ignored the extensive legal framework of Indian rights and protections in place prior to U.S. territorial acquisition. A compilation of ordinances, decrees, and regulations first published by the Spanish Crown in 1680, the Recopilación de Leyes de los Reynos de las Indias acknowledged Indian                                                              373 See Robert M. Owens, Mr. Jefferson’s Hammer: William Henry Harrison and the Origins of American Indian Policy, Norman: University of Oklahoma Press, 2007, pp. 85-87. 374 Letter of James Bruff to James Wilkinson, dated 5 November 1804, in Carter, Territorial Papers, Vol. 13: The Territory of Louisiana-Missouri, 1803-1806, 1948, p. 76. 375 Ibid. p. 77. 376 Ibid. 377 “Treaty with the Sauk and Foxes,” dated 3 November 1804, in Kappler, Indian Affairs, Vol. 2, pp. 74- 77.     117 jurisdiction and rights to self-government.378 Specific provisions under the law expressly recognized Indian title and strictly regulated the sale and transfer of Indian property. Neither Sauk and Fox protocols, which would have been binding on such transactions, nor provisions under the Recopilación had been met at the signing of the treaty on 3 November 1804.379 Having been charged only with reconciling the murders and lacking the authority to cede tribal lands, Quashquame may have believed the treaty was a symbolic conveyance of ownership, a common practice under the Spanish colonial government.380 Realizing their loss, Sauk and Fox chiefs sought further compensation from the U.S. at a council meeting in 1805, but to no avail. Although popular among                                                              378 Donald Juneau, “The Light of Dead Stars,” American Indian Law Review, Vol. 11, No. 1 (1983): pp. 13- 19. 379 Book VI, Title 1.27 of the Recopilación provided, in part: When the Indians sell their property, immovable and personal movable, according to what is permitted by them, it shall be proclaimed by public outcry and sold at public auction, in the presence of a judicial officer—the immovable property for a period of thirty days, and movable property for nine days; and whatever shall be sold in any other way shall be of no validity or effect; . . . And since the property which the Indians sell is ordinarily of small value and if in all such sales it was necessary to follow these formalities it would involve as much expense as the principal amounts to, we order that this law be observed and enforced, in regard to whatever exceeds thirty pesos of usual gold. As quoted in Juneau, “Light of Dead Stars,” pp. 15-16. As historian Robert Owens observes, “[t]here had been no official invitation to treat, no subsequent announcement to the nation as a whole, no tribal council to discuss the proposed cession, no ratification with wampum, and no opportunity for the women of the tribe to caucus and express their views.” Moreover, the U.S. purchased the land ceded for $2,234.50 (with annuities of $1000), a grossly undervalued sum, but far exceeding that of thirty pesos; see Owens, Jefferson’s Hammer, pp. 88, 90. The treaty contained an appended article, under which the parties “agreed that nothing . . . shall affect the claim of any individual or individuals who may have obtained grants of land from the Spanish government, and which are not included within the general boundary line laid down in this treaty, provided that such grant have at any time been made known to the said tribes and recognized by them.” See Kappler, Indian Affairs, Vol. 2, p. 77. 380 Although the treaty made no mention of compensation for the murders, Robert Owen’s suggests that the parties agreed to an oral contract as American officials subsequently pardoned the Indian who had surrendered himself. Unfortunately, however, news of the pardon came too late to the prisoner, who was shot and killed while attempting to escape; see Ibid. pp. 89, 91. For late eighteenth- and early nineteenth- century Spanish colonial practices that protected the territorial integrity of the Indians’ landholdings in exchange for Native recognition of Crown sovereignty, see Charles R. Cutter, The Protector de Indios in Colonial New Mexico, 1659-1821, Albuquerque: University of New Mexico Press, 1986, pp. 44-45, 58-59, 101.     118 settlers in the region, the treaty became a major source of discontent for the Sauk, leading the Tribe to side with the British during the War of 1812.381 On 5 December 1804, Indiana passed to its second phase of territorial government. During its first legislative session, which commenced on 29 July 1805, the General Assembly resolved to “reduce into one code” all laws then in force. Change came slowly. After nearly two years of “several alterations, additions, and amendments,” legislative efforts culminated in the Revised Code of 1807. There is no indication, however, that this measure expressly abrogated the laws in force prior to the organization of the Indiana Territory, as Harrison and his judicial colleagues lacked such authority.382 The Revised Code also included “An Act declaring what laws shall be in force,” which reenacted the 1795 common law reception statute, albeit with minor variations: The Common Law of England, all statutes or acts of the British Parliament, made in aid of the Common Law, prior to the fourth year of the reign of King James the first . . . and which are of a general nature, not local to that kingdom and also the several laws in force in this territory, shall be the rule of decision, and shall be considered, as of full force, until repealed by legislative authority.383 This measure, as with the Northwest Territorial statute, reflected a continuing search for constructive, model authority suitable to the conditions of a fledgling western                                                              381 Lamenting the outcome of the treaty several years later, Sauk Chief Black Hawk remarked, “we were sorry to lose our Spanish father, who had always treated us with great friendship.” Quoted at Ibid. p. 89. 382 Francis Philbrick, on the other hand, states that “[a]ll other laws theretofore . . . were repealed, and the ‘revisal’ was declared to be of exclusive authority.” See Philbrick, Laws, p. cxii. However, the only related statutory power Congress vested in the territorial government was a 1792 Act authorizing the governor and judges to “repeal their laws by them made.” See Blume, “Legislation,” p. 333. There is no indication Congress repealed this Act during Indiana’s territorial period. Nevertheless, in an 1839 Indiana Supreme Court decision, Judge Isaac Blackford held that the Revised Code of 1807 “expressly repeal[ed] all laws not contained in itself” and that all provisions under the Ordinance of 1787 “ceased to be law after the passage of that code.” See Stevenson v. Cloud, 5 Blackf. 92 (1839). In contrast, see Reynolds v. Swain, in which the Louisiana Supreme Court ruled the same year that “[t]he repeal spoken of in the [1825 Civil] code, and the act of 1828, cannot extend beyond the laws which the legislature itself had enacted; for it is this alone which it may repeal.” See Reynolds v. Swain, 13 La. 193 (1839). 383 Act of 17 Sept. 1807, in Philbrick, Laws, p. 323. The Act explicitly excluded three English statutes dealing with usury (interest rates) and recovery of costs in certain causes of action.     119 jurisprudence. During this period, a flexible system of lawmaking evolved where popular forms of community justice persisted absent the wholesale adoption of the English common law. Several measures illustrate the extent to which the Indiana Territorial government recognized these principles in practice. Justice of the peace courts continued to sustain the informal, community-based process of lawmaking. As early as 1801, an Indiana Territorial law “establishing courts of judicature,” provided that “[t]here shall be a competent number of justices in every county, nominated and authorised by the governor . . . [who] shall and may hold the said general sessions of the peace according to law.”384 Appointed justices were local inhabitants, often untrained in the formal law, with the power to declare summary judgment in cases other than capital crimes. Because of their intimate knowledge of the local populace, justices often conducted proceedings and rendered their decisions based on community norms and standards rather than adhere strictly to the forms, pleadings, writs, or complex procedural rules of the English common law. Yet the jurisdictional authority of these courts over local affairs appears to have been limited. In 1804, residents of the Indiana Territory petitioned Congress for expanded powers of the justice of the peace courts as a means to redress the often-inaccessible territorial courts.385 In addition to the authority of local courts, the historical-legal record reveals the vitality of arbitration tribunals and procedures. Under the Northwest Territorial government, a 1799 law provided for arbitration in certain causes.386 In 1807, the Indiana Territory passed an “act authorising and regulating arbitrations,” by which the parties                                                              384 Act of 23 January 1801, in Philbrick, Laws, p. 8. 385 See Cole, “Law and Community,” pp. 213, n. 175, 214. 386 See Act of 15 November 1799 and Act of 2 December 1799, in Pease, “The Laws of the Northwest Territory, 1788-1800,” pp. 354-356, 393.     120 were free to “agree to submit [their] controversy . . . to the umpirage . . . of any person or persons, to be by them, mutually chosen for that purpose.”387 Francis Philbrick refers to several examples of arbitration in practice during the territorial period, including an 1808 case from the Randolph County Court of Common Pleas.388 However, while providing an alternative means of dispute resolution, the Act, by introducing highly technical rules of procedure, made the process less of a community-based legal remedy. For example, “[t]he award or final determination of the umpire or arbitrators [was to be] drawn up in writing” and “if either of the parties . . . refuse[d] or neglect[ed] to obey,” the opposing party could appeal to the court of record. Moreover, the Act gave the courts a central role in the arbitration process. Specifically, judges were “to compel the attendance of witnesses,” and “the award or report of such referees” was to be “approved of by the court, and entered upon the record or roll.”389 The publication of laws in languages other than English provided the territory’s ethnically diverse communities greater access to the legal process. During the first stage of Northwest Territorial government, little was done to make the laws known to the general populace. “Even the magistrates who are to carry them into execution are strangers to them,” complained Governor St. Clair in 1791.390 Because the laws “are in                                                              387 Act of 17 September 1807, in Philbrick, Laws, p. 349. The arbitrator’s judgment was to “have the same effect, and be deemed and taken to be as available in law, as a verdict given by twelve men.” 388 Philbrick argues, however, that while “[a]rbitration was very characteristic of procedure under the French law . . . [t]here is nothing whatever to indicate that the territorial statutes were a concession to French tradition[,]” but rather “were associated with the contemporary prejudice against lawyers.” See Philbrick, Laws, pp. clxxxv-clxxxvi, n. 4. 389 See Pease, “Laws of the Northwest Territory,” pp. 350-351; also see generally, Bruce H. Mann, “The Formalization of Informal Law: Arbitration before the American Revolution,” New York University Law Review, Vol. 59, No. 3 (June, 1984): pp. 443-481. 390 Report of Governor St. Clair to the Secretary of State, dated 18 February 1791, in United States, Congress, American State Papers: Documents, Legislative and Executive, of the Congress of the United States, Vol. 1: Public Lands, Washington: Gales and Seaton, 1832, p. 20. Also see Philbrick, Laws, p. cxiii.     121 English, and the greatest part of the inhabitants do not understand a word of it; the translation of them . . . seems to be necessary, and that a sufficient number of them should be printed in both [French and English] languages.”391 During the Indiana territorial period, the historical record fails to reveal any provisions for the publication of French laws.392 In 1805, several French inhabitants of Wayne County petitioned Congress for assistance in securing land titles they had acquired under the French and British governments. “[B]eing wholly unacquainted with the English language,” the memorialists complained, a majority found “it difficult to transact their business in the land office, for want of knowledge of the law, &c.”393 As a proposed remedy, the French solicited Congress to “make provision for the appointment of a suitable person . . . to translate as well as interpret . . . all transactions, wherein they may be concerned on settlement of titles of land.”394 Congress failed to act.                                                              391 In 1792, one of the St. Clair County courts “[o]rdered that Mr. [John Rice] Jones do translate the laws of the territory into French, for the use of the Judges, who do not understand English, and that he lodge the same with the clerk of this district.” See Newton Bateman and Paul Selby, eds., Historical Encyclopedia of Illinois and History of St. Clair County, Vol. 2, Chicago: Munsell Publishing Co., 1907, p. 699. Also see Philbrick, Laws, p. xvii, n. 3. John Rice Jones was a well-known jurist throughout the Northwest and Indiana Territories. He was the principal architect for the Indiana Territory’s Revised Code of 1807. Fluent in French, Jones was instrumental in translating many of the territorial laws; for a biographical sketch, see Philbrick, Laws, pp. ccxxxviii-ccxlii, n. 10. 392 Ibid. p. cxiv. There may have been attempts to reconcile this linguistic gap in the published laws. A resolution of 26 October 1808 appointed John Rice Jones to a committee “to contract with such person . . . for printing, either here, or in Louisiana, or Kentucky, four hundred copies of the laws of the present session of the Legislature.” See Resolution in Ibid. pp. 672-673. The Resolution provided no express funding for the translation of the laws; however, the option of printing in Louisiana and the appointment of Jones suggest the possibility of publishing the laws in French. 393 Wayne County (Indiana Territory), and U.S. Congress, Translation of a Memorial in the French Language, of Sundry Citizens of the County of Wayne, in the Indiana Territory: 17th of January 1805: Referred to the Committee Appointed the 7th Instant to "Enquire Whether Any, and If Any, What Alterations Are Necessary to Be Made in the Laws, for the Disposal of he Public Lands, North West of the Ohio," Washington City: Printed by William Duane & Son, 1805, p. 9. Less than a week prior, Congress divided a portion of the Indiana Territory and Wayne County became part of the newly created Michigan Territory; see Act of 11 January 1805, 8th Cong., 2nd sess. ch. 5, Statutes at Large: pp. 309-310. 394 Ibid. Delegates to the 1850 Indiana Constitutional Convention debated provisions giving the legislature the option to publish laws in both French and German “for the benefit of those who cannot read English.” Convention delegates approved the provision and referred it to the Committee on Revision, Arrangement, and Phraseology for further consideration. The Committee did not, however, include such a proviso in the state’s new constitution; see Donald F. Carmony, Indiana, 1816-1850: The Pioneer Era, Indianapolis:     122 However, the common law jury system helped sustain a model of legal pluralism.395 In particular, the use of mixed juries in both civil and criminal trials allowed courts to resolve disputes where diverse norms and customs conflicted. The question of jury composition, however, proved to be a vexing issue. References to the jury de medietate linguae (literally “of the half tongue”) appear throughout the historical legal record. English courts, dating as far back as the mid-fourteenth century, used special juries for trials of aliens, clerics, or other foreign parties whose native language was not English.396 As a North American colonial transplant, the British courts adopted the mixed jury system and the states eventually integrated the practice into their common law traditions.397 In New England, early colonial courts occasionally used mixed juries                                                                                                                                                                                   Indiana Historical Bureau & Indiana Historical Society, 1998, pp. 416, 780, n. 37. In 1853, Indiana published its state laws in German; see Indiana, Die Revidirten Gesetze des Staats Indiana: Erlassen in Der Sechsunddreissigsten Sitzung der General-Versammlung, 2 vols., Indianapolis: Volfsblattes, 1853. 395 Although Northwest and Indiana Territorial statutes contained clauses concerning jury service and composition, very few outlined specific criteria that determined who could or could not serve. Property ownership appeared as the most common prerequisite. For example, during the Northwest Territorial period, at least one statute required that jurors possess “freehold lands or tenements.” See Act of 14 July 1795, in Pease, “Laws of the Northwest Territory,” p. 247. This law appears to have continued in force after 1800 as the Indiana Territorial government made no express act for its repeal. There are occasional references in subsequent statutes by which the court was to “summon and empanel . . . freeholders” for jury service; see, for example, Act of 19 December 1811, in Louis B. Ewbank and Dorothy Lois Riker, eds., The Laws of Indiana Territory, 1809-1816, Indiana Historical Collections, v. 20. Indianapolis: Indiana Historical Bureau, 1934, p. 271. 396 James C. Oldham, “The Origins of the Special Jury,” University of Chicago Law Review, Vol. 50, No. 1 (Winter, 1983): p. 167. For an extended treatment of the special jury, also see Marianne Constable, The Law of the Other: The Mixed Jury and Changing Conceptions of Citizenship, Law, and Knowledge, Chicago: University of Chicago Press, 1994. 397 Following American independence, the trial de medietate linguae survived in several states despite the fact that delegates to the Constitutional Convention rejected its incorporation as fundamental law; see Deborah A. Ramirez, “The Mixed Jury and the Ancient Custom of Trial by Jury de Medietate Linguae: A History and a Proposal for Change,” Boston University Law Review, Vol. 74, No. 5 (Nov., 1994): pp. 790, 791; and Charles M. Wiltse, “Thomas Jefferson on the Law of Nations,” American Journal of International Law, Vol. 29, No. 1 (Jan., 1935): p. 72, n. 22. Reflecting contemporary debates, Thomas Jefferson wrote to James Madison on 31 July 1788, suggesting that “[i]n disputes between a foreigner and natives, a trial by jury may be improper.” However, “if this exception cannot be agreed to, the remedy will be to model the jury, by giving the mediates lingua, in civil as well as criminal cases.” See Ramirez, “Mixed Jury,” p. 791. Ramirez also provides a brief survey of late eighteenth-century and early nineteenth-century mixed jury statutes in the North American colonies and states; see Ibid. p. 790, n. 85.     123 in cases involving distinct ethnicities, including American Indians, demonstrating the extent to which the institution adapted to settler experiences in the New World.398 Use of the mixed jury in the western territories generates interest not only because of its North American continental migration but also because of the ways in which “native” settler jurists applied it to cases involving “aliens” or “foreigners.” An 1805 Michigan Territorial statute provided that the courts could utilize juries “de medietate linguae.” However, like many jurisdictions, the law failed to specify what qualifications these special jurors were to possess.399 In the Indiana Territory, there appears to have been no specific legal provisions for the jury de medietate linguae.400 Occasionally, however, parties specifically requested that the special jury be used in their cases. In September of 1804, Robert                                                              398 Ramirez argues that while “the mixed jury may have been employed in the colonies as a way of ensuring substantive fairness,” it was more likely “used to enhance the legitimacy of the verdict [which was] important to the colonists as the natives’ perceptions of unfairness may have triggered bloody unrest or, at least, social tension.” See Ramirez, “Mixed Jury,” p. 791. For an account of a mixed Indian-Anglo jury in the seventeenth-century Plymouth colony, see “Notes on the Indian Wars of New England,” New England Historical and Genealogical Register, Vol. 15 (1861): pp. 149-150. 399 See Blume, “Criminal Procedure,” pp. 237-238. In the 1821 murder trial of Ketaukah, the Michigan Territorial court overruled his motion for a jury de medietate linguae. Blume includes excerpts of a local newspaper report in which U.S. Attorney Solomon Sibley is quoted as arguing the following: Juries de med. Lin. Are given by the statute of Ed.—they were unknown at common law. There would be many difficulties if six Indians were on the jury—the residue of the jurors never could find out when they had agreed on a verdict it would be necessary to have an interpreter in the jury room. Again an Indian cannot be sworn, as he has no ideas of future rewards and punishments. On this and other accounts, they are not competent jurors. In turn, Judge Woodward agreed, in part, with Sibley’s opinion: Admitting for argument, that at common law an alien is entitled to a jury of that kind, yet the prisoner is not, for he is not an alien. He and his country are at least under the protection of the U.S.—it therefore cannot be allowed him. To permit an interpreter to be with the jury in their deliberations would vitiate the verdict—it is therefore inadmissible. I think however that an Indian may be sworn—instances Hindoos, &c. 400 However, for several years following the transition to statehood, Indiana laws provided that “[i]n all actions, that may be tried in any court of record, each party shall have the right of peremptory challenge to three jurors, and juries de medietate linguae, may be empannelled whenever necessary [italics added].” See Revised Laws of Indiana (1824), p. 297 and Revised Laws of Indiana (1831), p. 408. In 1837, the Supreme Court of Indiana ruled that the statute “must be considered as embracing criminal prosecutions as well as civil cases.” See Wiley v. The State, 4 Blackf. 458 (1837).     124 Slaughter stood trial before a jury “composed of five Frenchmen and five Americans.”401 On 6 June 1816, Pierre Andre appeared before the Knox County Court of Common Pleas as a defendant in a case of slander. “[U]pon motion . . . by his attorney for a French jury, [the Court] ordered that a Jury de Meda Tata Lingera [sic] be summoned in this cause to which opinion the Plaintiff[s] . . . tendered their Bill of Exceptions.”402 Aside from jury composition, a territorial act provided for interpreters to be sworn in court “when necessary.”403 Rules of evidence and testimony, however, restricted non-European litigants from enjoying the full benefits extended under this law.404 The extent to which court interpreters provided their services is difficult to measure without an exhaustive analysis of the court record. In a selective survey of county court records, Francis Philbrick identifies only three French names among sixty-two in eleven lists from the Randolph County Court of Common Pleas and fifteen among thirty-one in three lists from St. Clair County.405 In contrast to the preceding examples, which related predominantly to the French, the Indiana Territorial government struggled to effectively address the cross-jurisdictional                                                              401 In this case, it appears that Slaughter objected to the half-French jury as his counsel argued that “the people of the county of Knox [were] prejudicial against the prisoner, and that an impartial jury could not be obtained.” See “Slaughter’s Trial—Continued,” Indiana Gazette (Vincennes, Ind.) Tuesday, 23 October 1804; Issue 13; col. B. 402 Indiana, Minutes of the Knox County Court of Common Pleas, 1811-1817, Vol. A, Pt. C, Indianapolis, Ind.: Indiana Historical Records Survey, 1940, pp. 403-404. The court records lists the names of seven jurors, only one of which appears to be French: Ephraim Jordan, William Adams, Sam Parr, Henry Merrick, James McClure, Robt Mc Dowal, Joseph Oneille. 403 Act of 20 September 1803, in Philbrick, Laws, p. 39. In the Slaughter case, “Mr. Badollet . . . was sworn to interpret faithfully.” 404 Act of 20 September 1803, in Philbrick, Laws, p. 40. The statute also stipulated that “no negro, mulatto or Indian shall be a witness except in the pleas of the United States against negroes, mulattoes or Indians, or in civil pleas where negroes, mulattoes or Indians alone shall be parties.” In 1824, Indiana law maintained these provisions, adding that “[e]very person other than a negro, having one fourth part or more of negro blood, or any of whose grandfathers or grandmothers shall have been a negro, shall be deemed a mulatto.” See Indiana, Revised Laws of Indiana, 8th sess., 1824, p. 296. 405 Philbrick, Laws, p. cxci, n. 6.     125 complexities involving tribal lands and the persistent Indian-settler conflicts that plagued the frontier. A fundamental problem with resolving these disputes was the conflict of interest presented by Harrison’s roles as both territorial Governor and superintendent of Indian affairs.406 Between 1803 and 1809, Harrison successfully negotiated a series of treaties with the western tribes, extinguishing Indian title to major portions of land in the territory and expanding the boundaries of the settler polity.407 Having consolidated settler jurisdiction, the governor signed legislation that attempted to influence the character and extent of intercourse with the Indian tribes. These measures regulated trade, restricted the sale of “ardent spirits or spirituous liquors,” and prohibited settlers from aiding “any chief, sachem or warrior of any Indian nation or tribe . . . in relation to any negociations [sic] or treaties, disputes or controversies with the United States or this territory.”408 In short, the importance Harrison placed on Indian law and policy reflected less of a concern with securing tribal sovereignty than with achieving “[t]he progress of a Country from a state of nature to that of Civilization and improvement.”409                                                              406 Among other administrative provisions, the Act of 7 May 1800 prescribed that “the duties and emoluments of superintendent of Indian affairs shall be united with those of governor.” Prior to this Act, the Ordinance of 7 August 1786 had established a northern and southern district with respective superintendents—similar to the British Indian Department—for the administration of Indian affairs; see Prucha, American Indian Policy, pp. 36, 52. 407 Barnhart and Riker, Indiana to 1816, p. 340; also see Cayton, Frontier Indiana, pp. 210-220. 408 See Ewbank and Riker, Laws, p. 23 and corresponding statutes referenced in n. 4. The Indiana Territorial government appears to have wavered in its position on the issue of Indian trade. In 1803, William Henry Harrison and the territorial judges petitioned Congress “for leave to impose a reasonable tax . . . on all persons trading with the Indian tribes within this Territory.” The congressional house committee conceded by replying “[t]hat as laws exist in some of the States laying a Tax on Merchants generally the Governor and Judges of Indiana, are authorized to adopt this provision . . . within their Territory . . . and consequently that there is no need of the interposition of Congress to effect the object of the Petition” [emphasis added]. In 1805, however, Governor Harrison vetoed “an Act Laying a tax on Indian Traders.” His “objections to the Bill” stemmed from “the very principle upon which it [was] founded” in that the “Constitution of the United States gives to Congress the exclusive right of regulating Trade with the Indian Tribes.” See Veto Message of the Governor, 22 August 1805 in Gayle Thornbrough and Dorothy Riker, eds., Journals of the General Assembly of Indiana Territory, 1805-1815, Indianapolis: Indiana Historical Bureau, 1950, pp. 97-98 and corresponding notes. 409 Message of the Governor, 4 November 1806, in Ibid. p.110.     126 Still, the governor emphasized “the preservation of peace and friendship with our Indian neighbors.” Expressing concerns similar to those of Sir William Johnson a generation earlier, Harrison corroborated Indian “complaints [of injustice and oppression as] far from being groundless.”410 Indeed, assuring protection to the Indians under the law was a problem equal to, if not greater than, what it had been under Johnson’s tenure as superintendent. “The laws of the Territory,” Harrison noted, “provide . . . the same punishment for offences committed against Indians as against white men.” “Experience,” however, “shews [sic] that there is a wide difference in the execution of those laws.”411 Calling for greater impartiality, Harrison called upon the General Assembly “to loose [sic] no opportunity of inculcating amongst your constituents an abhorrence of that unchristian and detestable doctrine which would make a distinction of guilt between the murder of a White man and an Indian.”412 In his 1807 message to the General Assembly, Harrison expressed his indignation with the deteriorating state of Indian affairs. His benevolent paternalism, however, was all the more explicit: A powerful nation, rendering justice to a petty tribe of savages, is a sublime spectacle, worthy of a great republic; and of a people who have shewn themselves as valiant in war, as in peace moderate and forbearing. I do not know gentlemen, whether it will be in your power, to remedy the evil complained of, as the defects seems to be not so much in the laws, as in the execution. But if any means can be adopted which would insure the execution of justice in any cases in which the Indians are concerned; the measure would reflect honor on yourselves, and be of undoubted advantage to your country.413                                                              410 Ibid. p. 112. 411 Ibid. p. 113. 412 Ibid. The authors note a letter to President Jefferson in which Gov. Harrison expressed the necessity of ensuring “to the Indians that protection which the laws promise indiscriminately to all persons of whatever color, nation, or religion.” See Ibid. n. 6. 413 Message of the Governor, 18 August 1807, in Ibid. p. 132.     127 Nevertheless, in light of these concerns, Harrison assumed the authority of territorial laws over those of Congress in regulating Indian affairs: Although the management of Indian affairs, in relation to their character as an independent people, and to the trade with them in their own country, is entirely and exclusively under the controul of the United States, it has been determined that the regulations for the government of the latter are of no force in our settlements. . . . Should you think proper to pass a law either prohibiting the trade of Indians within out settlements altogether, or confining it to the frontiers . . . I am persuaded your constituents would receive from it much benefit.414 In the same message, Harrison’s underlying intentions for securing peace with the Indian tribes surfaced, highlighting the conflict between his duties as governor and as superintendent of Indian affairs: Although much has been done toward the extinguishment of Indian title in the territory, much still remains to be done. We have not yet a sufficient space to form a tolerable state. The eastern settlements are separated from the western by a considerable extent of Indian lands, and the most fertile tracts that are within our territorial bounds, are still their property.415 The courts, in turn, also struggled with the jurisdictional complexities of American Indian law. While Indians were often subject to territorial laws for offenses committed outside of Indian Country (i.e., where Indian title had been extinguished by treaty), the courts often displayed comity toward tribal jurisdiction. Most cases dealt with the enforcement of territorial boundaries as specified under certain treaties and the                                                              414 Message of the Governor, 12 November 1810, in Ibid. p. 352. 415 Ibid. p. 354. Collusive intent between federal authorities becomes painfully evident in Jefferson’s “private and friendly” letter to William Henry Harrison a year earlier: [The] system is to live in perpetual peace with the Indians, to cultivate an affectionate attachment from them, by every thing just & liberal which we can [offer] them within the bounds of reason, and by giving them effectual protection against wrongs from our own people . . . To promote this disposition to exchange lands which they have to spare and we want for necessaries, which have to spare and they want, we shall push our trading houses, and be glad to see the good and influential individuals among them run in debt, because we observe that when these debts get beyond what the individuals can pay, they become willing to lop them off by a cession of lands . . . In this way our settlements will gradually circumscribe and approach the Indians, and they will in time either incorporate with us as citizens of the United States or remove beyond the Missisipi [sic]. See Letter of Jefferson to Harrison, dated 27 February 1803, in Esarey, Messages, Vol. 1, p. 71.     128 federal trade and intercourse acts. Under these measures, federal Indian policy restricted white settlement in Indian Country, proscribed the private purchase of Indian lands, regulated trade, prohibited the trafficking of liquor in Indian Country, and established judicial procedures and remedies for the punishment of inter-jurisdictional crimes.416 To avoid making private retaliation the rule of law along the frontier, the territorial courts (as well as the Indian tribes) attempted to enforce these provisions with at least some regularity.417 For example, in 1801, “Captain Allen,” an Indian chief, turned over to territorial authorities two Indians charged with murdering a settler.418 In October of 1816, the Knox County Court of Common Pleas issued two indictments against Samuel Rocus and Sam Moore, respectively, “for trading with Indians without license.”419 Despite reciprocal efforts to enforce jurisdictional boundaries, settlers frequently encroached on Indian Country. “Such instances,” Governor Harrison regretted, had “. . .                                                              416 Prucha, American Indian Policy, p. 2. For provisions regulating Indian-settler jurisdiction under the 1795 Treaty of Greenville, see supra, pp.105-106, n. 339. The Treaty of Fort Wayne, negotiated between William Henry Harrison and the Delaware, Pottawatomi, and Miami Tribes on 30 September 1809, included jurisdictional terms regulating inter-tribal disputes. Section 7 of the treaty provided that “when any theft or other depredation shall be committed by any individual or individuals of one of the tribes . . . upon the property of any individual or individuals of another tribe, the chiefs of the party injured shall make application to the agent of the United States . . . whose duty it shall be to hear the proofs and allegations on either side, and determine between them: and the amount of his award shall be immediately deducted from the annuity of the tribe to which the offending party belongs, and given to the person injured, or to the chief of his village for his use.” See “Treaty with the Delawares, etc., 1809” in Kappler, Indian Affairs, Vol. 2, p. 102. 417 The 1796 trade and intercourse act extended jurisdiction (excluding murder and other capital offenses) from the territorial superior and U.S. circuit courts to include the county courts of quarter sessions; see Act of 19 May 1796, 4th Cong., 1st sess., ch. 30, Statutes at Large: p. 473. An 1800 supplementary act expanded jurisdiction even further to include “justices of the inferior or county court of any county nearest to the place of [the accused’s] arrest.” See Act of 22 April 1800, 6th Cong., 1st sess., ch. 30, Statutes at Large: p. 40. 418 See Homer J. Webster, “William Henry Harrison’s Administration of Indiana Territory,” Indiana Historical Society Publications, Vol. 4, No. 3, Indianapolis: The Bobbs-Merrill Co., 1906, p. 232, n. 1. 419 Minutes of the Knox County Court of Common Pleas, 1811-1817, Vol. A, Pt. C, Indianapolis, Ind.: Indiana Historical Records Survey, 1940, pp. 431, 441. Indiana was admitted to the Union as a state on 11 December 1816. For two early nineteenth-century cases in which the Michigan Territorial Supreme Court acquitted Indians accused of murder by acknowledging tribal jurisdiction and customary law, see Blume, “Criminal Procedure,” pp. 216-218. It is important to note that not until 1817 would Congress enact legislation extending full criminal jurisdiction over Indian Country; see Act of 3 March 1817, 14th Cong., 2nd sess., ch. 92, Statutes at Large: p. 383 (provisions of which Congress incorporated into the 1834 trade and intercourse act; see Prucha, American Indian Policy, p. 193).     129 a great tendency to exasperate the Indians and prevent them from delivering up those who may commit offenses against our laws.”420 In 1804, the General Court at Knox County indicted Robert Slaughter for the 1798 murder of Joshua Harbin. In his defense at trial, Slaughter argued that the “Court ought not to take further cognizance of the said Indictment because . . . the felony and murder . . . was so committed out of the Jurisdiction of this Court at a place . . . about sixty miles westward of Vincennes and within the Indian Country not then ceded by the Indians to the United States.” The Court overruled Slaughter’s motion and the jury, “composed of five Frenchmen and five Americans,” found him guilty of the charges.421 Although the body of statutory law governing the western territories provided a general legal framework, custom continued to represent a fundamental source of legal authority. However, the process and extent to which lawmakers throughout the Old Northwest attempted to incorporate local customary laws into the fledgling body of western jurisprudence reveals considerable uncertainty over which were to be acknowledged as retaining normative force.                                                              420“Such was the case,” Harrision added, “with the Delaware tribe upon my demand of White Turkey, an Indian who had robbed a house. They said they would never deliver up another man until some of the white persons were punished who had murdered their people.” See Webster, “William Henry Harrison,” p. 233. 421 See Thornbrough and Riker, Journals, p. 59, n. 28. On 3 October 1804 Judge Thomas Terry Davis sentenced Slaughter to hang. Shortly after the decision, Davis wrote to President Jefferson that the territorial Judges were “divided in opinion” over the case. While Judge John Griffin apparently held the opinion that the “Courts here have no jurisdiction over the Offender,” it is unclear whether Judges Davis or Henry Vanderburgh, or both opposed Griffin’s view. Indiana Territory Attorney General Benjamin Parke argued that the crime “was within the limits of the United State and the proper & legal jurisdiction.” See Carter, Territorial Papers, Vol. 7: The Territory of Indiana, 1800-1810, pp. 219-220, n. 52. Provisions under the 1793 and subsequent trade and intercourse acts authorized the president and territorial governors to apprehend criminals in the Indian Country for repatriation and prosecution; see Act of 1 March 1793, 2nd Cong., 2nd sess., ch. 19, Statutes at Large: p. 331.     130 Many lawmakers recognized the importance of community custom, but expressed concern over the confusion arising from the variegated mass of traditional legal sources. For example, in an 1806 petition to the United States Senate, Michigan Territorial judge Augustus Woodward visualized the process of lawmaking as an adaptive and empirical process. “The judges being necessarily acquainted with American jurisprudence,” he wrote “are compelled also, by a constant action on the concerns of the people in the courts, to acquire a knowledge of their laws and customs.”422 However, his emphasis on “reducing” and “assimilating” the variety of customs and “foreign” sources of law “to one consistent and uniform system,” specified conformity rather than plurality.423 In 1810, Michigan Territorial lawmakers took steps to eradicate existing laws and customs by adopting a statute that repealed all “foreign” sources of law. In addition to renouncing the force of all English parliamentary acts and repealing earlier legislation of the Northwest and Indiana territories, the measure formally abrogated the extant French law: That the Coutume de Paris, or ancient French common law, existing in this country, the laws, acts, ordinances, arrests and decrees of the governors or other authorities of the province of Canada, and the province of Louisiana, under the ancient French Crown, and of the governors, parliaments, and other authorities of the province of Canada generally, and of the province of Upper Canada particularly, under the British Crown, are hereby formally annulled, and the same shall be of no force within the territory of Michigan.424                                                              422 As quoted in Cole, “Law and Community,” pp. 203-204. 423 Ibid. p. 204. 424 Act of 16 September 1810, entitled “An Act to repeal all acts of the Parliament of England, and of the Parliament of Great Britain, with the Territory of Michigan in the United States of America, and for other purposes,” in Michigan, Laws of the Territory of Michigan, Vol. 1, Lansing, Mich.: W.S. George & Co., 1871, pp. 900-903; also see Brown and Blume, British Statutes, pp. 168-170. The measure did not renounce the English common law. In their essay on Northwest Territorial laws, Arthur Belitz and Lyman Nash maintain that this Act “was not intended to repeal and did not repeal the common law established by the Ordinance of 1787 . . . nor did it repeal the common law inherited from and traced back through the laws of Indiana Territory, Northwest Territory and the Code of Virginia.” Nevertheless, while     131 Indiana, on the other hand, appears never to have expressly repealed its inherited law, either during the territorial period or following statehood. In the years immediately preceding the transition to state government, the Indiana Territory’s complex legal heritage left its lawmakers with a less than transparent vision for a homegrown corpus juris. At the same time, lawmakers could no longer rely on legislation alone. Territorial representatives had all too often realized the practical limitations in attempting to develop a local jurisprudence. Thus, on 18 October 1814, Indiana Territorial delegate Jonathan Jennings petitioned Congress, requesting “that the duties of the courts . . . may be more clearly defined.”425 “[T]he decisions of the superior court,” Jennings complained, otherwise intended “to settle in uniformity the principles of law and fact[,] . . . frequently are in a state of fluctuation.”426 Emphasizing the ambiguous provisions of the Northwest Ordinance, Jennings pleaded with Congress “to suggest the propriety of pointing out . . . what common law [it] refers to, whether the common law of England, or France, or of the Territory.”427 If that of England, Jennings considered it essential to define to what extent of that common law the judges shall take cognizance; whether the whole . . . of feudal and gothic customs of England; whether the customs, or unwritten law shall be taken with the statute law . . ; or whether the unwritten and statute law is to be taken in contradistinction to the laws, customs, and rules of chancery; or whether it includes that law which is common to all.428                                                                                                                                                                                   acknowledging the territorial government’s capacity to repeal their own laws, the authors question Michigan’s authority to annul those in place prior to territorial organization by terms of the Northwest Ordinance; see Belitz and Nash, “Common and Statute Law,” p. 1825. 425 U.S. Congress, House of Representatives, Judiciary of Indiana Territory, 13th Cong., 3rd sess., Annals of Congress (Oct. 1814): p. 400. 426 Ibid. 427 Ibid. p. 401. 428 Ibid. William Wirt Blume and Elizabeth Gaspar Brown argue that: The Indiana legislators had little or no reason to believe that the term ‘common law’ used in the Ordinance of 1787 referred to the common law of France. The laws and customs of Canada,     132 In partial response to Jennings’s petition, Congress passed an act setting forth the judicial calendar of the General Court, stipulating further that “it shall be composed of at least two of the judges appointed by the Government of the United States.”429 Yet having failed to solicit the proper jurisprudential guidance Jennings sought, the territory was left to decide what constituted the “common law.” As Indiana approached statehood, there was what can best be described as a tentative acceptance of English precedent. Overall, uncertainty prevailed. The 1807 reception statute was a qualified recognition of the English statutory and common law. Even if Indiana lawmakers had statutorily endorsed the “common law,” it was obvious (as Jennings’s petition to Congress illustrates) that not all of them thought of it in the same way. Until Indiana could establish a homegrown jurisprudence, English law served as model authority rather than binding precedent. Lawmaking, as an ongoing process of normative inquiry, was adaptive by necessity and tolerant of local custom regardless of the degree of uniformity sought.430 Practitioners emphasized a mixing of legal traditions, surveyed and borrowed freely from a variety of sources—whether legal or extra-legal, Anglo-American, European, or international in provenance—and applied those ideas                                                                                                                                                                                   including the Custom of Paris, previously in force in the area under the Quebec Act of 1774, had been recognized by the Ordinance, but only to the extent of ‘saving’ to the French and Canadian inhabitants of certain villages ‘their laws and customs now in force among them relative to the descent & conveyance of property.’ Reference to the legislative history of the Ordinance would have shown that the term ‘common law’ was used in contradistinction to ‘chancery’ and that both terms referred to jurisdiction of the kind exercised by the central English courts. ‘Common law’ without further specification was entirely too vague to serve as a guide for deciding cases. See Blume and Brown, “Unifying Factors in the Development of American Legal Institutions,” Michigan Law Review, Vol. 61, No. 1 (Nov., 1962): pp. 52-53. The problem with this argument lies in the inaccurate assumption that the Indiana Territory existed as a homogenous legal culture. By relying strictly on positive law enactments (e.g. the Ordinance of 1787)—which reflected little of the customary jurisprudence that still flourished in many local communities at the time—the authors failed to provide the appropriate historical context, which led Jennings to petition Congress for clarification. 429 Act of 24 February 1815, 13th Cong., 3rd sess., ch. 54, Statutes at Large: p. 213; also see Barnhart and Riker, Indiana to 1816, pp. 424-425. 430 Glenn, “Persuasive Authority,” pp. 268, 270.     133 considered most relevant in creating a unique corpus juris suitable to local circumstances.431 As opposed to displacing traditional community laws by express statutory abrogation, Indiana constructed gradually its own body of law for the new settler polity. Yet Indiana lawmakers became equally concerned with avoiding complexity and confusion. To instill a greater sense of uniformity and certainty, the new system of common law jurisprudence relied upon written sources of authority rather than oral tradition. By recording judicial opinions, publishing case law, and writing legal treatises, Indiana jurists envisioned a normative vernacular built upon an original body of legal precedent. Lawmakers took corresponding measures to accommodate this process of legal domestication. For example, an 1808 Indiana territorial act required the courts to file written decisions. Judges were to “make up and deliver the opinion of the court . . . in writing . . . upon all questions and points of law.”432 Two years later, the legislature                                                              431 An 1802 estate inventory of William Clarke, Chief Justice of the Indiana Territorial Court, included a diverse range of legal, historical, and religious titles in his private library. A few select titles are printed below. For a complete list, see Clarence E. Carter, “William Clarke, First Chief Justice of Indiana Territory,” Indiana Magazine of History, Vol. 34, No. 1 (March, 1938): pp. 9-13. Sir Edward Coke, Institutes of the Laws of England, or a commentarie upon Littleton (Parts One to Three), London, 1797. Jean Jacques Burlamaqui, The Principles of Natural Law, 2 vols., London, 1748-1752. Emerich Vattel, The Law of Nations, First American ed., New York, 1796 William Blackstone, Commentaries on the Laws of England, London (12th ed., 1793-1795, 4 vols.; 13th ed., 1800, 4 vols.). Matthew Bacon, A New Abridgement of the Law, London, 1778, 5 vols. Charles Montesquieu, The Complete Works of Monsieur de Montesquieu, London, 1777, 4 vols. George Sale, An Universal History, from the Earliest Account of Time. London, 1747, 20 vols. The American Museum; or, Repository of Ancient and Modern Fugitive Pieces, Prose and Poetical, Philadelphia: Printed by Matthew Carey, 1787-1792, 12 vols. Laws of Virginia, 10 vols. Laws of Kentucky, 8 vols. Large family bible. 432 Act of 25 October 1808, sec. 3 reads in full: That the first, or presiding Judge of the General Court, District Court, or court of Errors and Appeals of this territory, shall collect, and he is hereby enjoined to collect, make up and deliver the opinion of the court, seriatim, in writing, with the reasons thereof, upon all questions and points of law, which may be decided by them; which opinion shall be by the said Judge, delivered     134 passed “An Act to perpetuate testimony,” stipulating that depositions “read as evidence in any court of record” were to be certified and “lodged with the Clerk of the court.”433 As legal decision-making migrated from community based forums of dispute resolution to a centralized court system, territorial lawmakers committed an otherwise fluid, customary, and locally adaptive jurisprudence to a formal, binding system of law. However, uniformity of law also depended upon an effective campaign of legal acculturation. At the turn of the century, the small, self-sustaining communities of the region faced a deluge of settler laws and institutions that viewed alternative legal systems with disdain. The westward migration of Anglo-American legal culture—through law books, private property, rules of civil and criminal procedure, a system of writs and pleadings, and other practices—brought the English common law along the frontier into sharper focus, systematically dismantling much of Indiana’s plural legal order.434 “As waves of American settlers swept across the expansive territories,” Richard Cole observes, “their legal cultures washed up against, and usually overwhelmed, those of traditional communities.”435 For the French, the greatest obstacle in retaining their autonomy under the Northwest Ordinance was a decline in their legal institutions and political representation during the territorial period. During the early 1790s, the                                                                                                                                                                                   to the Clerk, and by him recorded at full length, upon the records of the said court; and should either of the said Judges differ in opinion, the dissenting Judge shall have the reasons of his dissent entered of record in said suit. See Philbrick, Laws, pp. cxcvi, 663. For an overview of late eighteenth/early nineteenth-century law reporting, see Warren, History of the American Bar, pp. 326-332. The most comprehensive treatment of American legal publishing is Erwin Surrency, A History of American Law Publishing, New York: Oceana Publications, 1990. 433 Act of 12 December 1810 in Ewbank and Riker, Laws, pp. 17, 127-128. 434 Greene, “Cultural Dimensions,” p. 18. For an overview of published legal materials available to the early Indiana bench and bar, see Michael H. Harris, “The Frontier Lawyer’s Library; Southern Indiana, 1800-1850, as a Test Case,” American Journal of Legal History, Vol. 16, No. 3 (July, 1972): pp. 239-251. For literature on English common law reception in the territories and states of the Old Northwest, see Brown and Blume, British Statutes, pp. 157-175. 435 Cole, “Law and Community,” p. 251.     135 French—in their capacity as judges and administrative officials—played a dominant role in county government. After 1800, however, their presence in public office diminished precipitously.436 Echoing Cole’s sentiments, Francis Philbrick’s musings on the French emphasize patterns of cultural contest and displacement: Their submergence beneath the flood of American immigrants is unintelligible apart from the incidents of early years. The story is essentially one of the clash of two noncoalescible cultures . . . The attitude of the two peoples toward religion, the Indians, law, and mode of life was sharply distinct.437 “Although the displacement of the French custom by Anglo-American law was general,” Philbrick adds, “it was of course somewhat gradual.”438 With few exceptions, the process of acculturation into settler society appears to have progressed with little disturbance in Indiana.439 Many of the French inhabitants, however, simply left, fearing loss of property or unable to secure title to their land claims. For those that stayed, slavery—which the                                                              436 This is most apparent in the French composition of county courts. In St. Clair County, between 1800 and 1809, the Court of the General Quarter Sessions, Common Pleas Court, and Orphans’ Court, consisted of 18 judges (most served on each court concurrently), 4 of whom were French. In the Justice of the Peace courts, only 4 French names appear among 20 and only 1 served after 1801. In Randolph County, between 1800 and 1809, the courts of the General Quarter Sessions, Common Pleas, and Probate, listed 15 judges, 3 of whom were French. In the Justice of the Peace courts, only 3 French names appear among 20 and only 1 served after 1801. See Philbrick, Laws, pp. ccxix, ccxxix-ccxxxiv. The following data on county court appointees (again, many of whom served concurrently in different courts) are based on approximate tabulations from the Indiana Territorial Executive Journal: In Knox County, Governor Harrison made 2 appointments to the Circuit Court in 1814 and 1815, none of which included French names; 26 appointments to the Court of General Quarter Sessions between 1800 and 1803, 4 of which included French names; 28 appointments to the Common Pleas Court between 1800 and 1813, 4 of which included French names; and 54 Justice of the Peace appointments between 1801 and 1816, none of which included French names. In Wayne County, Governor Harrison made 8 appointments to the Circuit Court in 1814 and 1815, none of which included French names; 10 appointments to the Court of General Quarter Sessions in 1803, 5 of which included French names; 5 appointments to the Common Pleas Court in 1803, 2 of which included French names; and 15 Justice of the Peace appointments between 1810 and 1816, none of which included French names; see general index in William Wesley Woollen, Daniel Wait Howe, and Jacob Piatt Dunn, eds., “Executive Journal of Indiana Territory, 1800-1816,” Indiana Historical Society Publications, Vol. 3, No. 3, Indianapolis: The Bowen-Merrill Co., 1900, pp., ix, xix. 437 Philbrick, Laws, pp. ccxii-ccxiii. 438 Ibid. p. ccxviii. 439 Occasionally, the state made a few legal accommodations; see, for example, the case of Lambert and Another v. Blackman (1 Blackf. 59, 1820), in which the Court recognized a promissory note executed in the French language.     136 French viewed as a customary right to property under provisions set forth under the Northwest Ordinance—would become the most contentious issue.440 Despite the overwhelming lack of scholarly attention, the French played a significant role in Indiana legal history. In contradiction to British and American claims of frontier lawlessness, the French managed to provide for themselves an effective and sustainable form of law and government. “[I]n every way,” notes Philbrick, “their record challenges a judgment that denies to the French element capacity for self-government.”441 In organizing their small communities, the French adopted the Coutume de Paris as a model code to govern matters of family law, property, and inheritance. Yet flexibility and choice of law remained necessary in adjusting to the unique circumstances of frontier life. The French adaptation to Indian laws and customs illustrates the cultural permeability of legal traditions, thus challenging the idea of incompatibility between two otherwise disparate peoples. The French legal tradition in the region also demonstrates the extent to which territorial and early state law evolved and adjusted as a mixed jurisdiction. During the transition to statehood, the formation of western jurisprudence signaled the ends, rather than the means, of its diverse “common law” heritage.442 By tracing the sources of Indiana law to their points of origin, the positivist idea of law as solely the product of the sovereign state collapses. Despite the rhetoric of the Declaration of Independence in 1776 and the façade of legal nationalism that spread with western expansion, the Quebec                                                              440 On French claims to slavery as a privilege protected under the Virginia Act of Cession and Northwest Ordinance, see State v. Laselle, 1 Blackf. 60 (1820). 441 Philbrick, Laws, p. ccxx. 442 Glenn, “Transnational Common Laws,” Fordham International Law Journal, Vol. 29, No. 3 (Feb., 2006): p. 461; also see Murphy, “Laws of Inheritance,” p. 250, discussing the “various streams of law” that shaped Indiana by 1816; for examples citing specific statutes, see Ibid. nn. 217, 218, and accompanying text.     137 Act’s spirit of multi-cultural continuity survived under the Northwest Ordinance, preserving certain provisions of the Coutume de Paris and principles of the Plan of 1764.443 Unlike the French, the Indians retained their distinct political status in Indiana. The federal government expressly recognized their sovereignty under the Northwest Ordinance and various treaties, thus formalizing a local and regional system of legal pluralism. The cultural terms and conditions of this political relationship, however, rested upon an attitude of imperial benevolence.444 President Thomas Jefferson sought a policy of mutual co-existence, albeit strictly on American terms. For him, labor, property, and law were the keys to acculturation. In December of 1808, Jefferson addressed the White River Delaware Tribe, attempting to instill in them the “habits” of progress and civilization: When once you have property, you will want laws and magistrates to protect your property and persons, and to punish those among you who commit crimes. You will find that our laws are good for this purpose. You will wish to live under them; you will unite yourselves with us, join in our great councils, and form one people with us, and we shall all be Americans.445 Although he recognized tribal sovereignty and capacity for self-government, Jefferson, like many of his contemporary legal philosophers, denied Indigenous normative systems                                                              443 On the French legal origins of the Northwest Ordinance, see Blume, “Probate and Administration,” pp. 210-212. On the “domestic” sources of law, section 5 of the Ordinance provided, in part, that “the governor and judges, or a majority of them, shall adopt and publish in the district such laws of the original States, criminal and civil, as may be necessary and best suited to the circumstances of the district [emphasis added].” Although no mention of the Quebec Act (or Custom of Paris) appears in the legislative record, the Continental Congress had expanded the Northwest Ordinance’s savings clause, which originally affected only “the inhabitants of Kaskaskia and Post Vincent,” to encompass all French and Canadian inhabitants throughout the region; see Barrett, Evolution of the Ordinance of 1787, p. 74. O 444 See generally, White, Middle Ground, pp. 471-476. 445 Jefferson to Delawares in Esarey, Messages, Vol. 1, p. 334; also see White, Middle Ground, pp. 473- 474.     138 the same legitimacy as those of Anglo-European tradition. His paternalism reflected the prevailing ethnocentric view that held Indians as a “lawless” people. Because of “the circumstance of their having never submitted to any laws, any coercive power, and shadow of government,” Jefferson noted, “[t]heir only controuls are their manners, and that moral sense of right and wrong, which . . . in every man makes a part of his nature.”446 Jefferson’s views on tribal acculturation did not necessarily suggest assimilation and political incorporation. During the early national period, the Indian presence in the region divided American officials over whether to “civilize” or segregate the Indian tribes.447 For many settlers, however, the importance of land in the Indiana Territory quickly superseded any interest in adopting Jefferson’s philosophy of mutual co- existence. Under the Northwest Ordinance, full settler sovereignty could only be achieved by extinguishing Indian title, a process which could not be accomplished without tribal consent. Faced with increasing settler demands for land, Indiana Territorial officials adjusted their legal strategies accordingly. Lacking full territorial sovereignty, Indiana lawmakers implemented a policy of personal and subject matter jurisdiction, aiming not only to regulate individual Indians but to facilitate further land cessions as well. On 15 December 1810, the legislature passed an act “regulating the trade with Indians within the part of the Territory to which the Indian title [had] been extinguished.” The measure                                                              446 Thomas Jefferson, Notes On the State of Virginia, ed. Frank Shuffelton, New York: Penguin Classics, 1999, p. 98. 447 See Rosen, American Indians, p. 14. For an overview of failed colonization plans for the Indians under organizing principles similar to those of the territorial system of government, see Robert F. Berkhofer, Jr., “Americans versus Indians: The Northwest Ordinance, Territory Making, and Native Americans,” Indiana Magazine of History, Vol. 84, No. 1 (March, 1988), especially at pp. 98-102, and Annie H. Abel, “Proposals for an Indian State, 1778-1878,” Annual Report of the American Historical Association for the Year 1907, Vol. 1, Washington: Government Printing Office, 1908, pp. 87-104.     139 entailed a host of stipulations governing Indian-settler relations. “[W]hereas . . . negociations between the United States and the Indian tribes are much interrupted by the interference of mischievious individuals . . . and jeopardized by such improper and unpatriotic conduct,” the Act’s preamble stated, the territorial legislature was “desirous . . . to facilitate those extinguishments of Indian title” as well as “to relieve their constituents from the injuries which they sustain from the depredations committed by Indians coming into the settlements to trade.”448 By far, the Indiana territorial government’s biggest concern was interference with future treaty making and land cessions: That if any person or persons shall without the permission or authority of the government of the United States, or of this territory, directly or indirectly, commence or carry on, any verbal or written correspondence or intercourse, with any Indian nation or tribe, any chief , sachem or warrior of any Indian nation or tribe, with an intent to influence the measures or conduct . . . in relation to any negociations or treaties, disputes or controversies . . . or if any person or persons . . . shall counsel or advise, aid or assist in any such correspondence . . . they shall be deemed guilty of high misdemeanor.449 When treaty cessions failed to suffice, the western state and territorial governments advocated for Indian removal. For example, in 1813 the Indiana territorial legislature petitioned Congress with a memorial requesting relief “to purchasers of public Lands,” those of whom were “continually exposed to Indian depredations.”450 A companion memorial for the “Defense of the Territory” was more explicit in its request for Indian removal. In order to “ensure future safety to [the] frontier,” the territorial legislature                                                              448 Act of 15 Dec. 1810, in Ibid. p. 149. 449 Ibid. 450 Memorial of the Indiana Territory General Assembly, dated 3 March 1813, in Ewbank and Riker, Laws pp. 790-792.     140 requested from Congress provisions “sufficient to the object of . . . driving from our borders those hordes of s[a]vages which . . . infest them.”451 By then, however, the War of 1812 had marked the steady decline of tribal autonomy in the region. The defeat of the British and their Indian allies—including the Shawnee, Miami, Ojibway, Delaware, and Potawatomi tribes—brought to the American settlers a sense of security and control over the region.452 Although the Northwest Ordinance and various treaties officially acknowledged tribal jurisdiction, after 1812 this relationship proceeded under the unilateral terms of the western state and territorial governments. With the Indian frontier receding, greater demand for land instilled deep ambivalence and sharp criticism over the federal-tribal treaty relationship. Rather than considering the American Indian treaty as a catalyst of sustained legal pluralism and reciprocity, many came to see it as a valid instrument of transferring land title.453 In turn, aggressive settler interests afforded little continuing force to the basic principles of reciprocity, consent, and continuity toward the American Indians.                                                              451 Memorial of the Indiana Territory General Assembly, dated 11 March 1813, in Ibid., pp. 793-794. 452 Cayton, Frontier Indiana, p. 261. Following the War, the U.S. government made certain concessions to Indian jurisdiction under the 1814 Treaty of Ghent. In negotiating the terms of the treaty, the British insisted as a “sine qua non” that “the peace be extended to the Indian allies of Great Britain, and that the boundary line of their territory be definitively marked out as a permanent barrier between the dominions of Great Britain and the United States.” The U.S. treaty delegation, led by John Quincy Adams, refused to proceed on these grounds by excluding the tribes from negotiations, arguing that “they live under their own laws and customs,” not those of the United States, and “that their rights upon the lands . . . are secured to them by boundaries defined in amicable treaties.” Despite these measures, Congress agreed “to put an end . . . to hostilities with all the Tribes or Nations of Indians . . . and forthwith to restore to such Tribes or Nations respectively all the possessions, rights, and privileges which they may have enjoyed or been entitled to” prior to the War; see Hunter Miller, ed., Treaties and Other International Acts of the United States of America, Vol. 2: Documents 1-40: 1776-1818, Washington: Government Printing Office, 1931, p. 581; also see David Wilkins, “Quit-Claiming the Doctrine of Discovery: A Treaty-Based Reappraisal,” Oklahoma City University Law Review, Vol. 23, Nos. 1 and 2 (Spring and Summer 1998): pp. 306-308. 453 See generally Dwight L. Smith, “The Land Cession Treaty: A Valid Instrument of Indian Title,” in This Land of Ours: The Acquisition and Disposition of the Public Domain, Papers presented at the Indiana American Revolution Bicentennial Symposium, Purdue University, West Lafayette, Indiana, April 29 and 30, 1978, Indianapolis: Indiana Historical Society, 1978, pp. 87-102.     141 During the transition to settler statehood, the federal government demonstrated a consistent reluctance in asserting its authority over Indian affairs. Congress not only shared an interest with the territorial government in extinguishing Indian title to accommodate settler demands, but it also endorsed a greater role for the emerging states in negotiating land cessions with the tribes.454 Consequently, the federal government’s failure to clarify its regulatory goals encouraged the territorial governments to fashion their own Indian policies, leading to a doctrine of limited federalism adopted by the settler states in asserting absolute jurisdiction over the tribes.455 The transformation of settler sovereignty during the late eighteenth and early nineteenth centuries rested on evolving principles of national identity and statehood. Following Independence, the American perception of sovereignty emerged as a loose confederation of powers between the self-governing states and newly-formed federal government. During the territorial period, the compact theory of government enabled western settlers to reconcile an otherwise authoritarian system of rule with a view toward their long-term political rights.456 Legal pluralism persisted during this period. However, the persistent Indian presence in the region not only confounded jurisdictional boundaries but also represented                                                              454 On 30 March 1802, Congress passed “An Act to regulate trade and intercourse with the Indian tribes, and to preserve peace on the frontiers.” Section 12 of the Act provided “that it shall be lawful for the agent or agents of any state, who may be present at any treaty held with Indians under the authority of the United States, in the presence, and with the approbation of the commissioner or commissioners of the United States . . . to propose to, and adjust with the Indians, the compensation to be made, for their claims to lands within such state, which shall be extinguished by treaty.” The 1802 statute superseded all trade and intercourse acts previously in force; see Act of 30 March 1802, 7th Cong., 1st sess. ch. 13, Statutes at Large: pp. 140, n., 143. 455 Cynthia Cumfer, “Local Origins of National Indian Policy: Cherokee and Tennessean Ideas about Sovereignty and Nationhood, 1790-1811,” Journal of the Early Republic, Vol. 23, No. 1 (Spring, 2003): p. 39. 456 Ford, Settler Sovereignty, 25; Onuf, Statehood and Union, p. 73.     142 a threat to the sovereign integrity of the settler polity. According to historian Lisa Ford, “Indigenous jurisdiction governed people and/or places in amorphous, poorly understood ways—ways at odds with emerging nineteenth-century understandings of settler sovereignty premised on exercises of territorial jurisdiction.”457 Whatever abstract principles structured federal Indian policy, in practice the settler states decided how and to what extent they would incorporate Indians into American society.458                                                              457 Ford, Settler Sovereignty, 56. 458 Rosen, American Indians, p. 166.     143 CHAPTER 2: INDIAN-SETTLER CONFLICT IN INDIANA: FROM LEGAL PLURALISM TO A STATE-CENTERED LEGAL ORDER During the late eighteenth and early nineteenth centuries, land had become the definitive factor in the transformation of Indian-settler sovereignty. As an asset to both the Indiana economy and settler agrarian values, private property signaled the displacement of Indian and tribal customary rights. By lacking cultural or territorial boundaries, the trading system that had long sustained the frontier economy came to represent a threat to state and local administrative order. Agriculture and private property, on the other hand, harnessed settler interests, defined state and personal boundaries, and effectively organized the settler community.459 The transition from frontier trade economy to an Anglo-American agricultural economy had profound land tenure consequences for the tribes as well as direct implications on the socio-cultural relations of the region’s inhabitants. This chapter focuses on the transition of Indian-settler sovereignty from an inter- communal relationship of customary norms to a hierarchical legal order designed largely to secure the acquisition of land title and private property rights. Part one provides an overview of sources, precedents, theory, and doctrinal foundations upon which the American states, including Indiana, justified the exercise of complete sovereignty over the American Indians. Within this context, part two surveys Indiana’s Indian law and policy. The overview begins with a narrative of early treaty negotiations, Indian removal, and the state’s gradual jurisdictional encroachment over tribal lands; it assesses political ideologies, legislative debate, and judicial reasoning in justifying (or denouncing) these actions. This narrative also centers on the legal methods of land transfer. By imposing                                                              459 Eric Hinderaker, Elusive Empires: Constructing Colonialism in the Ohio Valley, 1673-1800, Cambridge: Cambridge University Press, 1997, p. xiii.     144 statutory disabilities on American Indians, Indiana facilitated the conveyance of land from Indian possession to settler ownership of real property in fee simple. With a continuing emphasis on the expropriation of Indian land, part three analyzes the socio-cultural dimensions of public land policy. During the 1830s, Congress responded to squatter demands by enacting measures to protect settler pre-emption rights. Despite the extra-legal nature of their land claims and persistent violation of federal treaty obligations designed to protect tribal lands, squatters secured their titles through the lobbying efforts of western state representatives and a sympathetic federal government. American Indians responded to these conditions in a variety of ways; they negotiated treaties to protect tribal land, made wills to ensure its heritable possession, litigated in courts, registered marriage records, and assisted in real estate transactions, among other measures. In examining the historical record, however, it is important to consider that each action taken or word recorded reflected a personal choice; American Indians not only pursued their own interests—whether for themselves or on behalf of their tribal community—they did so in unique, sometimes inconsistent ways. The influx of American and Anglo-European migrants certainly tested the law of “community consensus” during the early years of statehood. As Governor Jennings remarked at his second inaugural address in December of 1819, the new immigrants had carried with them “a great diversity of political maxims and opinions” as well as their “prepossessions and prejudices.” Accordingly, Jennings advised the legislative assembly to “approximate towards an uniformity and stability in our public regulations.”460 As                                                              460 Indiana Gazette (Corydon), 18 December 1819, as quoted by Donald F. Carmony, Indiana, 1816-1850: The Pioneer Era, Indianapolis: Indiana Historical Bureau & Indiana Historical Society, 1998, p. 96.     145 their political influence waned and customary laws faded under this principle, the French presented less of a cultural barrier to Indiana law and policy. For those having secured legal title to their land claims during the early nineteenth century, private property rights provided the French a greater common ground with the American settler polity.461 However, many of the French simply migrated west of the Mississippi, leaving their small villages “out of repair or shut up.”462 Accordingly, there is little discussion of these long-established residents as a distinct, autonomous community. Yet the transition to a state-centered legal order failed to immediately or entirely displace cross-cultural norms. While the locus of authority shifted and the rules of legal procedure diminished an informal, common discourse, this was a gradual transition rather than a rapid conquest by law. Much like the inter-communal relations of the colonial-era Pays d’en Haut, there were points of normative coherence, resistance, and departure. American Indian norms and customs continued to shape Indiana’s fledgling jurisprudence in principle if not strictly in substance. In turn, mutual co-existence based on individual choice and consent sustained cross-cultural norms through shared goals and objectives. Indiana law was a product of practical reasoning and a process of individual negotiation. Indians and settlers alike exploited, shaped, and borrowed law and, in many ways,                                                              461 Although many continued to utilize their lands in common, the French realized early on the necessity of adopting the Anglo-American system of land tenure in order to secure their titles. Having been “chiefly addicted to the Indian trade,” and unable to form “an idea of dividing among ourselves our fruitful country,” the residents of Vincennes explained in a 1787 petition to Congress, they had “in a great measure, overlooked the advantages . . . derived from the cultivation of lands.” However, the “moment we were connected with the United States, we began to be sensible of the real value of lands.” See Clarence E. Carter, ed., The Territorial Papers of the United States, Vol. 2: The Territory Northwest of the River Ohio, 1787-1803, Washington: U. S. Gov’t Printing Office, 1942, p. 58. For further discussion on the division of property rights and the impact on Indian-settler relations, see pp. 162-163, infra. 462 Donald Macdonald, “The Diaries of Donald Macdonald, 1824-1826,” Indiana Historical Society Publications, Vol. 14, No. 2, Indianapolis: Indiana Historical Society, 1942, pp. 272, 281.     146 adjusted to cross-cultural norms and institutions not only to further their own objectives but also to accommodate socially evolving ideas of justice.463 By 1830, however, state officials had sought to destroy legal pluralism by exercising absolute authority over all subjects and persons within state boundaries. During the early nineteenth century, American Indian law and policy shifted from a model of “indirect rule” (which the federal government had failed to articulate in policy) to one of “direct rule” (sustained by state authority).464 As Deborah Rosen observes, “[t]he reason for the states’ preference for direct rule was clear: they lacked legal justification for indirect rule,” the latter of which “presumes the continuation of separate indigenous communities” and state deference to federal authority. The states were able to defend their jurisdictional prerogative only to the extent that the Indians conceded their tribal identity (primarily in terms of collective land holdings) and integrated as members of the settler state.465 Rosen identifies six general ways by which state governments regulated Indians residing within their boundaries. These methods included: restrictions on land sales between Indians and settlers; disabilities on Indians to make enforceable contracts or participate in litigation; restrictions on settlers from encroaching on tribal lands or selling liquor to Indians; extension of criminal jurisdiction over Indian territory; taxation of Indian land; and submission of Indians to the state’s civil laws of marriage, divorce, and                                                              463 Bruce P. Smith, “Negotiating Law on the Frontier: Responses to Cross-Cultural Homicide in Illinois, 1810-1825,” in Daniel P. Barr, ed., The Boundaries Between Us: Native and Newcomers along the Frontiers of the Old Northwest Territory, 1750-1850, Kent, Ohio: Kent State University Press, 2006, p. 163. 464 Deborah Rosen, American Indians and State Law: Sovereignty, Race, and Citizenship, 1790-1880, Lincoln: University of Nebraska Press, 2007, p. 204. 465 Ibid. p. 205.     147 inheritance.466 Using Rosen’s outline as a frame of analysis, this chapter surveys the legislative means by which the State of Indiana regulated its resident American Indians during the nineteenth century. By examining related state court opinions, this chapter also identifies the judicial reasoning that justified Indiana’s American Indian policy. Rather than focusing on questions of tribal sovereignty, state courts, including those in Indiana, more often framed their analysis around issues of federalism and states’ rights.467 Historical patterns in Indiana correspond remarkably with Rosen’s analysis in terms of the extent to which the state pursued a policy of Indian colonization.468 The transition to a state-centered system of direct rule over American Indians was not an inevitable feature of early national policy. Provisions under the 1785 Land Ordinance and 1787 Northwest Ordinance outlined the basic premises by which land was to be transferred to the newly-formed settler states once Indian title was extinguished. However, the question of the determination of Indian rights in the rush of settler expansion was left to later debate.469 By the early nineteenth century, Congress had, in fact, considered an administrative scheme of sustained legal pluralism, preservation of tribal lands and self-government, and even tribal representation. However, plans for constructing a separate Indian state rested on American models of government rather than                                                              466 Deborah A. Rosen, “Colonization through Law: The Judicial Defense of State Indian Legislation, 1790- 1880,” American Journal of Legal History, Vol. 46, No. 1 (Jan., 2004): p. 28. 467 Rosen, “Colonization,” p. 27. 468 While this study provides an in-depth survey of Indiana law and policy concerning American Indians, it presents little in the way of comparative state analysis. Rosen’s study, on the other hand, provides a model foundation for further study of the role of state legal systems in American Indian policy. 469 The Louisiana Purchase and the act providing for its territorial administration and temporary government resolved this question in part. Section fifteen of the Act authorized the President “to stipulate with any Indian tribes owning lands on the east side of the Mississippi, and residing thereon, for an exchange of lands . . . on the west side of the Mississippi.” See Act of 26 March 1804, 8th Cong., 1st sess. ch. 38, Statutes at Large: p. 289.     148 a systemic regard for tribal laws and customs.470 As Superintendent of Indian Affairs, Thomas L. McKenney suggested in 1829, the Indians could “be placed under a Government, of which they shall form part, and in a Colonial relation to the United States” where “the existing divisions among the Tribes would be superseded by a General Gov’t for the whole.”471                                                              470 In 1824, President James Monroe proposed a “system of internal government which shall protect their property from invasion.” See Special Message of James Monroe, 27 January 1824, as quoted by Robert F. Berkhofer, Jr., “Americans versus Indians: The Northwest Ordinance, Territory Making, and Native Americans,” Indiana Magazine of History, Vol. 84, No. 1 (March, 1988): p. 98. The following year, the U.S. House of Representatives recommended a plan for Indian removal in exchange for lands further west and a “territorial Government over them of the same kind, and regulated by the same rules, that the Territories of the United States are now governed.” See United States, Congress, House Journal, 19th Cong., 1st sess., 1825-1826, p. 97, as quoted by Berkhofer, “Americans versus Indians,” p. 98. In turn, the House Committee on Indian Affairs introduced a bill “for the preservation of the Indian Tribes, within the United States,” which outlined provisions for a territorial system of government, including the presidential appointment of a governor, a secretary, and three judges. A tribal legislative council and other administrative officers were to be chosen by the “said Indians, as the President may deem proper.” See United States, Bills and Resolutions of the House and Senate, H.R. 113, (21 February 1826), 19th Cong., 1st sess., 1825-1826, as quoted by Berkhofer, “Americans versus Indians,” p. 99. The proposed bill failed passage. By the 1830s, plans for the preservation of tribal self-governance had become an even more pressing issue in the face of forced removal policies under the Jackson administration. In 1834, the House Committee on Indian Affairs reported another bill, which provided for the “establishment of the Western Territory, and for the security and protection of the emigrant and other Indian tribes therein.” See United States, Congress, Bills and Resolutions of the House and Senate, H.R. 490, (20 May 1834), 23rd Cong., 1st Sess.; also see Berkhofer, “Americans versus Indians,” p. 99. The proposed bill was designed with particular reference to the Cherokee, Choctaw, and Creek tribes; however, had it passed, the bill might have served as model legislation for other tribes. Through a confederated system of government, the tribes would elect a general council (akin to a legislative assembly) and a congressional delegate. The bill’s aim was to “promote their advancement in the arts of civilized life, and to afford to them . . . all the blessings of free government, and admitted to a full participation of the privileges now enjoyed by the American people.” Congressional opposition, however, cited concerns (many of which were well-founded) over treaty violations, unconstitutional proposals of Indian government, the extension of slavery, tribal representation in Congress, internal partisan conflict within tribal government, and other issues. See Berkhofer, “Americans versus Indians,” p. 100. Subsequent versions of the bill reflected what little confidence Congress held toward sustainable tribal government. Modifications in 1837 and 1839 included replacing a federal delegate with an agent, a superintendent of Indian affairs in place of a governor, tribal council proceedings to be recorded in English, and the presidential approval of all laws passed by the tribal council. The larger issue, as Robert Berkhofer points out, centered on whether or not the “tribes could ever reach a stage of political progress in their own governments that warranted the equality conferred by full- fledged statehood in the Union.” See Berkhofer, “Americans versus Indians,” p. 100. The failure of these bills answered this question with a resounding no. 471 Letter of Thomas L. McKenney to Peter B. Porter, dated 31 January 1829, as quoted by Berkhofer, “Americans versus Indians,” p. 101.     149 By the late 1830s, congressional proposals for a system of “indirect” rule over the Indian tribes had failed to develop. The states ultimately lead the colonization effort; however, rather than concede to a system of “indirect rule” as Congress had proposed, the state regulation of American Indians resulted in a process of tribal dissolution, jurisdictional incorporation, and legal absorption. Sources, Precedents, Theory, and Doctrinal Foundations   The sources of law remained generally undisturbed with the transition to Indiana statehood. The state’s new fundamental charter specified that “[a]ll laws and parts of laws now in force in this Territory not inconsistent with this constitution, shall continue and remain in full force and effect, until they expire or be repealed.”472 At the second legislative session, state lawmakers passed “[a]n Act declaring what Laws shall be in force,” adopting verbatim, with minor exceptions, the 1807 common law reception statute.473 The bench and bar relied on English statutory and common law. As one                                                              472 Indiana State Constitution (1816), art. 12, sec. 4. Also see article one, section 6, which provided “[t]hat no power of suspending the operation of the laws, shall be exercised, except by the Legislature, or its authority.” Article 12 in its entirety provided for the administrative transition from territorial to state government. Sections 7 and 11 dealt specifically with the courts. At the first two legislative sessions, Governor Jonathan Jennings recommended a comprehensive revision of the laws to eradicate “obscure” sections of the code from years of statutory amendments. The General Assembly failed to pass a complete revision but instead enacted several measures, modifying the territorial laws to the extent necessary for adjusting to statehood. See Indiana, House Journal, 1816-1817, p. 11; and Indiana, House Journal, 1817- 1818, p. 7, as cited by Carmony, Indiana, p. 96. 473 Act of 2 January 1818, Laws of the State of Indiana, 2nd sess., pp. 308-309. Whereas the territorial act established the legal force of the English common and statutory law, “which are of a general nature, not local to that kingdom,” the 1818 Indiana statute stipulated further that such laws were “not [to be] inconsistent with the laws of this state.” The only other difference in language between the 1807 and 1818 acts was the substitution of “state” for “territory.” Indiana readopted the 1818 statute in the state code revisions of 1824, 1831, 1838, and 1843. In his article on the English common law in Indiana, author Ray F. Bowman, III makes no mention of the state’s first reception statute, nor subsequent adoptions until 1852 (referring only to those acts passed during the territorial period); see “English Common Law and Indiana Jurisprudence,” Indiana Law Review, Vol. 30, No. 1 (1997): p. 414. For the text of the 1807 act, see supra, p. 118. By 1852, with the reliance on English and statutory law waning, Indiana lawmakers enacted a statute outlining the hierarchy of laws governing the state, which consisted of (1) the U.S. and state constitutions; (2) Indiana statutes; (3) Congressional Statutes; and (4) the English common and statutory law “not inconsistent with the first, second, and third specifications of this section.” With the exception of this qualifying clause, the text of the English reception statute remained the same. Criminal offenses,     150 attorney from Jeffersonville noted in 1819, “Blackstone’s Commentaries are considered the great medium of instruction.”474 However, the State of Indiana still consisted of multiple jurisdictions and diverse settler interests. The idea of a homogeneous legal system, especially one of English heritage, contrasted sharply with the multicultural composition of the state.475 Despite the 1818 reception statute and considerable reliance on English sources, the common law failed to secure unconditional acceptance among Indiana lawmakers during the first few decades of statehood. During the late 1820s and early 1830s, Indiana lawmakers expressed a significant interest in moderating and even abolishing English statutes for purposes of forming a more home-grown jurisprudence.476 In 1828, Indiana lawyer and politician Samuel Judah derided the English common law as “founded in barbarism, nourished in ignorance and tyranny, and cherished by aristocracy and monarchy,” the corpus of which had become “a vast and confused mass of sayings and opinions, and rules, scattered through a thousand heavy volumes.”477 The year prior, Governor James B. Ray declared to the General Assembly his “intention to present to a                                                                                                                                                                                   however, were to be “defined, and punishment therefor fixed, by statutes of this State, and not otherwise.” See Revised Statutes of the State of Indiana, 36th sess. (1852), Vol. 1, pp. 351-352. The 1852 statute remains in effect today. 474 James Flint, “Letters From America,” in Reuben Gold Thwaites, ed., Early Western Travels, 1748-1846, Vol. 9, Cleveland, Ohio: A. H. Clark company, 1904, p. 195, as quoted by Michael H. Harris, “The Frontier Lawyer’s Library; Southern Indiana, 1800-1850, as a Test Case,” American Journal of Legal History, Vol. 16, No. 3 (July, 1972): p. 241. 475 Bowman, “English Common Law,” pp. 412-413. 476 During the 1822-1823 legislative session, the General Assembly voted to condense all existing “acts and parts of acts . . . into one consistent act” without modifying their substance. The code revision was to include an abridgement of all English statutes. The General Assembly appointed Governor William Hendricks as the principal code reviser. In compiling the laws, Hendricks considered it “prudent” not to include all British statutes but to declare which of those continued in force in aid of the common law; see Carmony, Indiana, p. 97. 477 Western Sun (Vincennes), 20 October 1827, as quoted by Carmony, Indiana, p. 98. For a popular literary account on the persisting critical views of the English common law in early Indiana, see “British Authorities in Indiana Courts,” in O.H. Smith, Early Indiana Trials and Sketches, Cincinnati: Moore, Wilstach, Keys, Printers, 1858, pp. 122-123.     151 future Legislature, a code of laws, both civil and criminal, for its consideration.” By utilizing the French Napoleonic and Louisiana Codes as model systems, future revisions would “enable the governed to know what the law is, and to have it in their power to acquire that knowledge without much trouble or expense.”478 When dealing with issues related to American Indian law and policy in the new settler state, Indiana lawmakers faced an intellectual dilemma of source authority. During the territorial period, the Northwest Ordinance had provisionally sustained a jurisprudence of legal pluralism. Section fourteen, article four codified Indian sovereignty, regulated Indian-settler relations, and recognized Indian title to lands. Under the state’s Enabling Act, Congress authorized Indiana territorial representatives to “form a constitution and state government,” provided that “the same, whenever formed, shall be republican, and not repugnant to those articles of the ordinance . . . which are declared to be irrevocable between the original states, and the people and state of the territory northwest of the river Ohio.” 479 In addition to these obligations, U.S.-tribal treaty provisions forced state governments to distinguish the legal personality of the Indian polity from the general settler population.                                                              478 Indiana, House Journal, 1827-1828, pp. 30-32, 414-417, as quoted by Carmony, Indiana, p. 98. According to Carmony, the preparation of such a code had achieved little success two years later. Also see Ibid. p. 130, which discusses the publicity surrounding Governor Ray’s use of the Indiana State Library’s copy of the Louisiana Civil Code. On the influence of civil law during the early national and antebellum periods, see Charles M. Cook, The American Codification Movement: A Study of Antebellum Legal Reform, Westport, Conn.: Greenwood Press, 1981, especially, pp. 69-95; Peter Stein, “The Attraction of the Civil Law in Post-Revolutionary America,” Virginia Law Review, Vol. 52, No. 3 (April, 1966): pp. 403-434; Rodolfo Batiza, “Sources of the Field of Civil Code: The Civil Law Influences on a Common Law Code,” Tulane Law Review, Vol. 60, No. 4 (March, 1986): pp. 799-819; and M.H. Hoeflich, “John Austin and Joseph Story: Two Nineteenth Century Perspectives on the Utility of the Civil Law for the Common Lawyer,” American Journal of Legal History, Vol. 29, No. 1 (Jan., 1985): pp. 36-77. 479 Act of 19 April 1816, 14th Cong., 1st sess. ch. 57, Statutes at Large: pp. 290-291. Aside from these federal statutory requirements, several provisions of the 1816 Constitution reflected the enduring spirit of the Northwest Ordinance; these included the prohibition of slavery, public education, and religious tolerance. Conspicuously absent from the new Constitution, however, were provisions protecting the rights of American Indians. The only mention of American Indians in the state’s fundamental law referred to their exemption from military service; see Indiana State Constitution (1816), art. 7, sec. 1.     152 Yet the question of who held the constitutional authority—whether the states or federal government—to administer relations with the Indian tribes, remained largely unanswered during the first two decades of the nineteenth century. The United States Constitution provided less than clear direction on these issues and the framers failed to articulate this tri-partite political relationship.480 The Tenth Amendment to the U.S. Constitution, ratified in 1791, specified that “[t]he powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.” The lack of clarity set forth by the Founding Fathers and under the nation’s fundamental law provided the states with broad interpretive discretion in matters of Indian law and policy. The political character of tribal sovereignty and the U.S. government’s recognition of the Indian tribes as distinct nations, led federal lawmakers to approach these questions in terms of international law.481 By the 1820s, the states had considerable experience in exercising what they had considered to be their own sovereign prerogative in the sphere of international affairs and foreign relations. In fact, since American independence the federal government had often faced jurisdictional interference from the states in matters of international diplomacy.482 The question of tribal sovereignty intensified this debate; the U.S. Constitution prohibited a state from being “formed or                                                              480 Article 1, section 8 provided that “Congress shall have the power . . . to regulate Commerce with foreign Nations, and among the several States, and with the Indian Tribes.” Article 2, section 2 provided the President with the power “by and with the Advice and Consent of the Senate, to make Treaties.” 481 See generally, James H. Lengel, “The Role of International Law in the Development of Constitutional Jurisprudence in the Supreme Court: The Marshall Court and American Indians,” American Journal of Legal History, Vol. 43, No. 2 (April, 1999): pp. 117-132. 482 For a discussion and legal analysis of state interference in matters of international law and policy during the post-Revolutionary period, see Mark W. Janis, America and the Law of Nations, 1776-1939, Oxford: Oxford University Press, 2010, pp. 31-48.     153 erected within the Jurisdiction of any other State,” and the concept of an Indian imperium en imperio met with considerable resistance among state lawmakers.483 When state judges and legislators decided cases or debated policy involving American Indians, they often examined the history of colonialism, relying predominantly on English and Continental authorities to provide guidance on issues of sovereignty and land title.484 State lawmakers, including those in Indiana, had access to a host of these scholarly texts, which constructed a “working law of international relations” between the states and the Indian tribes.485 Two European philosophers, in particular, offered important lines of reasoning for nineteenth-century jurists to interpret and apply when determining the extent and character of American Indian rights. Dominican professor of theology Franciscus de Victoria argued that Indigenous peoples, while subject and inferior to their Christian, European colonizers, possessed inherent natural rights to property and political rights to self-government.486 Swiss diplomat Emerich de Vattel, on the other hand, believed that an international legal order could only exist through cooperation and mutual obligation among and between civilized nations.487 For Vattel, conquest was a fundamental component of international law. In the Americas, he believed that the Indigenous peoples’ “unsettled habitation . . . [could not] be accounted [as a] true and legal possession.”488 Consequently, “the people of Europe . . . were                                                              483 U.S. Constitution, art. 4, sec. 3 provides that “New States may be admitted by the Congress into this Union; but no new States shall be formed or erected within the Jurisdiction of any other State; nor any State be formed by the Junction of two or more States, or parts of States, without the Consent of the Legislatures of the States concerned as well as of the Congress.” 484 Tim Alan Garrison, The Legal Ideology of Removal: The Southern Judiciary and the Sovereignty of Native American Nations, Athens, Ga.: University of Georgia Press, 2002, pp. 59, 69. 485 Ibid. p. 69. 486 Victoria’s leading work was a series of lectures entitled “On the Indians Lately Discovered,” delivered in 1532 and published in 1557. 487 Vattel’s Law of Nations was first published in 1758. 488 Quoted by Garrison, Legal Ideology, p. 71.     154 lawfully entitled to take possession of [the land], and settle it with colonies.” Vattel’s writings proved to be the most influential, particularly as American legal and political theorists sought to articulate and apply concepts of statehood and sovereignty. Much like Blackstone’s Commentaries influenced the frontier’s English common law reception, Vattel’s Law of Nations became the standard authority for state lawmakers when considering the international dimensions of constitutional law and American Indian rights.489 American colonial law and policy also served as a precedential foundation to state sovereignty over Indian tribes.490 Following the American Revolution, several of the former colonies, including Massachusetts, Connecticut, Rhode Island, and New York, continued to manage tribal relations on an individual basis. The equal footing clause of the Northwest Ordinance, incorporated into the preambles of each of the new western states’ enabling acts, provided western lawmakers with the justification for exercising jurisdictional authority over American Indians.491 Territorial law and policy provided another basis for the western states to exercise jurisdiction over the Indians. Once Congress admitted a territory to the Union, the states                                                              489 Garrison notes a 1932 citation analysis in which Vattel far outnumbered references to other European scholars in American cases between 1789 and 1820; see Garrison, Legal Ideology, p. 257, n. 18. On Vattel’s influence on state courts, see Cynthia Cumfer, “Local Origins of National Indian Policy: Cherokee and Tennessean Ideas about Sovereignty and Nationhood, 1790-1811,” Journal of the Early Republic, Vol. 23, No. 1 (Spring, 2003): p. 43. For an early twentieth-century analysis, see Charles G. Fenwick, “The Authority of Vattel,” American Political Science Review, Vol. 7, No. 3 (Aug., 1913): pp. 395-410. 490 An 1832 published compilation of American colonial and state laws relating to Indian affairs provides a suitable illustration of this assumption of jurisdictional continuity. As noted in the preface, the purpose of the work was to “assist researches on that subject, whether undertaken with a view to legislative action or speculative inquiry.” See United States, Laws of the Colonial and State Governments, Relating to Indians and Indian Affairs, From 1633 to 1831, Inclusive: With an Appendix Containing the Proceedings of the Congress of the Confederation ; and the Laws of Congress, From 1800 to 1830, On the Same Subject, Washington: Thompson and Homans, 1832, p. iv. 491 Rosen, “Colonization,” p. 26. Section 14, article 5 of the Ordinance provided that “whenever any of the said States shall have sixty thousand free inhabitants therein, such State shall be admitted, by its delegates, into the Congress of the United States, on an equal footing with the original States in all respects whatever [emphasis added].”     155 often considered their jurisdiction to supplant federal law.492 In Indiana, territorial government exercised jurisdiction over American Indians in several ways. A prominent                                                              492 Rosen, “Colonization,” p. 36. For Indiana’s early statehood period, the decisions of the territorial courts of contiguous jurisdictions provide an important perspective on questions of federalism, including the extent of states’ rights, tribal sovereignty, and territorial government jurisdiction in American Indian law and policy. Michigan, having reached statehood in 1837 (more than twenty years after Congress admitted Indiana to the Union) serves as a unique example. In a series of cases during the 1820s and 1830s, the Michigan Territorial Courts produced some of the most revealing legal opinions on the tensions within the federal system of government. In addition to the Supreme Court of the Michigan Territory at Detroit, Congress created a federal district court in 1823 for the counties of Michilimackinac, Brown, and Crawford, which was to “have and possess concurrent jurisdiction with the said supreme court, in and over all actions arising under the acts and laws in force, or which may be enacted, for the regulating trade and intercourse with the Indians, and over all crimes and offences which shall be committed within that part of the Indian country lying north and west of Lake Michigan, within the territory of Michigan [emphasis added].” See Elizabeth Gaspar Brown, “Judge James Doty’s Notes of Trials and Opinions: 1823-1832,” American Journal of Legal History, Vol. 9, No. 1 (Jan., 1965): p. 21. Judge James Duane Doty was federal district judge from 1823 to 1832; his notes provide remarkable contemporary insight on the tensions of the federal system of government and delegation of authority in establishing legal relations with the Indian tribes. For example, in the 1824 case of U.S. v. Waushayguauny, the question arose as to whether the defendant could be found guilty in the absence of statutory authority providing the court with criminal jurisdiction over offenses committed within Indian Territory; Ibid. p. 26. The case involved the maiming of a non-Indian, federally licensed agent trading with the Menominee Tribe. The question centered on the scope of a Michigan Territorial statute entitled “An act for the punishment of crimes,” which the governor and judges had adopted in 1818 by virtue of clauses in the Northwest Ordinance. Section 8 provided that “[f]or the prevention of crimes and injuries, the laws to be adopted or made shall have force in all parts of the district, and for the execution of process, criminal and civil, the governor shall make proper divisions thereof; and he shall proceed from time to time as circumstances may require, to lay out the parts of the district in which the Indian titles shall have been extinguished, into counties and townships, subject, however, to such alterations as may thereafter be made by the legislature.” In his notes to the decision, Judge Doty posed the idea that if the “Ordinance amount[s] to a surrender or relinquishment of the sovereignty and jurisdiction of the United States over this Territory to the Territorial government[,] the laws of the United States creating and punishing offences in the Indian Country, must be considered as not extending to this Territory.” Rather “[t]he land, and its tenants are understood to be subject to the exclusive jurisdiction of the United States,” which “has all the sovereignty and jurisdiction it can ever acquire—from its treaties with . . . the Indian Tribes.” See Ibid. pp. 37, 38. “[E]ven on the admission of new states into the union,” Doty contended, “the United States retains its jurisdiction over the Indians and their lands within such states.” See Ibid. p. 39. Consequently, Doty was “of the opinion, that the act for the punishment of Crimes adopted by the Governor and Judges [did] not extend to the Indian country . . . [and,] There being no Statute of the United States for the punishment of the crime . . . within the Indian country, the prisoner [was] discharged from the custody of the Sheriff.” (Doty apparently rescinded his judgment in 1827 after reconsidering Congress’s Act of 3 March 1817; see Ibid. pp. 26, 40). The shift in ideas of sovereignty and jurisdiction is, nevertheless, evident nearly six years following Doty’s 1824 opinion in Waushayguauny. On 15 June 1830, Michigan’s Federal District Court at Brown County charged a local grand jury with investigating the “right of the United States to extend their jurisdiction over the savage Tribes which inhabit this county, the degree of sovereignty which they are permitted to exercise, and the relations which exist between those tribes and the general and territorial governments.” See Brown, “Judge James Doty’s Notes of Trials and Opinions: 1823-1832,” American Journal of Legal History, Vol. 9, No. 4 (Oct., 1965): p. 350. “It is apparent,” Doty acknowledged, “that the customs of the Indians, when applied by themselves to their own people, are respected by the laws of the United States.” “But what the precise boundaries are between the lands of the government and the Indian possessions within this county,” he proceeded indecisively, “. . . I have not yet discovered.” See Ibid. p.     156 example, as noted above, involved the regulation of trade and intercourse acts. With approval from President Jefferson, Governor Harrison authorized the territorial legislature in 1805 to enact laws restricting trade and the sale of liquor to Indians, as a means to supplement the “entirely ineffectual” measures of Congress.493 After 1816, state officials often assumed continuity in jurisdiction over these matters and enforced these laws with at least some regularity. In 1832, for example, the Indiana State legislature passed “An Act to prevent the sale of Ardent spirits to the Indians.”494 The measure specified “[t]hat no person . . . shall sell, give, barter, or exchange, or dispose of in any way . . . any spirituous or intoxicating liquors, to any Indian . . . within this state.” Those found guilty were subject to a fine “not less than five dollars, and not exceeding fifty dollars,” and faced imprisonment “at the discretion of the jury . . . not exceeding ten days.” Twelve years later, the same law, which by then had been sustained by a decision of the Supreme Court of Indiana, remained on the statute books.495 In State v. Jackson, Judge Isaac Blackford held that the sale of “spirituous liquor . . . to an Indian . . . [is] contrary to the form of the statute and against the peace of this State.”496                                                                                                                                                                                   353. The question of a limited federal government, on the other hand, had apparently become a settled one: “It is the opinion of the highest officers in this government, that the Indians can be declared, by the Legislature of any state within whose limits they may reside, subject to the government of that state, and bound to obey its laws.” See Ibid. p. 352. 493 As quoted by Francis Paul Prucha, American Indian Policy in the Formative Years: The Trade and Intercourse Acts, 1790-1834, Lincoln: University of Nebraska Press, 1962, p. 105. Congress had passed its most recent trade and intercouse act in 1802; see Act of 30 March 1802, 7th Cong., 1st sess. ch. 13, Statutes at Large: pp. 139-146. Section 21 of the Act provides that “the President of the United States be authorized to take such measures from time to time . . . to prevent or restrain the vending or distributing of spirituous liquors among all or any of the said Indian tribes.” 494 Act of 3 February 1832, Laws of the State of Indiana, 16th sess., pp. 268-269. 495 Revised Statutes of the State of Indiana (1843), p. 980. Intended to “protect” Indians from settler incursions, these laws not only decided (without Indian consent or input) with whom the Indians could interact, but also caused greater ethnic divisions and distinct cultural boundaries. 496 State v. Jackson, 4 Blackf. 49 (1835). Judge Blackford made no reference to the Trade and Intercourse Act or any federal authority for that matter. However, Indiana lawmakers later appear to have wavered on their authority. On 23 January 1847, the General Assembly passed “A Joint Resolution relative to the sale of intoxicating liquors . . . to Indians.” See Act of 23 January 1847, General Laws of the State of Indiana,     157 Until the 1820s, there was very little U.S. case law to which jurists could turn for authority in deciding issues related to American Indians. Two U.S. Supreme Court cases that relate to issues of state sovereignty deserve brief mention here. In Fletcher v. Peck, the Court considered in 1810 whether or not the legislative repeal of a Georgia statute, which regulated the sale of Indian lands to corporate entities, violated the contract clause of the U.S. Constitution (the Court held that it did).497 The question also concerned whether the state or the federal government was “legally seised in fee of the soil thereof subject only to the extinguishment of Indian title thereon.”498 The Court decided that the land remained “within the state . . . and that . . . Georgia had power to grant it.”499 To settle any lingering doubts over the state’s authority, Chief Justice John Marshall held that “[t]he majority of the court is of opinion that the nature of the Indian title . . . is not such as to be absolutely repugnant to seisin in fee on the part of the state.”500 In the 1815, the Supreme Court followed this holding in Meigs v. M’Clung’s Lessee by ruling that the states possessed the right of exclusive purchase, or pre-emption, over tribal lands and could grant an interest to individuals subject to the extinguishing of Indian title.501 Between 1823 and 1832, the U.S. Supreme Court decided a series of cases that firmly established the doctrinal foundations of Indian land title, tribal political status, and                                                                                                                                                                                   31st sess., p. 163. In unequivocal deference to federal law, the resolution’s preamble acknowledged that “[t]he constitution of the United States grants to Congress the express power to ‘regulate commerce with the Indian tribes.’” Rather than pass statutory measures, state legislators instructed their senators and requested their representatives in Congress “to use their best exertions to have efficient laws enacted to punish all persons . . . convicted of” such crimes. The reason for this reversal in policy is unclear. Congress had passed its most recent trade and intercourse act in 1834 (see Act of 30 June 1834, 23rd Cong., 1st sess. ch. 161, Statutes at Large: p. 729), the year prior to Blackford’s opinion in Jackson. The transition may have been the result of a change of political power in the state legislature. 497 Fletcher v. Peck, 10 U.S. 87 (1810); also see Robert J. Miller, “The Doctrine of Discovery in American Indian Law,” Idaho Law Review, Vol. 42, No. 1 (2005): p. 60. 498 As quoted by Miller, “Doctrine of Discovery,” p. 60. 499 Ibid. 500 Ibid. p. 61. 501 Ibid. pp. 61-62.     158 the authority of state and federal governments in regulating these issues. In Johnson v. M’Intosh—a case involving conflicting claims to large tracts of land in present-day Illinois and southern Indiana—the Court introduced venerated European authorities on international law into American legal thought, endorsing notions of “discovery” and “conquest” in establishing the principle of absolute U.S. sovereignty.502 According to the Marshall Court, the doctrine of discovery recognized Indians’ rights to occupy their lands, however, “their rights to complete sovereignty, as independent nations, were necessarily diminished, and their power to dispose of the soil at their own will . . . was denied by the original fundamental principle, that discovery gave exclusive title to those who made it.”503 In essence, the right of pre-emption— which the U.S. had inherited as the successor state to its European predecessors under principles of the law of nations—precluded all claims to Indian lands other than those of the “discovering” nation. The United States possessed “absolute title,” which was “subject only to the Indian right of occupancy, and . . . the exclusive power to extinguish that right, was vested in that government which might constitutionally exercise it.”504 Buried within this elaborate legal fiction, the primary rule established by the Johnson decision prohibited the private purchase of Indian lands. The legal basis for this rule extended from a history of colonial statutes, rules, and executive orders.505 While                                                              502 Garrison, Legal Ideology, p. 60; Johnson v. M’Intosh, 21 U.S. 543 (1823). For context and litigation leading to the U.S. Supreme Court case, see Eric Kades, “History and Interpretation of the Great Case of Johnson v. M’Intosh,” Law and History Review, Vol. 19, No. 1 (Spring, 2001): pp. 67-101; also see Lindsay G. Robertson, Conquest by Law: How the Discovery of America Dispossessed Indigenous Peoples of Their Lands, Oxford: Oxford University Press, 2005, especially pp. 1-59. 503 Johnson, p. 574. 504 Johnson, p. 585. 505 Eric Kades, “The Dark Side of Efficiency: Johnson v. M’Intosh and the Expropriation of American Indian Lands,” University of Pennsylvania Law Review, Vol. 148, No. 4 (April, 2000): p. 1107; also see Kent McNeil, Common Law Aboriginal Title, Oxford: Oxford University Press, 1989, pp. 227-228. According to James Kent, this rule was “established by numerous compacts, treaties, laws, and ordinances,     159 British imperial, American colonial, and early national policies generally coincided with this argument, the Court’s view that discovery “necessarily diminished” the Indians’ property rights, reflected little historical accuracy.506 Rather, Marshall’s opinion signaled a paradigm shift in Anglo-American legal thought that vested superior land rights or “ultimate dominion” in the European sovereign and its successors in interest. At the time of Johnson, essentially two competing theories on property rights informed the Court’s decision. On the one hand, legal-political theorists such as David Hume, Thomas Hobbes, and Jeremy Bentham, viewed property as a positivistic, social institution. Because a state “enjoys an exclusive right to regulate matters pertaining to the ownership of property . . . it may determine not only the processes by which title may be acquired, retained or transferred, but also what individuals are to be permitted to enjoy                                                                                                                                                                                   and founded on immemorial usage [emphasis added].” See James Kent, Commentaries on American Law, 4th ed., Vol. 3, New York: E.S. Clayton, Printer, 1840, p. 381. In 1674, for example, the General Court of Colonial Virginia upheld a statute that prohibited private purchases. Because the “Peace and Safety of this Colony” depended upon the “preservation of the Indians right and propriety in Those lands which have beene Assigned them by the publique Authority,” the court held that “it Should not be in the power of any Indian . . . to sell or alienate any of the lands within Said bounds, and all Such Bargaines and Sales are by the Said Act Declared voyde.” See Order of 8 April 1674, in Minutes of the Council and General Court of Colonial Virginia, 1622-1632, 1670-1676, ed. H.R.McIlwaine, Richmond: The Colonial Press, Everett Waddey Co., 1924, pp. 370-371. 506 See, for example, Councells Opinions Concerning Col. Nicholls Patent and Indian Purchases, dated [?] 1675, in in E.B. O’Callaghan and B. Fernow, eds., Documents Relative to the Colonial History of New York [hereinafter cited as DRCHNY], Vol. 13, Albany: Weed, Parsons and Co., 1881, pp. 486-487. This opinion held that by the “Law of Nations if any people make Discovery of any Country of Barbarians the Prince of [that] people . . . hath ye Right of ye Soyle & Govermt of [that] place & no people can plant there without ye Consent of ye Prince or of Such Persons to whom his Right is Devoulved & Conveyed the Practice of all Plantations has been according to this & no people have been Suffered to take up Land but by ye Consent & Lycence of ye Govr or proprietors under ye princes title.” Moreover, it was “Usual Practice of all Proprietrs to give their Indians Some Recompence for their Land & So Seems to Purchase it of them yet [that] is not done for want of Sufficient title from ye King or Prince who hath ye Right of Discovery but out of Prudence & Christian Charity.” In the months leading up to the Albany Conference in 1754, the Lords of Trade and Plantation recommended to the colonists “not make grants to any persons whatsoever of lands purchased by them of the Indians upon their own accounts,” but rather “when the Indians are disposed to sell any of their lands, the purchase ought to be made in His Majty’s name and at the publick charge.” See Proceedings of the Congress held at Albany, by the Commissioners of the several Provinces, &c., 19th June to 11th July, 1754, in DRCHNY, Vol. 6, p. 855.     160 privileges of ownership.”507 On the other hand, natural law philosophy also influenced the Court’s reasoning.508 English and Continental authorities such as John Locke, William Blackstone, Hugo Grotius, and Emerich de Vattel identified private property rights as inviolate or fundamentally independent of state sovereignty. This perspective identifies property rights as evolving from “within a prescribed legal order, an order which derives its validity not from the ultimate legislative authority but from the very community itself.”509 To divest individuals of their natural right to property without their consent violated the basic principles of social order.510 According to the latter of these two theories, the American Indians would have enjoyed full ownership rights to the land they possessed at the time of European settlement. “Occupancy,” William Blackstone wrote, “. . . is the true ground and foundation of all property, or of holding those things in severalty, which by the law of nature, unqualified by that society, were common to all mankind.” 511 However, as William Bassett points out, “there were really two natural law theories, one of property in an evolved society, the other a theory of the evolution of persons and society itself.” “The appearance and protection of law,” according to Bassett, “coincided historically with the stage at which primitive man settled in one place to live upon and cultivate the                                                              507 Charles Hyde, International Law, Chiefly as Interpreted and Applied by the United States, 2nd rev. ed., Boston : Little, Brown, 1947, Vol. 1, p. 650, as quoted by L. Benjamin Ederington, “Property as a Natural Institution: The Separation of Property From Sovereignty in International Law,” American University International Law Review, Vol. 13, No. 2 (1997): p. 273. 508 For example, in Fletcher v. Peck, as James Ely points out, “Marshall ambiguously cited both the Contracts Clause and the ‘general principles,’ which are common to our free institutions.’” See James W. Ely, Jr., “The Marshall Court and Property Rights: A Reappraisal,” John Marshall Law Review, Vol. 33, No. 4 (Summer, 2000): p. 1048. 509 Quoted by Ederington, “Property,” p. 299. 510 Section 14, Article 3 of the Northwest Ordinance is a perfect example of this natural law theory. 511 William Blackstone, Commentaries on the Laws of England, 3rd ed., Vol. 2, Oxford: Clarendon Press, 1768, p. 258 [emphasis added].     161 soil.”512 The consequence of this view positioned Indians as too primitive in the stages of civilization to enjoy exclusive rights to occupancy and possession.513 Rooted in Enlightenment-era thought and colonial discourse, this staged analysis of history had become conventional wisdom during the eighteenth century.514 In Johnson, the U.S. Supreme Court incorporated this historiographical theory into legal doctrine. While the tribes retained residual sovereignty following the European conquest of North America, they lost full ownership rights to the lands they occupied. The sovereign settler state gained “ultimate dominion” by virtue of discovery while “[c]onquest,” Marshall wrote, “gives a title which the Courts of the conqueror cannot deny.”515 The Johnson decision—by establishing the root of all land titles in the U.S. government—virtually erased Indian title from American history.516 Accordingly,                                                              512 William W. Bassett, “The Myth of the Nomad in Property Law,” Journal of Law and Religion, Vol. 4, No. 1 (1986): pp. 135, 144. 513 Ibid. p. 144. 514 “Law in particular,” wrote Scottish philosopher Lord Kames in 1758, “becomes then only a rational study, when it is traced historically, from its first rudiments among savages through successive changes to its highest improvements in a civilized society.” See Henry Home, Lord Kames, Historical Law-Tracts, Union, N.J.: Lawbook Exchange, 2000, p. v. In 1758, French lawyer and parliamentarian Antoine Yves Goguet described law’s historical stages of development in his treatise on the origin of laws: There was a time when mankind derived their whole subsistence from the fruits which the earth produced spontaneously, from their hunting, fishing, and their flocks. This kind of life obliged them often to change their abode, consequently they had no dwelling place or settled habitations. Such was the ancient manner of living, till agriculture was introduced; in this manner several nations still live, as the Scythians, Arabians, Savages, etc. The discovery of agriculture introduced a different set of manners. Those nations who applied to that art, were obliged to fix in a certain district. They built and inhabited cities. This kind of society having need of many more arts than were necessary for those . . . ignorant of agriculture, most of course also need many more laws. See Antoine Yves Goguet, De L'Origine des Lois, Des Arts, et Des Sciences, et De Leurs Progrès Chez les Anciens Peuples, Eng. trans., Edinburgh: Donaldson and Reid, 1761, as quoted by Bassett, “Myth,” p. 146. 515 Johnson, p. 588. 516 Although having declined precipitously following the Royal Proclamation of 1763, which barred the private purchase of Indian lands, the process of tracing property titles to Indian ownership ceased altogether with the Johnson decision. Today, the only method of tracing the history of a particular section of real property to its root Indian title is to locate the relevant treaty (which include detailed legal descriptions) in which the tribe ceded the land in question. Some historical organizations have compiled data sets from land office records listing Indian lands sold at public auction; see, for example, the Indiana Commission on Public Record’s “Indian Lands Noted on the LaPorte-Winamac Land Office [1833-1855],” available at http://www.in.gov/icpr/2611.htm (accessed 6 August 2011).     162 “Indian lands could be depopulated of their inhabitants and expropriated to a higher and more productive use without violation of any legal or ethical principle.”517 During the first quarter of the nineteenth century, American jurists convinced themselves that the division of Indian-settler property rights had resulted out of fundamental necessity. “[T]o mix with [the Indians], and admit them to an inter- community of privileges,” James Kent wrote in 1828 “was impossible under the circumstances of their relative condition.” Instead of recognizing their equality under the law, “[t]he peculiar character and habits of the Indian nations, rendered them incapable of sustaining any other relation with the whites than that of dependence and pupilage.”518 In Johnson, Marshall had made this division quite clear: Humanity . . . has established, as a general rule, that the conquered shall not be wantonly oppressed, and that their condition shall remain as eligible as is compatible with the objects of the conquest. Most usually, they are incorporated with the victorious nation, and become subjects or citizens of the government with which they are connected. The new and old members of the society mingle with each other; the distinction between them is gradually lost, and they make one people. Where this incorporation is practicable, humanity demands, and a wise policy requires, that the rights of the conquered to property should remain unimpaired; that the new subjects should be governed as equitably as the old, and that confidence in their security should gradually banish the painful sense of being separated from their ancient connexions, and united by force to strangers.519 In contrast: the tribes of Indians inhabiting this country were fierce savages, whose occupation was war, and whose subsistence was drawn chiefly from the forest. To leave them in possession of their country, was to leave the country a wilderness; to govern them as a distinct people, was impossible,                                                              517 Bassett, “Myth,” pp. 134-135; also see Albert S. Miles, et al., “Blackstone and American Indian Law,” Newcastle Law Review, Vol. 6, No. 1 (2002): pp. 99-100. 518 Kent, Commentaries, Vol. 3, p. 310. 519 Johnson, p. 589.     163 because they were as brave and as high spirited as they were fierce, and were ready to repel by arms every attempt on their independence.520 Whereas the doctrine of acquired rights—itself a venerable international norm of natural law theory—evolved with particular emphasis on the preservation of private property, this applied only to “civilized” inhabitants.521 Despite their customary differences, by the early nineteenth century, private property had established a common interest among the European inhabitants and the new American settlers. On the other hand, since American Indians—as “wandering nomads” too “primitive” to settle and cultivate the soil—were incapable of legally possessing land, natural law failed to protect their ownership rights by occupancy. In 1831, the High Court undertook its first extended analysis of tribal legal status in Cherokee Nation v. Georgia.522 The case centered on whether or not the Tribe constituted a “foreign state” for the Court’s purposes of determining the validity of a Cherokee injunction against the State of Georgia to prevent it from imposing its laws over the Tribe’s territory.523 In a fractured decision, Marshall emphasized the diminished rights of tribal sovereignty and Indian title to real property, effectively denying the Cherokee Nation their “foreign” status:                                                              520 Johnson, p. 590. 521 Chief Justice John Marshall memorialized this principle of continuity as applied under the laws of state succession in the 1833 case of U.S. v. Perchman: [I]t is very unusual, even in cases of conquest, for the conqueror to do more than to displace the sovereign and assume dominion over the country. The modern usage of nations, which has become law, would be violated; that sense of justice and of right which is acknowledged and felt by the whole civilized world would be outraged, if private property should be generally confiscated, and private rights annulled. The people change their allegiance; their relation to their ancient sovereign is dissolved; but their relations to each other, and their rights of property, remain undisturbed. See U.S. v. Perchman (32 U.S. 86-87), as quoted by D.P. O’Connell, State Succession in Municipal Law and International Law, Vol. 1: Internal Relations, Cambridge: Cambridge University Press, 1967, p. 240; also see McNeil, Aboriginal Title, pp. 249-250. 522 Cherokee Nation v. Georgia, 30 U.S. 1. (1831). 523 Miller, “Doctrine,” p. 70.     164 [I]n any attempt at intercourse between Indians and foreign nations, they are considered as within the jurisdictional limits of the United States. . . . [T]hey occupy a territory to which we assert a title independent of their will, which must take effect in point in possession when their right of possession ceases. Meanwhile, they are in a state of pupilage. Their relation to the United States resembles that of a ward to his guardian.524 In essence, although an Indian tribe remained a “distinct political society . . . capable of managing its own affairs,” and whose laws and customs were to remain undisturbed for purposes of self-government, these were qualified rights, subject to the plenary power of the United States government.525 Marshall’s dicta (and the general ambiguity of his opinion) left many issues unresolved following the Cherokee decision. In particular, the Court largely failed to answer the question of whether the state or the federal government held the exclusive authority to regulate intercourse with the American Indian tribes. In 1832, the Marshall Court attempted to settle the uncertainty. In Worcester v. Georgia, the Court considered whether or not the state could extend its criminal laws over missionaries (including the appellant Samuel Worcester) legally residing on Cherokee lands by authority of the U.S. government and the Tribe.526 In short, the Court held that the Cherokee Nation was a “distinct community, occupying                                                              524 Cherokee Nation, p. 17, as quoted by Miller, “Doctrine,” pp. 70-71. In contrast to this decision, see Marshall’s 1828 opinion in American Insurance Co., v. Canter, 26 U.S. 511 (1828), concerning the acquired rights afforded to those inhabitants of a territory ceded to the United States: Their relations with their former sovereign are dissolved, and new relations are created between them and the government which has acquired their territory. The same act which transfers their country, transfers the allegiance of those who remain in it, and the law, which may be denominated political, is, necessarily, changed; although that which regulates the intercourse and general conduct of individuals, remains in force, until altered by the newly created power of the state. 525 Cherokee Nation, p. 16. 526 Worcester v. Georgia, 31 U.S. 515 (1832). For an extended treatment of the case and its aftermath, see Joseph C. Burke, “The Cherokee Cases: A Study in Law, Politics, and Morality,” Stanford Law Review, Vol. 21, No. 3 (Feb., 1969): pp. 519-531.     165 its own territory . . . in which the laws of Georgia can have no force.”527 However, Marshall backtracked from the Johnson and Cherokee decisions: America, separated from Europe by a wide ocean, was inhabited by a distinct people, divided into separate nations, independent of each other and of the rest of the world, having institutions of their own, and governing themselves by their own laws. It is difficult to comprehend the proposition, that the inhabitants of either quarter of the globe could have rightful original claims of dominion over the inhabitants of the other, or over the lands they occupied; or that the discovery of either by the other should give the discoverer rights in the country discovered, which annulled the pre-existing rights of its ancient possessors.528 Two days after Marshall delivered his opinion in Worcester, the U.S. Supreme Court ordered Georgia to release the missionaries. Georgia failed to comply and without a written refusal from the state court, Marshall and his colleagues could not enforce their decree.529 In effect, the ostensibly non-binding decision in Worcester created a legal vacuum. So far as Georgia was concerned, the doctrinal foundations had already been laid and, by the early 1830s, the idea of limited federalism in American Indian law had taken firm root among the several states. State jurisdictional authority over the Indian tribes would become the de facto law of the land.530 In sum, the sources of legal authority for many of the western states in regulating American Indians consisted of a variety of resourcefully selected international law                                                              527 Worcester, p. 561. 528 Ibid. pp. 542-543. 529 Burke, “Cherokee Cases,” pp. 524, 526. 530 Garrison, Legal Ideology, p. 197. Georgia Governor Wilson Lumpkin considered the ruling in Worcester a “usurpation” of the state sovereignty and intended to confront the decision “with determined resistance.” As quoted in Ibid. p. 191. Georgia’s official view on the case was that “the right of the State to pass this law [prohibiting whites from residing on Cherokee lands], results as a necessary consequence to the right which she has to the soil, and jurisdiction over Cherokee lands.” See Report of the Committee on the State of the Republic, Presented to the Legislature of Georgia, 15 December 1831, in George R. Gilmer, Sketches of Some of the First Settlers of Upper Georgia, of the Cherokees, and the Author, New York: D. Appleton and Co., 1855, p. 431.     166 principles, treaties, colonial, territorial, and state statutes, and other texts. Paradoxically, however, while English, Continental, and American legal authorities—including Blackstone, Vattel, and Kent—provided the intellectual basis of Indian law and policy, tribal laws and customs possessed little probative force in determining American Indian status at common law. With legal precedence from colonial, territorial, and early state judicial decisions, an “equal footing” position with the original thirteen states, reconstructed doctrines of “discovery” and “pre-emption” from the Marshall Court, and little resistance from Congress, Indiana and other states carved out of the Old Northwest proceeded to regulate American Indians with their newly-defined legal authority. Beyond Worcester: A Survey of American Indian Law and Policy in Indiana   During the first quarter-century of statehood, land acquisition was the principal object of Indiana policy. In 1816, a majority of the state’s future land base remained in tribal possession. Following the string of treaties entered into between 1803 and 1809, the Miami retained control of most of the central region and the Potawatamies commanded the north. However, following the War of 1812, both tribes found themselves as conquered peoples behind the settler frontier and their only claim of defense against the American authorities was the title to land. Future treaty negotiations would be critical to their cultural survival and political autonomy.531 Despite the existing rivalry among Indiana’s leading political parties, Whigs and Democrats alike maintained a general consensus when it came to issues such as funding                                                              531 Rafert, Miami Indians, p. 78. For a map of state landholdings in 1816, see Ibid. p. 67.     167 Map 4. First State Map of Indiana, by John Melish, 1817, from Indiana Historical Society Map Collection (Digital Images Collection #007).   internal improvements, expediting Indian removal, and securing liberal policies for the distribution of the public domain.532 Under the Enabling Act of 1816, Congress retained the exclusive authority to extinguish Indian title, dispose of public lands, and manage                                                              532 Carmony, Indiana, p. 514.     168 settlement.533 Local practice, however, often failed to conform. The slow pace of the federal land survey system and the tenacity with which the Indian tribes defended their land—despite growing pressure for removal—encouraged the western states to initiate policy change through both internal measures and petitions to Congress. The first step in the process of acquiring land was to extinguish Indian title. Long used by the British and other European imperial powers as an instrument of diplomacy and means of recognizing tribal customary rights to land and self-government, the Indian treaty became, during the early nineteenth century, an effective and cost-efficient mechanism for transferring legal title. One of the first treaties concluded after Indiana statehood took place with the Miami Tribe at St. Mary’s, Ohio on 6 October 1818.534 Indiana Governor Jonathan Jennings, Michigan Territorial Governor Lewis Cass, and Indiana federal district court judge-turned-Indian agent, Benjamin Parke negotiated the terms of agreement with the Tribe for the purchase of lands covering most of central and portions of northern Indiana, totaling nearly 4.3 million acres. At the insistence of Miami chief Jean Baptiste Richardville, the Treaty created what became known as the “Miami National Reserve” (or “Big Miami Reservation”), an 875,000 acre tract of land located in north central Indiana. Additional provisions reserved six villages and twenty-four                                                              533 In Indiana, as with other states of the Old Northwest, the legal basis of the land system came from the territorial Ordinances of 1785 and 1787. The 1785 Land Ordinance provided for the survey of lands and specific policies for sales and distribution after Indian title had been extinguished. Section 10, article 4 of the 1787 Northwest Ordinance provided that “[t]he legislatures of those districts or new States, shall never interfere with the primary disposal of the soil by the United States in Congress assembled, nor with any regulations Congress may find necessary for securing the title in such soil to the bona fide purchasers.” Moreover, “[n]o tax shall be imposed on lands the property of the United States; and, in no case, shall nonresident proprietors be taxed higher than residents.” 534 “Treaty with the Miami,” 6 October 1818, in Charles Joseph Kappler, ed., Indian Affairs: Laws and Treaties: Vol. 2, “Treaties,” Washington: Govt. Print. Office, 1903 [hereinafter Kappler, Indian Affairs, Vol. 2], pp. 171-174. A treaty with the Delaware Tribe was held three days prior at the same location; see Ibid. pp. 170-171.     169 individual plots of land for the Miami tribe.535 That Richardville was instrumental in securing these lands—despite the efforts of his American counterparts—is evident in Parke’s ensuing correspondence with Secretary of War John Calhoun. In his letter, Parke described Richardville as “avaricious, Shrewd, acquainted with the value of property, and his manners those of a well bred gentleman.”536 Although “decidedly in favor of the treaty,” Richardville was, according to Parke, nevertheless “anxious to provide for himself, and his selfish views had the sanction of the chiefs of the Mississinniway Town, without whose concurrence a treaty could not be obtained.”537 The individual allotments were a new feature of the U.S.-tribal treaty system. Used during the colonial period, the practice of granting tracts of land in fee simple had been revived by Thomas Jefferson to promote the benefits of American land tenure.538 Others, however, were less concerned with assimilation through private property than with tribal removal and complete cession of Indian lands.539 Benjamin Parke considered the “precedent” as having a potentially “injurious influence on future negociations.”540 Nevertheless, the system had enduring consequences on collectively-held tribal lands. As historian Stewart Rafert observes, “the individual treaty grants were the beginnings of the                                                              535 Ibid. p. 172; Also see Rafert, Miami Indians, p. 80. 536 Letter of Benjamin Parke to Sec. of War, John Calhoun, dated 7 December 1818, Benjamin Parke Papers, 1816-1818, Indiana Historical Society. 537 Ibid. 538 Normally, Indian land sales required the approval of the U.S. president. In rare circumstances, however, treaty provisions exempted Indians from this process when conveying their individual reserves to private purchasers. The single exemption under the 1818 St. Mary’s Treaty was the grant made to John B. Richardville; all others were subject to approval by the president. 539 Under this view, according to Deborah Rosen, “the presence of separate Indian communities within the state impeded white settlement, migration, use of natural resources, and implementation of transportion projects.” In addition, “the federal government was likely to assert authority over distinct Indian communities,” thus “depriving states of control over both the Indian lands and the Indians themselves.” See Rosen, American Indians, p. 15. 540 Letter of Parke to Calhoun, 7 December 1818.     170 allotment system and the eventual breakup of Indian lands held in common across the United States.”541 By the 1820s, Indiana lawmakers had generally agreed with Parke’s sentiments. Not only had the federal government’s civilization policy faded but also westward migration and large-scale speculation in tribal lands had intensified Indiana officials’ efforts to clear northern portions of the state for settlement and internal improvements.542 In 1824, the Indiana General Assembly passed a “Joint Resolution on the subject of extinguishing the Indian title to lands within the state.”543 The goal was to “facilitate the intercourse of the whole western country with the eastern and middle states; increase in a great degree, the population of the northern section of this state; tend to improve the navigation of . . . rivers in the interior, and further the grand object of effecting a canal communication between the waters of the Ohio and the lakes.” In October of 1826, Indian Agent John Tipton, along with Michigan Territorial Governor Lewis Cass and Indiana Governor James Brown Ray, commenced treaty negotiations with the Miami and Potawatamie tribes to clear additional portions of land in northern Indiana for construction of the Michigan Road and Wabash and Erie Canal.544                                                              541 Rafert, Miami Indians, p. 81. Culminating in the 1887 General Allotment (or “Dawes”) Act, the allotment system attempted to acculturate American Indians through private property indoctrination by dividing tribal lands into individual parcels. See Act of 8 Feb. 1887, 49th Cong., 2nd sess., ch. 119, Statutes at Large: pp. 388-391. 542 Rafert, Miami Indians, p. 91. For a detailed discussion of the federal government’s “civilization” policy and programs in Indiana, see Joseph A. Parsons, Jr., “Civilizing the Indians of the Old Northwest, 1800- 1810,” Indiana Magazine of History, Vol. 56, No. 3 (Sept., 1960): pp. 195-216; also see Reginald Horsman, “American Indian Policy in the Old Northwest, 1783-1812,” William and Mary Quarterly, Vol. 18, No. 1 (Jan., 1961): pp. 35-53. 543 Act of 26 January 1824, Special Acts of the State of Indiana, 8th sess., p. 112. 544 See generally Juanita Hunter, “The Indians and the Michigan Road,” Indiana Magazine of History, Vol. 83, No. 3 (Sept., 1987): pp. 244-266. For respective treaties, see Kappler, Indian Affairs, Vol. 2, pp. 273- 277 (Potawatamie), 278-281 (Miami).     171 Neither tribe conceded readily. For the Miami, Chief Le Gros addressed the three commissioners: The land we have we wish to keep to live on—it was given to us by the Great Spirit for the means of our subsistence. . . . It was told us by our forefathers, that we should stay on the land which the Great Spirit gave us, from generation to generation, and not leave it.545 However, in realizing that concessions had to be made, both tribes made demands of their own. In exchange for approximately 925,000 acres of land (less than a quarter of the land ceded under the 1818 Treaty of St. Mary’s), Tipton and his colleagues agreed, on behalf of the U.S. Government, to immediately distribute over thirty thousand dollars worth of goods and wares, assume Miami and Potawatamie trading debts (totaling nearly seventeen thousand dollars), increase tribal annuities payments, and donate large herds of cattle and livestock.546 Although Tipton achieved only modest concessions, the treaties created numerous individual grants (eighty-six to the Potawatamie and twenty to the Miami), which fragmented tribal lands into small village reserves. The results led to greater tribal dependence on trade in place of traditional subsistence hunting and collective farming. Falling deeper into debt, many allottees eventually sold their reserves to satisfy local creditor-traders.547 With a significant portion of Indiana’s Indian title extinguished, the Treaties of 1818 and 1826 set the stage for removal. Between 1829 and 1831, the Indiana legislature                                                              545 As quoted in Raftert, Miami Indians, p. 92. 546 In addition, the commissioners agreed to provide the Potawatamie with a grist mill, several laborers to work for the tribe, and additional funding for the education of Potawatamie children at the Choctaw Academy. The Miami were to receive an additional forty thousand dollars worth of goods and wares over the next two years and a house for each of the nine chiefs valued at six hundred dollars each; see Paul Wallace Gates, “Introduction,” in Armstrong Robertson and Dorothy Riker, eds., The John Tipton Papers [hereinafter cited as Tipton Papers], Vol. 1, Indianapolis: Indiana Historical Bureau, 1942, pp. 14-16; and Rafert, Miami Indians, pp. 92-93. 547 Ibid. pp. 94-95.     172 passed a flurry of Indian removal legislation, petitioning Congress to extinguish remaining Miami and Pottawatomie land titles in the northern part of the state.548 For example, on 29 January 1830, the General Assembly passed a joint resolution for purposes of “extinguishing the Indian title to lands within this state, and of removing the Indians beyond the Mississippi.”549 In order “to avert from the Potawatamies and Miamies, the fate which has attended many of their kindred tribes,” the memorial urged “the adoption of measures, to induce the Indians . . . to abandon . . . their narrow forests . . . and to emigrate to the country . . . which is so much better adapted to their wants and habits.”550 In “regard for the national reputation” and out of “humane and philanthropic consideration,” state legislators justified their arguments for removing the Indians who possessed “neither the knowledge nor inclination to change their native customs.”551 Anxious to move forward with a “general system of internal improvement,” the General Assembly petitioned Congress again on 31 December 1830, requesting “the passage of an act . . . authorizing the total extinguishment of the Indian title to lands within the jurisdiction of the state.”552 With little success following then recent treaty negotiations, state legislators exhibited a greater willingness to employ manipulative rhetoric in their resolution. According to the Memorial, the tribal occupied lands were “of the very best soil of the state . . . which from general report they [the tribes] are anxious to sell.”553 Three years later, the General Assembly petitioned Congress again                                                              548 Ibid. p. 95; Also see Bert Anson, The Miami Indians, Norman: University of Oklahoma Press, 1970, p. 274. Not until 1832, however, did Congress make an appropriation “for the purpose of holding Indian treaties, and . . . extinguishing Indian title, within the state of Indiana,” Illinois, and the Michigan Territory; see Act of 9 July 1832, 22nd Cong., 1st Sess., ch. 175, Statutes at Large, p. 564. 549 Act of 29 January 1830, Laws of the State of Indiana, 14th sess., p. 176. 550 Ibid. p. 177. 551 Ibid. 552 Act of 31 December 1830, Laws of the State of Indiana, 15th sess., p. 181. 553 Ibid; emphasis added.     173 following a series of unsuccessful treaty negotiations with the Miami Tribe. Faced with increasing pressure in the construction of the Wabash and Erie Canal—portions of which were to pass “through the lands belonging to said nation”—the memorialists hoped “to induce such an appropriation . . . deem[ed] expedient . . . to the attainment of so desirable an object.”554 The General Assembly petitioned Congress yet again with a joint memorial passed on 6 January 1834, praying “that the title of the Miami tribe of Indians to land within the . . . state should be speedily extinguished.”555 Hoping to permanently resolve treaty negotiations with the Tribe, which the “commissioners of the general government [had] failed to treat,” the memorialists requested “that a private treaty . . . could be made with less expense by giving the agent of the Wabash agency, or some other competent individual, power to treat with said tribe of Indians at any time he may chose, for land or any part thereof.”556 There is no indication that Congress approved these terms; however, in the Miami and Potawatamie treaties of 1834, local merchants and Indian traders such as Allen Hamilton and Cyrus Taber served as “commissioners” or sub-agents to assist with the negotiations.557 The process of Indian removal in Indiana was not a unilateral action by Congress, but rather—as the above petitions illustrate—a direct initiative of the state. Over the course of the following decade, Indiana expedited the extinguishment of Indian title to a majority of tribal lands in the state. To clear lands for internal improvements and to accommodate the rush of American settlers, a series of treaties from 1834 to 1840                                                              554 Act of 18 January 1833, Laws of the State of Indiana, 17th sess., p. 244. 555 Act of 6 January 1834, Laws of the State of Indiana, 18th sess., p. 375. 556 Ibid. 557 See “Treaty with the Miami,” 23 October 1834 and “Treaty with the Potawatamie,” 4 December 1834, in Kappler, Indian Affairs, Vol. 2, pp. 425-428, 428-429.     174 accelerated the path to Indian removal. The results of the 1838 Treaty with the Miami had particular consequences on the legal status of the tribe.558 Although reserving large portions of the Great Miami Reserve, the Treaty created forty-three individual land grants, further fragmenting tribal landholdings against the rising tide of encroaching settlers.559 Although most conveyances remained contingent upon presidential consent, the approval process became an administrative technicality in the grand scheme of things. Indian agents simply made favorable recommendations in their reports to the president. In effect, many of these transactions circumvented the M’Intosh rule barring the private purchase of Indian lands. In contrast to the federal statutory methods of land acquisition and disposal—which included congressional acquisition by treaty cession, survey, and sale at public auction—individual allotments were alienable in fee simple, and thousands of acres of land never became part of the public domain in Indiana.560 Numerous instances of private conveyance illustrate the efficiency with which tribal reserves passed into the hands of Indian agents, local merchants, and land speculators in Indiana. Shortly after the Miami Treaty of 1826, John Tipton persuaded                                                              558 Treaty provisions exempted the tribe from removal; however, the Miami conceded to sending a delegation of chiefs to the Kansas Territory to explore potential new reservations, which the United States “stipulate[d] to . . . guarranty to them forever . . . when the said tribe may be disposed to emigrate from their present country.” Article 6 of the treaty provided that no “person or persons other than the members of said Miami tribe, who may by sufferance live on the land of, or intermarry in, said tribe, have any right to the land or any interest in the annuities of said tribe, until such person or persons shall have been by general council adopted into their tribe.” To prevent outsiders from interfering with or subverting tribal affairs, regulating membership was critical to Miami self-government. Paradoxically, however, these measures forced the Miamis to create deeper ethnic divisions by excluding many of the French and métis with whom the tribe had maintained strong ties in the past. See “Treaty with the Miami,” 6 November 1838, in Kappler, Indian Affairs, Vol. 2, p. 521. 559 For individual tribal land grants, see Rafert, Miami Indians, p. 97. 560 Paul Wallace Gates, History of Public Land Law Development, Holmes Beach, Fla.: Gaunt, 1987, p. 452. Gates indicates that “[i]n the two states of Indiana and Alabama alone 550,000 acres were thus patented.” See Gates, “Introduction,” in Tipton Papers, Vol. 1, pp. 17-18, 43-44. See, for example, the numerous deeds and related legal documents in the Allen Hamilton Papers, Indiana Historical Society.     175 Chief Le Gros to leave him more than twenty-five hundred acres of land in his last will and testament.561 On 17 September 1828, Mary St. Coub, “a part Pottawattimie Indian,” and her husband Louis, executed a deed to Allen Hamilton for “one quarter section of land” located in Allen County “in consideration of the sum of Two hundred dollars.”562 Two weeks later, Hamilton conveyed the same tract of land to Hugh Hannah “for and in consideration of the sum of Three hundred dollars.”563 On 18 February 1835, Sheaupo Truckey, “a Potowatomie Indian woman,” conveyed her tract of land to Cyrus Tabor for the “sum of eighteen hundred dollars.”564 Occasionally, for reasons of their own, the Indians were instrumental in these transactions. Identified as an “authorized interpreter,” John B. Richardville translated and witnessed a deed of conveyance from Met-chin-e-qua to Hamilton and Tabor on 16 March 1838.565 At the same time, Hamilton and Tipton were equally keen on securing Richardville’s reserves. On 21 November 1838, Richardville, in his capacity as “principle chief of the Miami Nation,” quitclaimed six sections of land to Allen Hamilton. Each parcel of land had been “granted by the provisions of the Treaty made between the United States and the Miami Nation” in 1834.566                                                              561 Apparently, when the bequest became known upon Le Gros’s death, public criticism compelled Tipton to compensate the Chief’s heirs four thousand dollars for the land he had received; see Tipton Papers, Vol. 1, p. 19. 562 Mary and Louis St. Coub to Allen Hamilton, Warranty Deed dated 17 September 1828, Allen Hamilton Papers, Indiana Historical Society. According to the deed, the President had approved the sale on 3 April 1828. For the original grant to Mary St. Coub, see “Treaty with the Pottawatomi,” 16 October 1826, Kappler, Indian Affairs, Vol. 2, p. 277. 563 Allen Hamilton to Hugh Hannah, Quitclaim Deed dated 10 October 1828, Allen Hamilton Papers. 564 Sheaupo Truckey to Cyrus Tabor, Deed dated 18 February 1835, Allen Hamilton Papers. For the original grant to Truckey, see “Treaty with the Pottawatomi,” 27 October 1832, Kappler, Indian Affairs, Vol. 2, p. 373. 565 Met-chin-e-qua to Allen Hamilton and Cyrus Tabor, Warranty Deed dated 16 March 1838, Allen Hamilton Papers, Indiana Historical Society. 566 John B. Richardville to Allen Hamilton, Quitclaim Deed dated 21 November 1838, Allen Hamilton Papers, Indiana Historical Society; also see Tipton Papers, Vol.1, pp. 43-44.     176 Despite the frequency with which these questionable transactions occurred, they had not gone unnoticed. By 1835, accusations of fraud and corruption directed at the Indian agency had spread to such an extent that the U.S. House of Representatives responded. On 12 January, Representative Jonathan McCarty of Indiana introduced a resolution calling for the investigation of “all agents and sub-agents . . . connected with . . . the survey, locations, sales, and transfers of all Indian reserves of lands since the year 1825.”567 Speculation in tribal lands had apparently become so widespread, rumors circulated that “a stock company had been formed for the purchase of Indian reserves, consisting of a capital of $100,000 in shares . . . and that there was one individual who had subscribed $5,000 . . . in services, by exercising his influence, and certifying that the transactions were fair and honorable.”568 Although McCarty refused to implicate specific agents by name or agencies by location, his state colleague, Representative Amos Lane, was “led to suppose . . . that the frauds which rumor had thrown upon the public, had taken place in Indiana.”569 Although several representatives had initially expressed concern over the expense of such an investigation, the House adopted a Resolution on 2 February 1835.570 Despite the Resolution’s passage, apparently no report materialized addressing the problems the House had intended to remedy. In fact, the systematic                                                              567 Because these transactions required presidential approval, Rep. McCarty was careful not “to cast any imputation upon the Executive.” See Congressional Globe, 23rd Congress, 2nd sess., p. 155. 568 Ibid. 569 Ibid. p. 156. Without referring directly to John Tipton, McCarty asserted that he had “made no charge against the agent in Indiana.” See Ibid. p. 187. The Representative was, however, more direct when it came to protecting the private property interests of his State’s constituency: “[A] good many reserves were made by the [Miami] treaty of 1826, in Indiana, to the minor Indian children of a particular school. Those children have mostly gone from the country, and it is believed that their lands, or many of them, have been transferred; if so, the titles may be questioned, and innocent purchasers may suffer.” See Ibid. p. 186. The “particular school” in reference was the Carey Mission School of St. Joseph County; see Tipton Papers, Vol.1, p. 18. 570 For the full text of the Resolution as adopted and corresponding votes, see United States, House Journal, 23rd Cong., 2nd Sess., pp. 312-313.     177 conveyance of Indian reserve grants continued throughout most of the nineteenth century.571 Regardless of the means by which Indiana secured title, the overwhelming success in converting tribal lands to private property had given state lawmakers the confidence needed to assert complete jurisdiction over the Indians.572 Accordingly, the Indiana General Assembly had shifted its attention to regulating those Americans Indians that remained within state borders. During the early stages of the national removal crisis, Indiana politicians from both sides of the ideological aisle weighed in on the issue. The General Assembly’s spirited debate reflected the divisive nature of contemporary Indian affairs. On Saturday, 26 December 1829, Senator Stephen Stevens, Chairman of the Committee of the Judiciary, reported to the General Assembly on “the jurisdiction . . . and right of the state to extend over those tribes the operation of her laws.”573 Although acknowledging “the subject matter of inquiry” to be a “vexatious one,” Stevens regarded                                                              571 By the late 1880s, the validity of title to several of these tracts of land was still under question. In a letter dated 12 June 1888, Peru, Indiana attorney W.W. Sullivan asked A.H. Hamilton (Allen Hamilton’s son) for the original U.S. patent to Francis Godfroy for a particular reserve of land, which would have been “delivered to Allen Hamilton [as Godfroy’s] Executor.” “The Reserve is now owned by many persons,” Sullivan wrote, and “it is desired for the purpose of recording to perfect the chain of title to the several tracts.” Three days later, A.H. Hamilton replied that he could “find no such patent.” Obviously annoyed with the request, Hamilton wrote that “[e]very transaction of his [father’s] was authorized by the ‘Court,’” and “[w]hoever holds under those titles can have no better title,” for “time has remedied any defects.” See Allen Hamilton Papers, Indiana Historical Society. 572 In 1838, after several years of negotiations and periodic land cessions by treaty, Indian agent John Tipton led the Pottawatomie removal from Indiana, leaving the Miami the only remaining tribe interfering with settler expansion; see Rafert, Miami Indians, pp. 96, 97. For the series of treaties with the Pottawatomie Tribe between 1832 and 1836, see Kappler, Indian Affairs, Vol. 2, pp. 353-355, 367-370, 372-375, 402-415, 428-431, 450, 457-459, 462-463, 470-471. 573 Senate Proceedings, Indiana Journal, 30 December 1829, Iss. 345, col. d. For a biographical sketch of Stevens, see Rebecca A. Shepard, et al., eds., A Biographical Directory of the Indiana General Assembly, Vol. 1: 1816-1899, Indianapolis: Select Committee on the Centennial History of the Indiana General Assembly; Indiana Historical Bureau, 1980, pp. 371-372.     178 “the rights of the state, as a free and independent sovereignty,” to have formed “no well- founded difference of opinion.”574 The state, according to Stevens, “has an absolute right to supreme command, and to direct and control what ought to be done.” By invoking the “laws of nations, rights of sovereignty, sound policy, and principles of humanity,” Stevens supported the Committee’s position that “the laws of the state should be the rule of civil conduct . . . and that all manners of persons resident therein should be subject thereto.”575 However, while holding these “general principles” to be “incontrovertible,” Stevens cautioned their “application . . . to the Indian tribes.” “The measures adopted should be mild,” he argued, “and progressive in their operation—that those Indians should first have due notice, [and] . . . unless they remove without our limits . . . the operation of our laws will be extended over them.”576 Despite this conjecture of consensus, Stevens’s report failed to solicit the undivided endorsement of the Indiana General Assembly. The following month, Senator William Graham questioned the “right of the state to extend her laws over other nations, who have from time immemorial lived on their own soil; [and] who have been governed by their own laws and the customs of their fathers.”577 According to Graham, the Indian tribes “were nations who were strong and powerful, before the state of Indiana, or Great Confederation, had an existence.” He refuted such pretentious claims that “the government of the United States have guaranteed to the state of Indiana full sovereignty over everything within her acknowledged limits.” In attempting to distance his state from the germ of anti-federalist sentiment, Graham observed that “the new and popular                                                              574 Ibid. 575 Ibid. 576 Ibid. 577 Debate, Indiana Journal, 27 January 1830, Iss. 353, col. a. For a biographical sketch of Graham, see Shepard, Biographical Directory, p. 150.     179 doctrine of state rights . . . [being] the doctrine of a southern atmosphere . . . seems to be contagious, so much so, that we have it from the Presidential chair.”578 In an attempt to discredit Stevens’s report, Graham documented the continuity of tribal rights to self-government under the laws of state succession and the binding force of treaties. Invoking international legal conventions, Graham held it to be “universally admitted that no individual, body corporate, or sovereignty can transfer to another a better or [more certain] law than he, or they possessed at the time of making such transfer.”579 By virtue of legal inheritance, therefore, “the right which the government of the United States transferred to Indiana is precisely the right which she had received from the Crown of Great Britain,” a colonial power who had “always considered the Indians as nations, who had rights in common with other nations of the earth.” Moreover, “when the colonies declared themselves independent of Great Britain, they assumed no other or greater right to the soil or sovereignty of our country, than that which they had received from the mother country.” Under the law of nations, “the [Paris Peace] treaty of 1783, was only intended to cede to the United States, that nominal sovereignty which enabled that government to resist the encroachment of European powers.” In turn, “the United States have, since the formation of the government, considered the Indian tribes in a certain sense as independent nations.”580 To illustrate his point, Graham pointed to the federal government’s “right to make treaties, [which] has by all civilized nations been considered one of the strongest evidences of sovereignty.” Otherwise, it would have been “a perfect absurdity for this . . . government to appoint a minister plenipotentiary to treat with their own subjects . . .                                                              578 Ibid. 579 Ibid. 580 Ibid.     180 over whom they could [have] extend[ed] their laws at pleasure.” On the qualified right to sovereignty, Indiana “received her existence from the federal compact, and congress guaranteed to her certain limits.” Within that settler polity, concomitantly, “[t]here were nations of Indians whose rights had been guaranteed to them by treaty with that same government.” The state, therefore, had “no power under the federal compact, to extinguish Indian title, either to soil or to sovereignty, without being guilty of an act of rebellion against the general government.”581 Graham’s views failed to secure a foothold in Indiana political ideology. In 1839, state lawmakers devised an elaborate colonization scheme for the Miami tribe. That year, the General Assembly passed “An Act attaching certain territory to the counties therein, and for other purposes.”582 This inconspicuously titled measure was an exercise in complete territorial sovereignty over federally recognized tribal lands. The act extended certain portions of Carroll, Cass, Miami, Grant, and Hamilton Counties to encompass the boundaries of the Great Miami Indian reservation “for judicial purposes.”583 Each county, to which the reservation or “territory” was to be “temporarily attached,” could “exercise all the rights, privileges and jurisdictions . . . according to law in other cases.” Further provisions set forth the means to dissolve the existing tribal entity and incorporate the “territory” into Indiana civil government: “When the population . . . will warrant, [the territory] shall form . . . townships and order the elections of justices of the peace, and other . . . officers.” Moreover, the inhabitants of the territory were to                                                              581 Ibid. col. c. 582 Act of 16 February 1839, Laws of a General Nature, 23rd sess., pp. 75-76. In 1829, the State of Georgia passed a similar measure annexing Cherokee lands; see Gerard N. Magliocca, “The Cherokee Removal and the Fourteenth Amendment,” Duke Law Journal, Vol. 53, No. 3 (Dec., 2003): p. 885. 583 Act of 16 February 1839, pp. 75-76. For details on the land survey of the Miami National Reserve between 1838 and 1839, see George E. Wilson, Early Indiana Trails and Surveys, Indianapolis: Indiana Historical Society, 1986, pp. 85-88.     181 “exercise all the rights and privileges that other citizens of said counties [were] entitled to.” Upon reaching this transitional phase of government, the territory was to “form and constitute a separate county to be known and designated by the name of Richardville,” provided, of course, “at such time as the Indian title shall be extinguished.” Nevertheless, prior to consolidation, “[t]he circuit courts” were still permitted to exercise “jurisdiction and authority to try all offences committed within said territory in as full and ample a manner as if the Indian title to the same was extinguished.” Minor jurisdictional stipulations provided “that Indians residing within said territory [were] not [to] be subject to punishment for violations of the criminal laws . . . except in cases of grand and petit larceny . . . committed upon the property of citizens of this state.” In these instances, the accused Indian was to be “deemed and taken to be guilty . . . upon conviction . . . by a competent jury.”584 The justification with which Indiana lawmakers passed this internal colonization act clearly rested with those principles set forth by M’Intosh. By extending jurisdiction over tribal lands prior to extinguishing Indian title, Indiana lawmakers voiced their acceptance of the discovery doctrine and superior right of pre-emption powers. By process of territorial consolidation, Indiana could effectively grant lands to individual citizens “subject only to the Indian right of occupancy.” So long as Indiana prohibited the private purchase of Indian lands, Congress interfered little with these measures. Following this Act and under the increasing pressure of settler encroachment, the Miamis signed a treaty in 1840, relinquishing most of their remaining land within the Miami National Reserve.585 Chief Richardville and his “business advisor,” Allen                                                              584 Act of 16 February 1839, p. 76. 585 “Treaty with the Miami,” 28 November 1840, in Kappler, Indian Affairs, Vol. 2, pp. 531-534.     182 Hamilton, negotiated and drafted the terms of the treaty. Article one stipulated that the “Miami tribe of Indians, do hereby cede to the United States all that tract of land . . . commonly known as ‘the residue of the Big Reserve[,]’ [b]eing all of their remaining lands in Indiana.”586 Despite this language, several individual reserves and the tribally- held Meshingomesia reserve remained in Miami possession.587 “The treaty jargon,” Rafert suggests, “simply meant that the tribal government was to be moved west with a portion of the Miami people, and any lands remaining in Indiana, even if held in common, were supposedly no longer ‘tribal.’”588 Although a majority of the Tribe accepted removal, the treaty provided exemptions to the families of Francis Godfroy and Meshingomesia and granted individual tracts to Richardville and his son-in-law, Francis Lafontaine.589 However, with the seat of Miami government situated in the Kansas Territory, the legal status of the remaining Indiana Miamis was tenuous and uncertain. Soon after removal, the federal Indian agency left its post at Fort Wayne and Indiana lawmakers expected those individual Miamis who remained to incorporate themselves into the general population.590 Although state and federal officials contended that Indian title had been extinguished in Indiana, in 1846 Miami landholdings still amounted to nearly fifteen thousand acres.591 In addition, many individuals from the Tribe vigorously exercised                                                              586 Ibid. p. 531. 587 Ibid. p. 532. 588 Rafert, Miami Indians, p. 99. 589 See treaty articles 5, 7, and 10 in Kappler, Indian Affairs, Vol. 2, pp. 532, 533. 590 Rafert, Miami Indians, p. 116. 591 Ibid. p. 118. That same year, the U.S. House Committee on Private Land Claims reported a bill to Congress, which authorized a special board to adjudicate the nearly five thousand pending pre-emption claims, many of which involved conflicting settler interests. Congress enacted the bill, which authorized the Commissioner of the General Land Office “to determine, upon principles of equity and justice, . . . all [pending] cases of suspended entries . . . and to adjudge in what cases patents shall issue upon the same.” See Act of 3 August 1846, 29th Cong., 1st sess., ch. 78, Statutes at Large: pp. 51-52. Several petitions,     183 their legal rights under existing federal treaties and state laws to protect their land. For example, pursuant to the terms of the 1840 Treaty, Francis Godfroy left twenty-five hundred acres of land to his family, stipulating that it was “to remain unsold until the youngest of said children shall arrive at the age of twenty-one years.”592 Ozahshinquah, a Miami woman, owned a small reserve in addition to over eight hundred acres of land she had inherited from her husband Tahconah. Along a portion of the Mississinewa River, Meshingomesia and other family members owned in common a ten-square-mile reserve. John B. Richardville had bequeathed over 2,400 acres of land to his family in portions of Allen and Huntington Counties.593 Inevitably, however, the process by which the Indians were to “exercise all the rights and privileges [of] other citizens” under the 1839 Act, subjected them to further legal reforms once a majority of tribal lands had been ceded and the state considered its jurisdiction to extend in full. Taxation of tribal lands previously exempt initiated the state’s new regulatory scheme. On 15 February 1841, the Indiana General Assembly approved “An Act for the relief of owners of Indian reservations.”594 The measure made it “lawful for any of the owners of such reservations, at any time before the first day of December 1841, to pay to the collector of the state tax for the year 1841.” Only a few months prior to this Act’s passage, the state supreme court had decided a case concerning the taxation of Indian                                                                                                                                                                                   however, involved tracts of Indian lands “for which the treaty of cession had not been ratified at the time the pre-emption act was adopted.” Congress extended the Act until 3 August 1849 and revived it, again, on 3 March 1853 for a period of ten years. See Gates, Public Land Law, pp. 241, 242. 592 Kappler, Indian Affairs, Vol. 2, p. 532. 593 Rafert, Miami Indians, p. 118. 594 Act of 15 February 1841, General Laws of the State of Indiana, 25th sess., pp. 160-161. Indiana had passed at least two tax laws affecting tribal lands prior to this measure; see Act of 1 February 1834, Laws of the State of Indiana, 18th sess., p. 194, providing that taxes “annually be charged on all Michigan road lands which . . . have been reserved by any Indian treaty.” An 1841 “Act pointing out the mode of Levying Taxes,” subjected “all lands and town lots” to state taxation, including “all individual reserves of land, reserved to or for any individual, Indian or white, by any treaty between the United States and any Indian tribe or nation.” See Act of 12 February 1841, General Laws of the State of Indiana, 25th sess., pp. 34, 35.     184 reserves. In Frederickson v. Fowler, the issue before the Court was “whether the provision in the ordinance of 1816, exempting certain lands from taxes for five years from the time of sale” applied to a certain tract of land under an 1832 Pottawatomie Treaty with the United States.595 The tract of land was an individual grant to Tribal member John B. Chadana (or Chadanais), which he had in turn sold to Frederickson, the plaintiff. In his opinion, Judge Isaac Blackford held that “the land was subject to taxes” and that “[t]he exemption in the ordinance only applie[d] to lands sold by the United States,” which, according to the Court, was not the case under consideration. Rather, the sale concerned a parcel of land used in the construction of the Michigan Road, “which,” Blackford ruled, “expressly require[d] the taxing of such reserved lands” by statute.596 Seven years later, in Hanna v. Board of Comm'rs of Allen County, the Court held that “[t]he power of taxation is . . . an incident of sovereignty”597 “In the several states of the Union,” the opinion reads, “it extends to all subjects over which their sovereign power extends, and the sovereignty of a state extends to everything which exists by its own authority or is introduced by its permission.” Asserting absolute jurisdiction and superiority of title, the Court further contended that this power existed regardless of “the                                                              595 Frederickson v. Fowler, 5 Blackf. 409 (1840). The “ordinance of 1816” refers to Indiana’s Enabling Act. Section 6, part 5 of the Act stipulated “that every and each tract of land sold by the United States, from and after the first day of December next, shall be and remain exempt from any tax, laid by order or under any authority of the state, whether for state, county or township, or any other purpose whatever, for the term of five years, from and after the day of sale.” See Act of 19 April 1816, 14th Cong., 1st sess. ch. 57, Statutes at Large: p. 290. For the Pottawatomie Treaty of 27 October 1832, see Kappler, Indian Affairs, Vol. 2, pp. 372-375. 596 Frederickson, p. 409; See Act of 1 February 1834, Laws of the State of Indiana, 18th sess., p. 194, which levied taxes “on all Michigan road lands which have heretofore been sold, or which may hereafter be sold by the state of Indiana, and upon all lands within the limits of this state, which have heretofore been reserved by any Indian treaty to any individual or individuals.” 597 Hanna v. Board of Comm'rs of Allen County, 8 Blackf. 352 (1847).     185 different kinds of property to which it . . . applied, or the tenure under which such property is held.”598 In 1841, Indiana passed “An Act for the relief of the Miami and other Indians.”599 First, the measure repealed “all laws . . . which authorize[d] the issue and service of the writ of capias ad respondendum, so far as the Miami and other nations of Indians residing in the state . . . [were] concerned.” Second, the Act stipulated that “[i]n all cases . . . when suits may be commenced against any Indian . . . either in the circuit court, or before any justice of the peace, no other writ or process shall issue, except a common summons, and no bail shall be required.” Despite the terms of these legally enabling acts, the state certainly did not intend for these measures to be an equitable means of procedure for the Indians. In “cases where judgment shall be obtained” the Act abolished all writs “except a common fieri facias,” a court order that directed the sheriff to seize and sell the defendant’s property in order to satisfy the costs of judgment. While the Act failed to establish whether or not the execution of this writ included the seizure of land or real property (rather than personal property alone), Indiana statutory and common law had generally decided that it did.600 In light of these provisions, sections four and five of the 1841 Act created distinct racial and ethnic boundaries. The process of “common summons” was to be “extended to all persons of Indian descent, who are recognized as                                                              598 Although this case applied to lands already ceded by the Tribe, it laid the foundations for the taxation of individual Indian reserves. As a direct assertion of state jurisdiction over tribal lands and a challenge to the Tribe’s federally recognized status, Indiana taxed Miami lands for more than two decades following the Court’s decision in Hanna. Not until 1871 would the Supreme Court of Indiana reverse these practices in Meshingomesia v. State, 36 Ind. 310 (1871). 599 Act of 3 February 1841, General Laws of the State of Indiana, 25th sess., p. 134. 600 In Frakes v. Brown, Judge Blackford held that “[t]he writ denominated by us a fieri facias is an execution expressly commanding the sheriff to make the money of the goods and chattels, lands and tenements, of the debtor.” See 2 Blackf. 295 (1830). Also see Act of 30 January 1824, Revised Laws of Indiana, 8th sess., pp. 188-196 (“An Act subjecting Real and Personal Estate to Execution”). Also see Kent, Commentaries, p. 430.     186 members of any tribe residing in the state of Indiana, down to those having one-eighth Indian blood.” In turn, “[n]o white man or negro” was to “have the benefit of any of the legal remedies for the collection of debts . . . contracted by an Indian . . . and all contracts hereafter made” were to be “null and void.”601 State courts often supported legislation that regulated Indian land sales and contracts. In 1856, the Indiana Supreme Court upheld these statutory proscriptions as they applied to the Miami. In Lafontaine v. Avaline, the Court held that, while the 1841 Act imposed a disability on the sale and transfer of land, “these [legal] obstacles [were] designed for the Indian[s’] benefit” and to “shield them from the wiles and fraudulent practices of their more intelligent neighbors.”602 Three years later, however, Miami leader Gabriel Godfroy filed a complaint against Ebinezer Loveland in the Miami County Circuit Court for restitution of 185 acres of land, charging the defendant with fraudulently drafting the sales contract.603 In Godfroy v. Loveland, the jury found in favor of the plaintiff, “and that he [was] the owner and entitled to the possession of the real estate described in his complaint.”604 The Court agreed and ruled that Godfroy was “entitled to the possession of the same” and that he “do recover of said defendant EP Loveland . . . damages so found . . . together with his costs and charges in this behalf expended.”605                                                              601 Act of 3 February 1841, p. 134. 602 Lafontaine v. Avaline, 8 Ind. 6 (1856), at 10; also see Rosen, American Indians, pp. 62-63. 603 Section 14, article 2 of the Northwest Ordinance provided that “in the just preservation of rights and property, it is understood and declared, that no law ought ever to be made, or have force in the said territory, that shall, in any manner whatever, interfere with or affect private contracts or engagements, bona fide, and without fraud, previously formed.” 604 Godfroy v. Loveland, Miami Circuit Court, Order Book D (1859), p. 329; also see Stewart Rafert, The Miami Indians of Indiana: A Persistent People, 1654-1994, Indianapolis: Indiana Historical Society Press, 1996, p. 147. 605 Godfroy, p. 329.     187 In 1843, the General Assembly passed “An Act relative to suits against Miami Indians.”606 Sections one and two provided “[t]hat on the trial of all suits, actions, plaints or pleas in any of the circuit courts of this State . . . in which any member of the Miami Tribe . . . is or shall be [a] defendant . . . [he] shall be entitled to plead . . . without payment of costs.” In turn, “[a]ny member . . . of the said Miami tribe . . . against whom a judgment may be rendered . . . shall have the right to appeal . . . to the proper circuit court . . . without giving bond . . . or for the payment of . . . costs that have accrued.” The only property expressly “exempt from levy and sale under execution” included the “ordinary wearing apparel, and one hundred and fifty dollars valuation of the personal property of each member of said Miami Tribe of Indians (to be selected by them).” In other words, the Act left Miami lands subject to seizure in cases when the court rendered judgment against a member of the Tribe. Having established Indian reserves as a taxable land base and “relieving” the Indians of certain legal disabilities, the state turned its attention to regulating the sale, conveyance, and inheritance of Indian lands. Pursuant to the terms of the Miami Treaty of 1840, the General Assembly passed an act in 1846, which removed encumbrances on the Richardville and Lafontaine families “to sell and convey real estate.”607 The statute was further intended “to legalize any sales that may have been made by them . . . previous to the passage of this act.”608 In effect, such measures brought Indian land into                                                              606 Act of 11 February 1843, General Laws of the State of Indiana, 27th sess., pp. 37-38. 607 Act of 10 January 1846, Local Laws of the State of Indiana, 30th sess., p. 70. Specific individuals referred to in the Act include Francis Lafontain[e], Catherine Richardville, LaBlond Richardville, Susan Richardville, “and the widow and children of Francis Godfroy.” 608 The legislature intended for this retroactive provision to reconcile any disabilities imposed by a contracts clause under an 1841 act entitled “An Act for the relief of the Miami and other Indians,” which provided that “all contracts . . . made with Indians shall be null and void.” See Act of 3 February 1841, General Laws of the State of Indiana, 25th sess., p. 134. Seven days later, the General Assembly suspended this contracts provision for a term of five years, which was set to expire at the time of the 1846 Act; see     188 the settler market economy by making it readily available to speculators and private purchasers. In 1848, Indiana passed its most comprehensive land policy reform law affecting American Indians. By Act of 5 December, the General Assembly resolved “[t]hat all Miami Indians prohibited by law from alienating or encumbering lands in this State, may hereafter . . . file a petition in probate court of the county of Allen . . . praying the sale thereof.”609 Subject to the judge’s discretion, the court was to appoint an “agent to have the said land . . . be duly appraised . . . by two discreet freeholders . . . acquainted with the land—its quality and advantages.” “[U]pon the return of said appraisement” the court was to “order and decree a sale thereof.”610 Two provisions under the Act were particularly relevant to the state’s interests. In cases where the land belonged to an Indian minor, section three vested authority in the court, pursuant to the agent’s recommendation and petition, to order the sale and conveyance of such land for the child’s benefit, “or for the purposes of their education and support.” Under section four, the agent retained the authority to execute conveyances of tribal land in his name, which “operate[ed] as an effectual bar both in law and equity against such Indian or Indians.” The bar applied equally to Indian children, assuming the “proceedings [were] conducted in good faith and                                                                                                                                                                                   ibid. p. 135. However, under Indiana’s Revised Statutes of 1843, a provision concerning real property specifies that “[n]o Indian can . . . make any contract for or concerning the sale of any lands . . . or in any manner give, sell, devise, or otherwise dispose of any such lands . . . by which such Indian shall be divested of the absolute control, possession, and management of such lands for a longer term than five years, without the authority or consent of the legislature of this state.” See Revised Statutes of the State of Indiana, 27th sess. (1843), p. 414. The 1846 Act thus appears to have been a safeguard measure against any potential legal disabilities imposed by the courts on the Richardville and Lafontaine families. However, Indiana lawmakers intended for the measure to support state interests rather than protect tribal lands. As discussed previously, the individual, fee-simple allotments served to facilitate the transfer of real property in a much more efficient manner than disposal through the public domain. 609 Act of 5 December 1848, General Laws of the State of Indiana, 33rd sess., pp. 71-73. 610 The Act appointed French-born Father Julian Benoit as agent, subject to the approval of the court, “for the faithful performance of all the duties and trusts of said agency.” For a biographical note on Benoit, see Herman Joseph Alerding, The Diocese of Fort Wayne, 1857-September 1907: A Book of Historical Reference, 1669-1907, Ft. Wayne, Ind: Archer Print. Co., 1907, pp. 60-62.     189 without fraud.” This legislation facilitated the expeditious transfer of land to American settlers by according little to no legal protection or negotiable interest to the minor Indians. Moreover, the Act disinherited Indian children from the testamentary will of the parents in cases where the appointed agent considered the land sale to be in the child’s “best interest.”611 On 9 March 1861, the General Assembly enacted a law authorizing “any non- resident alien to acquire real estate in this state by descent or devise, and to hold, sell, alienate and convey the same as if he or she were a citizen of the United States.”612 Three days later, the legislature amended the Act to include “an Indian, or negro or mulatto, or other person of mixed blood.”613 The purpose of both acts was to amend an act of 6 May 1852, which provided “that no person except a citizen of the United States or an alien, who shall be, at the time, a bona fide resident . . . shall take hold, convey, devise, or pass by descent, lands, except in such cases . . . as are provided for by law.”614 Section two of the revised 1861 Act provided “[t]hat all bona fide sales, conveyances, purchases and devises heretofore made by any Indian, negro or mulatto, or other person of mixed blood, and all estates heretofore acquired by [them] . . . by conveyance, devise or descent, be and the same are hereby legalized, and such tenants are hereby declared to                                                              611 Section 8 of the Act stipulated that it was “to take effect and be in force from and after its passage.” However, questions inevitably arose as to the legality of land sales or conveyances prior to the Act’s passage. To avoid extended complications associated with statutory revision, state lawmakers simply passed local or private acts. For example, on 2 January 1850, the General Assembly approved “An act for the relief of William Sloan and Richard Sloan.” The Act provided that a “deed of conveyance from . . . John Pi-ash-wa and Mary Pi-ash-wa, dated September 20th, 1849, for the land [in Kosciusko County] . . . is hereby declared to be, a legal conveyance . . . and that the same shall pass and convey all the title and interest of . . . John and Mary Ann in and to the same, and shall vest said title in . . . William Sloan and Richard Sloan as fully to all intents and purposes, as though said sale and conveyance had been made by white persons, capable of selling and conveying lands in this State.” See Act of 2 January 1850, Local Laws of the State of Indiana, 34th sess., p. 166. 612 Act of 9 March 1861, Laws of the State of Indiana, 41st sess., p. 5. 613 Act of 11 March 1861, Ibid. p. 153. 614 Revised Statutes of the State of Indiana, 36th sess. (1852), Vol. 1, p. 232. The Act made no express provisions for American Indians or African Americans.     190 hold the same as fully and to the same extent as though there was no disability to the contrary.”615 In May of 1863, the Supreme Court of Indiana considered whether an Indian possessed the testamentary capacity as a “resident alien” to “convey property by devise,” in Parent v. Walmsly's Administrator.616 Parent, the appellant, petitioned the Court seeking validity of a deed to a certain tract of land in Warren County, which his wife, Mary (Griffiths) Parent, had devised to him in her last will and testament.617 Rejecting the legality of this transaction, the appellees contended that “Mary Griffiths . . . was not, when she executed said will, or at the time of her death, a citizen of the United States; but was an Indian woman; that her ancestors were Indians of the tribe of the Pottawatomies.” As a result, “[Mary] had no legal capacity to make the will, or devise the property.” Griffiths had executed her will on 13 July 1858, one day prior to her death. While the Court took notice that her will “was duly admitted to probate and duly recorded,” the 1861 Act, the appellees argued, would not have applied at the time. Instead, under the 1852 statute regulating the conveyance of lands, the appellees “insisted that ‘Indians are neither aliens nor citizens; that the United States hold them to a relationship similar to that of guardian and ward, and they can not therefore, exercise any of the privileges of citizens.’” The Court, however, disagreed. Quoting Scott v. Sandford, Judge Andrew                                                              615 Ibid. p. 154. During the 1861 regular session, Senator J.R. Slack introduced bill 104. While “the bill was intended to affect all persons of mixed blood,” Sen. Slack declared “his purpose was to reach Indian lands.” “In the northern portion of the State,” Slack held, “large tracts of land is held by Indians, who are continually contracting and selling their real estate.” Senator DeHart, in turn, “hoped the bill would pass, in order to quiet titles in the Wabash Valley.” See Indiana, Brevier Legislative Reports: Embracing Short- Hand Sketches of the Journals and Debates of the General Assembly of the State of Indiana, Vol. IV (1861), pp. 257-258. 616 Parent v. Walmsly's Adm'r, 20 Ind. 82 (1863). 617 The primary dispute at the trial court had centered on the responsibility of satisfying a lien held against the tract of land, which Walmsly had not disclosed to Griffith upon execution of the deed to her on 14 August 1856. Griffiths and Parent legally wed on 10 December of that year.     191 Davison held “that the course of events has brought the Indian tribes within the limits of the United States, under subjection to the white race, and it has been found necessary, for their sake, as well as our own, to regard them as in a state of pupilage, and to legislate to a certain extent over them and the territory they occupy.” Moreover, the Indians may, “like the subjects of any other foreign government, be naturalized by the authority of Congress, and become citizens of a State, and of the United States,” in which case they “would be entitled to all the rights and privileges which would belong to an emigrant from any other foreign people.” Consequently, “[a]n Indian may be admitted to citizenship, and though not a citizen, may be a resident alien within the intent of the [1861 Indiana] statute.”618 By recognizing the alienability of Indian title under the 1861 Act, the Court removed existing legal impediments to the effective transfer of lands held within the state. In light of each of these state-sanctioned measures, American Indians faced a formidable challenge to exercising their legal rights in Indiana. However, westward migration and settler intrusions presented an equal, if not greater threat to the dispossession of tribal lands and political autonomy. As the doctrine of discovery and principle of pre-emption migrated west with national expansion, the settlers themselves invoked these tenets as an egalitarian means of acquiring land. In Johnson, long-standing statutory practice barred the private purchase of tribal lands, but common settler usage effectively expropriated Indian title. Squatting, rather than the private acquisition of Indian lands, had become the most cost-efficient means of bypassing the Johnson rule.                                                              618 Ibid. p. 83.     192 The Law of the Land: From the Indian Right of Occupancy to the “Custom or Common Law of the Settlers”   For the common settler as well as for the new nation, territorial expansion was, at its very core, a process of community building. Ironically perhaps, the premise of settler sovereignty centered on the exclusive right to property, “that sole and despotic dominion,” William Blackstone had written, “which one man claims and exercises over the external things of the world, in total exclusion of the right of any other individual in the universe.”619 To reconcile this contradiction in terms, settlers and statesmen alike envisioned the habitation of the western frontier through a common belief in labor, improvement, and self-sufficiency. In the New England colonies, land distribution had signaled a desire for the continuity of community and, as historian Wesley Frank Craven wrote in 1964, “if there was one thing which bound the colonists together in a common experience, it was the necessity they found . . . to dig their livelihood out of the soil.”620 But while many easterners had enjoyed the social and economic benefits of free tenure, the inequitable allocation of real property left others with very little. In the west, on the other hand, lay a vast “wilderness” from which those without land might freely claim a portion for themselves. In 1774, Thomas Jefferson proposed an act to enable the American settler to “appropriate to himself such lands as he finds vacant,” by which “occupancy will give him title.”621 While the American Revolution prompted no major                                                              619 William Blackstone, Commentaries on the Laws of England, 3rd ed., Vol. 2, Oxford: Clarendon Press, 1768, p. 2. 620 Wesley Frank Craven, Diversity and Unity: Two Themes in American History, Princeton, N.J.: Princeton University Press, 1965, p. 6, as quoted by Malcolm J. Rohrbough, “‘A Freehold Estate Therein’: The Ordinance of 1787 and the Public Domain,” Indiana Magazine of History, Vol. 84, No. 1 (March, 1988): p. 48. 621 Thomas Jefferson, A Summary View of the Rights of British America (1774), Delmar, N.Y.: Scholars' Facsimiles & Reprints, 1976, p. 29. At Virginia’s Constitutional Convention in 1776, Governor Jefferson recommended a law, which would have entitled landless men to fifty free acres. However, in a letter to his colleague Edmund Pendleton on 13 August 1776, Jefferson regretted his idea of gratuitous property: “The     193 shift in the sense of these priorities, new rules for the acquisition and disposal of the public domain soon qualified the settlers’ vision of unclaimed lands ripe for the taking. During the early years of the American republic, federal policymakers condemned unauthorized squatting in the western territories. Concerned with maintaining a “civilized” frontier and peaceful relations with the Indian tribes, Congress aimed to regulate the pace and character of settlement.622 As early as 1783, prior to the Virginia cession, the Continental Congress issued a proclamation prohibiting “all persons from making settlements on lands inhabited or claimed by Indians, without the limits or jurisdiction of any particular State, and from purchasing or receiving any gift or cession of such lands or claims without the express authority and directions of the United States.”623 But, when General George Washington toured the newly-formed Northwest Territory in 1784, he reported that squatters and speculators “roam over the Country on the Indian side of the Ohio, mark out lands, Survey, and even settle them” in complete “defiance of the proclamation of Congress.”624 Only by recognizing the Indians as the rightful proprietors of their land could the U.S. government successfully negotiate the transfer of title. Such measures could be                                                                                                                                                                                   opinion that our lands were allodial possessions is one which I have very long held, and had in my eye during a pretty considerable part of my law reading which I found always strengthened it.” However, he conceded, “[i]t was mentioned in a very hasty production.” See Peter Karsten, Between Law and Custom: “High” and “Low” Legal Cultures in the Lands of the British Diaspora—The United States, Canada, Australia, and New Zealand, 1600-1900, Cambridge: Cambridge University Press, 2002, p. 147; for quote from letter, see Thomas Jefferson and Paul Leicester Ford, Writings of Thomas Jefferson: 1776-1781, Vol. 2, New York: G.P. Putnam's Sons, 1893, p. 78. 622 John R. Van Atta, “‘A Lawless Rabble’: Henry Clay and the Cultural Politics of Squatters’ Rights, 1832-1841,” Journal of the Early Republic, Vol. 28, No. 3 (Fall, 2008), p. 342. For an overview of early debates over methods of public land disposal and the emergence of federal policy, see Gates, Public Land Law, pp. 63-65. 623 Proclamation of 22 September 1783, Worthington C. Ford, ed., Journals of the Continental Congress, 1774-1789, Vol. 25: 1783, Washington, D.C.: U.S. Gov’t Printing Office, 1922, p. 602. 624 Letter of George Washington to Jacob Reid, dated 3 November 1784, in John C. Fitzpatrick, ed., Writings of George Washington, Vol. 27, Washington, D.C.: Government Printing Office, 1938, as quoted by Karsten, Law and Custom, p. 105.     194 accomplished, Secretary of War Henry Knox argued “without the least injury to the national dignity.” To maintain otherwise, in either policy or practice, “would be a gross violation of the fundamental laws of nature, and of the distributive justice which is the glory of a nation.”625 On 13 July 1787, Congress formally adopted this position in the formation of the western state governments by incorporating a “good faith” clause in the Northwest Ordinance. Meanwhile, the state governments had come under increasing pressure from their settler constituents to make individual land grants. In the years following the Revolution, many states—acting under the presumptive right to title by conquest—had become accustomed to granting tracts of Indian land not yet purchased. When federal policy began to recognize the Indians as possessing full ownership rights to unceded lands, considerable uncertainty arose as to the validity of these grants.626 One of the first American cases to address this issue was Marshall v. Clark (1791), in which the Virginia Supreme Court held that “[t]he Indian title did not impede . . . the power of the legislature to grant the land.”627 In the western territories, private transactions between Indians and settlers persisted. Shortly after taking office, Northwest Territorial Governor Arthur St. Clair                                                              625 Quoted in Stuart Banner, How the Indians Lost Their Land: Law and Power on the Frontier, Cambridge, Mass: Harvard University Press, 2005, p. 132. 626 Ibid. pp. 136, 161. In addition to federal treaty provisions and article 3 of the Northwest Ordinance, Congress passed the first measure regulating trade and intercourse with the Indian tribes in 1790. Section 4 of the Act “declared, That no sale of lands made by any Indians, or any nation or tribe of Indians within the United States, shall be valid to any person or persons, or to any state, whether having the right of pre- emption to such lands or not, unless the same shall be made and duly executed at some public treaty, held under the authority of the United States.” See Act of 22 July 1790, 1st Cong., 2nd sess. ch. 32, Statutes at Large: p. 138. 627 Marshall v. Clark, 4 Call (Va.) 270 (1791), as quoted by Banner, Indians, p.162. This case is particularly interesting because of the parties involved. Thomas Marshall, the lead plaintiff and father of U.S. Supreme Court Chief Justice John Marshall, challenged the validity of a Virginia grant to Revolutionary War hero, George Rogers Clark.     195 discovered the extent to which settlers claimed title by virtue of private purchase. “If one Indian sale is approved,” he presumed, “it is probable that a great many will be brought forward.”628 Other settlers took a more efficient approach. Under the new federal regulatory scheme, as outlined in the 1785 Land Ordinance, the distribution and settlement of the public domain entailed public auctions to individual or corporate buyers under the administration of the General Land Office (GLO). However, as Peter Karsten points out, “settlers did not always wait for such legal ceremony,” nor did they rely “upon the generosity of Common Law jurists” in clearing their otherwise imperfect titles. Rather, “[i]ndividuals and families bypassed the formal legal means of acquiring title by simply moving onto and ‘improving’ tracts of land.”629 The Continental Congress also faced the administrative complexities associated with recognizing the legitimate land claims of existing European settlers under international laws of state succession. The Virginia Act of Cession had stipulated that the French and Canadian inhabitants who “professed themselves citizens of Virginia,” were to “have their possessions and titles confirmed to them.” In 1791, Congress confirmed these land claims in the Northwest Territory and granted up to four hundred acres to each head of family who had taken the oath of American citizenship.630 Under article two of                                                              628 As quoted by Banner, Indians, p. 137. 629 Karsten, Law and Custom, pp. 102, 149, 186. 630 See Act of 3 March 1791, 1st Cong., 3rd sess. ch. 27, Statutes at Large: pp. 221-222. French grievances during the territorial period reflect the extent to which the American government failed to adequately protect their acquired rights. Following independence from the British, the French inhabitants had expected “personal liberty” and “rights to property both real and personal,” which were to be secured “under the equitable and humane government of the United States.” During the first decade of the nineteenth century, however, the U.S. had failed to rectify many French title claims with respect to the disposition of public lands. The complexities of sorting out foreign land grants reflected a larger cultural misunderstanding as American officials attempted to administer alien legal systems following state succession. Difficulties arose from the “removal of public offices and records, on change of government, and in several instances of title papers, previously deposited . . . for safe keeping.” On 17 January 1805, several citizens of Wayne County, a majority of whom were “the lineal descendants of the ancient French,” petitioned Congress with a memorial of their claims. Tracing their rights and privileges under the French     196 the 1794 Jay Treaty with Great Britain, the U.S. guaranteed to “[a]ll Settlers and Traders” residing within the western territories “all their property of every kind.”631 As if these exemptions had not created enough administrative wrangling, Congress amended federal land law in 1804 to accommodate thousands of pre-emption claims raised when France ceded the Louisiana Territory to the United States. By enacting strict laws prohibiting settler intrusions into this newly-acquired territory, the federal legislature took determined measures to safeguard the property rights of the French inhabitants.632 In order to determine the legitimacy of claims and to validate proper title, Congress applied federal land policy as well as the laws of the former sovereign under whose government the claims had originated.633 In light of these statutory pre-emption grants, however, adjudicating land claims proved to be an insuperable task. Such was the state of affairs in 1807 when Secretary of the Treasury Albert Gallatin wrote to the district General Land Office (GLO) registrar in the Indiana Territory concerning the investigation of claims in the district: [I]t will be difficult to decide which of the actual settlers who may not apply for permissions should be considered as Intruders. Those whose claims are embraced by the Acts of Congress, may in the mean while                                                                                                                                                                                   and British governments, U.S. treaty provisions, and “by virtue of actual improvements,” the memorialists “pray[ed] that a law may be passed confirming the claimants and their heirs in the same.” See Translation of a Memorial in the French Language, of Sundry Citizens of the County of Wayne, in the Indiana Territory: 17th of January 1805: Referred to the Committee Appointed the 7th Instant to "Enquire Whether Any, and If Any, What Alterations Are Necessary to Be Made in the Laws, for the Disposal of he Public Lands, North West of the Ohio," Washington City: Printed by William Duane & Son, 1805, pp. 3, 4, 9. For another petition, see the Remonstrance to the General Assembly from the French Inhabitants of Vincennes, dated 16 August 1807, in which the petitioners “Resolved unanimously, That any attempt to divest the town of Vincennes of the right of the commons . . . would in the present state of the territorial government be unjust.” See Thornbrough and Riker, Journals, p. 141. 631 Treaty of 19 November 1794, “Treaties between the United States of America and Foreign Nations,” United States Statutes at Large, Vol. 8, pp. 116-132. 632 See Gates, Public Land Law, p. 219; also see Act of 26 March 1804, 8th Cong., 1st sess. ch. 38, Statutes at Large: pp. 287-289. 633 Gates, Public Land Law, p. 88.     197 receive assurances, that notwithstanding the expressions in the law, of “recognized & confirmed,” a discretion having been vested in the President it is not intended to disturb them in their actual possession, whilst the investigation is pending. But on the other hand, those who have unlocated claims must be aware that an attempt to settle before a location has been made in conformity with law, would endanger their title.634 In addition to informing the GLO on recent statutory amendments to federal land policy, Gallatin expressed particular concern with certain “unfound and fraudulent claim[s]” to land title based on questionable Indian grants: It is . . . desirable to know whether any persons, claiming under the Wabash or Illinois companies, under certain large Court deeds not recognized by any law . . . have attempted or will attempt settlements. As there will be no hesitation in removing persons of that description, it is necessary that the information should reach the Executive without delay.635 Even with these precautionary measures, squatters continued to plague public lands. Federal Indian Agent Return Meigs reported to the Secretary of War in 1809 that “[t]hese intruders[,] . . . some of them shrewd & of desperate character, have nothing to lose” and “in hopes the land will be purchased . . . they will plead a right of preemption, making a                                                              634 Letter of the Secretary of the Treasury [Albert Gallatin] to Michael Jones, dated 28 March 1807, in Clarence E. Carter, ed., The Territorial Papers of the United States, Vol. 7: The Territory of Indiana, 1800- 1810, Washington: U. S. Gov’t Printing Office, 1939, p. 445. 635 Enclosed with Gallatin’s letter was a copy of “An Act to prevent settlements being made on lands ceded to the United States, until authorized by law.” See Act of 3 March 1807, 9th Cong., 2nd sess. ch. 46, Statutes at Large: p. 445. The complexity of rules and conditions prescribed in the Act made it ripe for numerous conflicts of interests along the frontier. First, the measure made it a crime for any person to survey or make “a settlement on any lands ceded or secured to the United States, by any treaty made with a foreign nation, or by a cession from any state to the United States, which lands shall not have been previously sold, ceded, or leased by the United States.” Trespassers faced forfeiture of “all his or their right, title, and claim . . . of whatsoever nature or kind the same shall or may have, to the lands aforesaid.” Furthermore, the Act vested authority in the “President of the United States to direct the marshal, or officer acting as marshal, . . . to take such . . . measures, and to employ such military force as he may judge necessary and proper, to remove [such persons] from lands ceded, or secured to the United States.” However, the Act was not to be “construed to affect the right, title, or claim, of any person to lands in the territories of Orleans or Louisiana” protected under federal law (see Act of 2 March 1805, 8th Cong., 2nd sess. ch. 26, Statutes at Large: pp. 325-329). For those persons who “had taken possession of, occupied, or made a settlement on any lands ceded or secured by the United States,” prior to the passage of the 1807 Act, “and who at the time . . . actually inhabit[ed] and reside[d] on such lands,” could apply, under prescribed conditions, “to the proper register or recorder . . . of the land-office established for the disposal, registering, or recording of such lands.”     198 merit of their crimes.”636 However, despite the violation of federal treaty provisions, Congress took little initiative in reconciling squatter transgressions. Reginald Horsman notes: Even though the United States had tried to bring some order into the western advance by organizing repeated cessions and creating boundary lines, which for the time being were supposed to be inviolate, the government was never able to stem the illegal advance. Settlers crossed the boundary line to obtain choice lands, and the government never mustered sufficient military force to prevent the intrusions.637 As a consequence, “[t]he government indirectly subsidized white intrusions onto Indian lands by enforcing the prohibition on land sales more effectively than they enforced the prohibition on squatting.”638 Yet the distance between the federal government and the western frontier insulated Congress and the president from the democratic impulse of settler society. Western public opinion, in fact, had grown increasingly hostile to the federal government’s conservative land policies. In the absence of consistent government enforcement, squatters asserted a quasi-legal title by claiming to “own” their land by the “natural right” to work and improve “vacant” settlements. By invoking this Lockean rhetoric, squatters argued that those laws which denied the value of their improvements violated “the Rules of natural Justice.”639 Legal innovations in American jurisprudence likewise began to reflect this frontier pragmatism. During the late eighteenth and early nineteenth centuries, states                                                              636 Return Meigs to William Eustis, 26 October 1809, as quoted by Francis Paul Prucha, American Indian Policy in the Formative Years: The Trade and Intercourse Acts, 1790-1834, Lincoln: University of Nebraska Press, 1962, p. 160. 637 Reginald Horsman, Expansion and American Indian Policy, 1783-1812, Norman: University of Oklahoma Press, 1992, p. 160. 638 Jennifer Roback, “Exchange, Sovereignty, and Indian-Anglo Relations,” in Terry L. Anderson, ed., Property Rights and Indian Economies, Lanham, MD: Rowman & Littlefield, 1992, as quoted by Kades, “Dark Side of Efficiency,” p. 1174. 639 Karsten, Law and Custom, pp. 164-165, 170.     199 such as Kentucky and Tennessee enacted a series of “occupying claimant” laws designed to protect squatters from outright eviction without receiving at least some benefit from their “improvements.” As Kentucky and Tennessee settlers wrested control of the public domain, other states passed laws that regarded actual occupancy as constituting “color of title” and sanctioned the squatters’ legal rights to the equitable value of those improvements.640 Following these trends, the Indiana legislature passed an “Act for the relief of occupying claimants of land” in 1818.641 The measure provided that any squatter “being in quiet possession of any land, for which such person can shew a plain and connected title in law or equity . . . shall not be evicted or turned out of possession until . . . fully paid the value of all lasting . . . improvements.” The value assessment of these improvements, “at the request of either party,” was to issue from an appointed commission of “three judicious[,] disinterested freeholders of the county where such judgment may be rendered.” “The high courts of these states,” Peter Karsten observes, “generally found no fault with these statutes, nor could they be persuaded to interfere with the local juries of assessment created by the statutes to determine the value of squatter improvements.”642 The Indiana Supreme Court was no exception, and in 1825 the state’s “occupying claimants” act withstood its first constitutional challenge. In Armstrong v. Jackson, the Court held that “[i]t cannot be contended that it is unconstitutional for the successful claimant to be compelled to pay the occupant for his improvements,” or for “the                                                              640 Karsten, Law and Custom, p. 149. 641 Act of 28 January 1818, Laws of the State of Indiana, 2nd sess., pp. 197-200. Also see Act of 22 January 1820, Laws of the State of Indiana, 4th sess., p. 126, which provided “[t]hat no action of Ejectment shall be commenced . . . for the recovery of any lands or tenements, against any person . . . who may have been in quiet and peaceable possession of the same for twenty years.” 642 Karsten, Law and Custom, p. 150.     200 occupant’s retaining possession of the land he has improved until such payment is made.”643 However, the Court declared the Act’s provisions stipulating value assessments to be determined by an appointed commission “can not be reconciled to that clause in the 5th section of the 1st article of the [Indiana] constitution, that secures the right of trial by jury.”644 The U.S. Supreme Court, on the other hand, would see these measures from a different perspective, at least initially. In Green v. Biddle, decided the same year as Johnson, the Court struck down Kentucky’s “occupying claimant” law as a violation of the Contracts Clause, holding that the statute “materially impair[ed] the rights and interests of the rightful owner in the land itself.”645 Needless to say, the decision proved highly unpopular not only in Kentucky but in other western states as well. Responding to popular norms and the states’ continued defiance of the decision in Green, the Court reversed its decision nearly eight years later in Hawkins v. Barneys Lessee.646 The rising tide of westward migration also forced Congress to re-assess public land policy. Without declaring comprehensive squatters’ rights, federal lawmakers began to emphasize a more democratic process of disposing the public domain by conditional pre-emption measures and graduated land prices. Steadily, Congress responded to                                                              643 Armstrong v. Jackson on the Demise of Elliott, 1 Blackf. 374 (1825). 644 Ibid. For statutory amendments following Armstrong, see Act of 28 January 1830, Laws of the State of Indiana, 14th sess., pp. 101-102; also see Revised Statutes of the State of Indiana, 22nd sess., pp. 260-262; and Act of 22 January 1842, General Laws of the State of Indiana, 26th sess., pp. 145-146. 645 Green v. Biddle, 21 U.S. 1 (1823); for further legal context and the development of national policy debate, see Paul Wallace Gates, “Tenants of the Log Cabin,” Mississippi Valley Historical Review, Vol. 49, No. 1 (June, 1962): pp. 3-31. 646 Hawkins v. Barneys Lessee, 5 Peters (30 U.S.) 457 (1831).     201 popular pressure, first by loosening prohibitions against squatting, and eventually by enacting retroactive measures that pardoned past intrusions.647 On 29 May 1830, Congress passed its first comprehensive pre-emption act.648 Federal legislators intended the measure to apply retroactively for all occupants or “actual settlers” improving public lands prior to 1830, and the law guaranteed pre-emption rights for one year following the date of enactment. Restrictive provisions under the Act and administrative setbacks, however, effectively diminished many settlers’ chances of securing title to their public land claims within the time allotted.649 Nevertheless, despite the Act’s one-year sunset provision, Congress had planted the seeds of reform and, as historian Paul Wallace Gates observes, “the West would never again be content without (1) a series of annual measures to continue the policy or (2) a general prospective pre- emption measure.”650 Thus, between 1831 and 1837 the western states lobbied Congress either for an extension of time for squatters to file their claims or to re-enact further pre- emption measures to accommodate rising public land sales and settler demands. Until these changes were made, “[t]he laws of the federal government and of the states and territories lagged behind the needs of the people on the frontier, and as a result the spirit of ‘popular’ or ‘squatter sovereignty’ manifested itself.”651                                                              647 In response to persistent intrusions in the Indiana Territory, President James Madison issued a proclamation on 12 December 1815 declaring the government’s intention to expel all persons illegally settling on public lands. Apparently, the executive declaration led to such a public outcry that Congress took immediate measures to legalize the otherwise illegitimate settlements; see Gates, Public Land Law, p. 220. For full text of Madison’s declaration, see James D. Richardson, ed., A Compilation of the Message and Papers of the Presidents, 1789-1897, Vol. 1, Washington: U.S. Gov’t Printing Office, 1896, pp. 572- 573. 648 Act of 29 May 1830, 21s Cong., 1st sess. ch. 208, Statutes at Large: pp. 420-421. 649 The law exempted unsurveyed lands from prior claims and Congress failed to make fiscal appropriations for further surveys. For those lands that had been surveyed, plat maps failed to reach the regional GLOs in a timely manner; see Gates, Public Land Law, pp. 225, 226. 650 Ibid. p. 228. 651 Benjamin H. Hibbard, A History of the Public Land Policies, Madison, Wisc.: University of Wisconsin Press, 1965, p. 198.     202 In response, dozens of claims associations sprouted throughout the west “to assure orderly buying at most public land sales and to prevent speculators from overbidding or claim jumpers from buying the land of settlers.”652 On 4 July 1836, pioneer settler and agriculturalist Solon Robinson organized a meeting of squatters in Lake County, Indiana “for the purpose of adopting measures & forming a constitution for the better security of the settlers upon public lands.”653 Members of the new Squatters’ Union surveyed and recorded detailed descriptions of settlers’ tracts, assisted in settling disputes related to overlapping claims, and secured purchases of land at public auction without competition.654 At its first meeting an appointed committee reported “rules for the government of the members of [the] union” and elected a secretary, register of claims, and a “board of three County Arbitrators.”655 Article nine of the constitution provided “that the board of arbitrators shall . . . take an oath or affirmation before some magistrate,                                                              652 Gates, Public Land Law, p. 236. In anticipation of forthcoming public auctions in Chicago in 1835, a newspaper editorialist sympathetic to the squatters’ plight warned those readers less familiar with the “law of the land”: As the time approaches when there is to be a large sale of public lands at this place, and as there will doubtless be many here who are unacquainted with the situation of the settlers on the tracts of land and with the local customs of this western country, we feel it our duty to allude to this subject at this time. Custom, as well as the acts of the General Government, has sanctioned the location of settlements on the unsurveyed public lands, and the Government has encouraged the settlers in such lands, by granting them a preemption right to a sufficiency for a small farm. Many of the settlers on the tract now offered . . . came to the West and made their locations under the implied pledge of the Government by its past acts: that they should have a preference and a right to purchase the lots on which they located, when the same came into market, and at the minimum price. Government was then morally bound to provide for these settlers, and have been guilty of an act of injustice in bringing these lands into market without making such provision. “Public opinion is stronger than law,” it has well been said, and we trust it may prove so in this case, and that the strangers who come among us, and especially our own citizens, will not attempt to commit so gross an act of injustice as to interfere with the purchase of the quarter section, on which improvements have been made by the actual settler. We trust for the peace and quietness of our town that these local customs, to which long usage has given the force of law . . . and which are so strongly sustained by the principles of justice and equity, will not be outraged at the coming sales. See Chicago Democrat, 4 June 1835, as quoted by Hibbard, History, p. 201. 653 Minutes of the Organization of the Squatters’ Union, 4 July 1836, in Herbert Anthony Kellar, ed., Solon Robinson, Pioneer and Agriculturist: Selected Writings, Vol. 1, Indianapolis: Indiana Historical Bureau, 1936, p. 68. 654 Kellar, Solon Robinson, pp. 11-12; also see Carmony, Indiana, p. 558. 655 Kellar, Solon Robinson, pp. 68-69.     203 faithfully & partially . . . [to] perform all the duties enjoined upon them, not inconsistent with the law . . . and make their acts a rule of court before some magistrate, according to the statute provided for arbitrated cases.”656 As Paul Wallace gates notes, “one of the most important functions of the claim associations, which were commonly organized in advance of the establishment of local government, was to provide a title registration system.” According to this arrangement: titles of claims—both before and after the public sale and until county government had been created nearby—could safely be conveyed, accumulated, divided, and even mortgaged, though the government title had not yet been conveyed. Common interests involving land ownership drew people together as nothing else did.657 Solon Robinson and other squatters throughout Indiana and the western states created their own “common law,” which served to “transform their mere occupancy to titled freehold estate at low cost.”658 “They had, in the absence of all other law,” one circuit rider in Wisconsin observed in 1835, “met & made a law for themselves” and “there was an understanding . . . equivalent to a law of the land, that the settlers should sustain each other.”659 Or, as John Newhall wrote in 1841, “[a]lthough ‘claim law’ is no law derived from the United States, or from the statute book of the territory . . . it nevertheless is the                                                              656 Constitution of the Squatters Union in Lake County, Indiana, in Kellar, Solon Robinson, pp. 73-74. The full text of the Constitution, including a photo illustration of the original manuscript, can be found at ibid. pp. 69-76. Additional articles included a declaration of rights, election rules, membership duties, claim methods and stipulations, arbitration proceedings, and even a system of jurisdiction for district and county boards. Adopted on 6 July 1836, the Constitution had 476 signatories. 657 Gates, Public Land Law, p. 236. 658 Karsten, Law and Custom, p. 171. 659 Ibid. p. 174, quoting Alfred Brunson, “A Methodist Circuit Rider’s Horseback Tour From Pennsylvania to Wisconsin, 1835,” in Reuben Gold Thwaites, ed., Collections of the State Historical Society of Wisconsin, Vol. 15, Madison: Democrat Printing Co., 1900, p. 277.     204 law, made by and derived from the sovereigns themselves, and its mandates are imperative.”660 By the mid-1830s, common settler usage had effectively dictated the terms of American land tenure and property law in the west. Accordingly, many of the western states began to petition Congress for pro-squatter reforms, or pre-emption rights, in federal land law.661 The “customary right” to settle and “improve” the land ignited the process of reshaping the law “from below.” What resulted was a major regional debate in Congress with western state representatives defending “actual settlers” as loyal and industrious frontiersmen and eastern state representatives condemning “squatters” as “lawless land grabbers” who lacked respect for absentee property holders and Indian rights.662 In January of 1833, the Indiana General Assembly passed a joint resolution to Congress relative to public lands: Whereas, the liberal policy of the general government granting pre- emption rights to settlers upon the public lands has met with the approbation of the people of Indiana, and awakened the warmest feelings of gratitude in the mind of the actual settler,” the legislature believed “that a continuance of the same policy is alike called for both by justice and liberality towards many of our industrious but unfortunate citizens.663 Successive petitions expressed little confidence in the administration of the federal government in shaping western land policy.                                                              660 Hibbard, History, p. 203, quoting John B. Newhall, Sketches of Iowa, or, The Emigrant’s Guide, New York: J.H. Colton, 1841, p. 56. 661 Van Atta, “Lawless Rabble,” p. 354; Paul Wallace Gates defines pre-emption as “the right of the squatter to be protected against the speculator and to gain title to his land without competing at auction.” See Gates, Public Land Law, p. 66. 662 Ibid. pp. 223-224. 663 Act of 15 January 1833, Laws of the State of Indiana, 17th sess., p. 233.     205 As Congress gradually relinquished its authority to the states, their intercession in western land law risked greater Indian-settler conflict, dissolution of Indian rights, and the dispossession of tribal lands. Prior to survey or public sale, settlers routinely squatted on federal lands recently ceded by the tribes. When the Pottawatomie ceded most of their lands in 1832, the Treaty of Yellow River exempted the tribe from immediate removal.664 However, in anticipation of the tribe’s departure, squatters began almost immediately to settle this land and assert title under existing pre-emption laws. Violent clashes were frequent and squatter vigilantes destroyed several Indian villages and threatened to force Pottawatomie removal by extra-legal means.665 “So alarming was the situation,” historian Paul Wallace Gates describes, “that Governor [David] Wallace, in August of 1838, authorized [John] Tipton to raise a force of one hundred officers . . . to police the frontier and . . . to secure the consent of the Indians to their own removal.”666 Yet the story is never one of complete struggle or dispossession. Occasionally, squatters found common ground with the Indians and enjoyed the mutual benefits of accommodation and co-existence. The reasons for reciprocity varied. Sometimes, these relationships developed as a result of a common enemy like the unscrupulous land speculator. When Solon Robinson settled in northern Indiana in 1834, the Pottawatomie Tribe had recently ceded much of their land.667 Pursuant to the terms of an 1832 Treaty, the federal government had approved several individual reserves to be selected by                                                              664 Negotiations culminated in the 1836 Treaty of Yellow River. Article 3 stipulated that the “bands agree to remove to the country west of the Mississippi river, provided for the Potawattimie nation by the United States within two years.” See “Treaty with the Potawatomi,” 5 August 1836, in Kappler, Indian Affairs, Vol. 2, pp. 462-463. 665 Paul Wallace Gates, “Introduction,” in Tipton Papers, Vol. 1, p. 45; also see Carmony, Indiana, 1816- 1850, p. 556. 666 Gates, “Introduction,” in Tipton Papers, Vol. 1, p. 45. 667 Although surveying had already begun in 1832, the GLO did not offer the lands at public auction until 1839; see Kellar, Solon Robinson, pp. 11-12.     206 members of the Tribe upon executive approval.668 Although these provisions stipulated that the reserves were to be located in Illinois, several members of the Pottawatomie expressed interest in returning to their lands in northern Indiana. Prior to the Treaty’s execution, Pottawatomie Chief Shobonier and other members of the Tribe had resided on portions of land later claimed by Robinson. In fact, when Robinson first settled the area, he had met Shobonier at a nearby camp. Acting out of mutual necessity and support in an otherwise meager frontier economy, the two exchanged food and supplies and, over time, established a neighborly relationship.669 Hoping to capitalize on a potential Indian-settler conflict of claims, William Butler, a Michigan-based land speculator, attempted to relocate Shobonier on Robinson’s tract through fraudulent means. Apparently, Butler’s scheme entailed a forged petition to the GLO at La Porte, Indiana, alleging to represent Shobonier and requesting the president to issue a patent for the Chief for a portion of land then claimed by Robinson.670 Butler’s attempts not only failed but actually facilitated Robinson’s legal purchase of the settled tract of land under federal pre-emption laws and, more importantly, with the blessing of Chief Shobonier. In his affidavit to federal administrators in 1837, Robinson stated that after he “had settled upon this land and made valuable improvements thereon,” William Butler had threatened to “get ‘old Sho-bon-nier to locate his reservation upon [these] improvements.’”671 Being “well acquainted with Indian customs” and sufficiently knowledgeable of “the Indian language to converse with . . . Sho-bon-nier . . . upon the                                                              668 “Treaty with the Potawatomi,” 20 October 1832, Kappler, Indian Affairs, Vol. 2, p. 353. 669 Kellar, Solon Robinson, p. 14. 670 Ibid. pp. 12-13. 671 “Shobonier Claim—Deposition and Affidavits,” dated 4 November 1837, in Ibid. p. 81.     207 subject of his reservation,” Robinson testified that the Chief “never pretended . . . that his said ‘village’ was on them [the lands in question],” but rather located at “some other place . . . near the Illinois line, known . . . as ‘Mus-qua-och-bis’ (Red Cedar Lake).”672 By “placing full faith in the . . . treaty [of 1832] . . . and by the word the said Sho-bon- nier himself that this was not his reservation,” Robinson petitioned for the right to pre- emption for having “incurred great expense in improving farms” on the land.”673 In exchange for Shobonier’s support, Robinson vowed to donate a tract of land to the Chief for use as a tribal “commons.” According to Robinson’s biographer, this was “a promise which he kept when the town of Crown Point was governmentally established in 1840.”674 The “commons” became a site where “Shobonier’s children and grandchildren played ball while the pioneer and the Indian watched their fun and smoked the pipe of peace together.” Despite the fact that Solon Robinson and Chief Shobonier conceptualized land use from culturally distinct perspectives, their unique circumstances united them on a common ground (quite literally) that reconciled their otherwise conflicting interests. By the mid-1830s, both houses of Congress had supported measures preventing settlers from intruding on Indian lands, including those recently ceded. The general Pre- Emption Act of 1838, signed into law on 22 June, granted a two-year claim process for all settlers in possession of public lands at the time of enactment. Excluded from these                                                              672 Ibid. p. 82. 673 Ibid. Also see accompanying affidavits of local witnesses at pp. 83-84. 674 Ibid. p. 14.     208 claims were squatters on Indian reserves, with specific provisions exempting those settling on Miami land cessions.675 The new law had not passed, however, without fierce debate from the western states over these exclusion clauses.676 In late January of that year, Senator John Tipton of Indiana addressed the U.S. Senate on the pending pre-emption bill. Responding to Kentucky Senator Henry Clay’s proposed amendment prohibiting individual pre-emption claims to portions of the recently-ceded Miami Reserve, Tipton argued that it would “make an invidious distinction between our own constituents and the citizens of other new States of the West,” and deprive Indiana settlers of “a privilege which this bill secures to others.”677 In an effort to conciliate his opponents, Tipton agreed to the proposed amendments that prohibited pre-emption grants “to any person who settled upon the lands before the Indian title had been extinguished.”678 Yet the issue of speculation in tribal lands remained a larger concern for Tipton’s colleagues in Congress as well as Indiana State legislators. In response to lingering rumors emanating from Representative McCarty’s 1835 Resolution, Tipton contended that he was “not, and never expect[ed] to be, personally interested . . . in any pre-emption that may be, granted or obtained by the bill . . . on the Miami . . . or any other lands.”679 Tipton’s efforts were in vain. Congress passed the bill, which included the original provisions exempting pre-                                                              675 Act of 22 June 1838, 25th Cong., 2nd sess. ch. 119, Statutes at Large: pp. 251-252; also see Gates, Public Land Law, p. 235. 676 For an overview of proposed amendments to the bill concerning the exemption of Miami lands, see Tipton Papers, Vol. 3, pp. 517-518, n. 27. 677 Ibid. p. 522. 678 Ibid. 679 Ibid. p. 525.     209 emption claims “to the lands lately acquired by treaty with the Miami tribe of Indians, in the State of Indiana.”680 Tipton’s vote in favor of settler pre-emption, however, had not been entirely in line with Indiana’s majority political position. At the state level, legislative debate over the acquisition and disposal of the public domain had centered on four major proposals: federal cession, graduation (incremental price reduction), pre-emption, and distribution. Of the four alternatives, the latter two had received the widest support from Indiana lawmakers during the early to mid-1830s. Distribution allocated a percentage of proceeds from public land sales to the states for purposes of financing internal improvements. However, with the financial panic of 1837, Congress withheld surplus distributions indefinitely, leaving Indiana and other states without federal aid and an insufficient public infrastructure in the nascent frontier economy.681 Pre-emption, on the other hand, remained a viable option for yielding tangible progress based on the sweat equity of settler improvements, with the added benefit of public lands sales (albeit often at a reduced price) once settlers registered their claims with the General Land Office. In his speech to Congress, Tipton referred to a pending joint resolution of the Indiana General Assembly, which considered a provision for settler pre-emption claims on the Great Miami Reserve.682 While admitting that it would give him “great pleasure to aid [Indiana] in raising means to carry on her public works,” Tipton contended that, “as                                                              680 Act of 22 June 1838, Statutes at Large: p. 251 681 Carmony, Indiana, pp. 560-561. 682 For the joint resolution, see Indiana, Senate Journal, 22nd sess. (1837-1838), pp. 421-423: “Resolved, That the committee on ways and means be instructed to inquire into the expediency of reporting a joint resolution and memorial instructing our Senators and requesting our representatives in Congress to use their influence in obtaining for the use of the State of Indiana, the right of pre-emption at the minimum price, to the lands lately acquired of the Miami Indians, to aid and assist in the progress of her works of Internal improvement.” Senator Charles Cathcart “moved to amend by adding ‘that all actual settlers upon the government lands in this state shall be entitled to the right of pre-emption to purchase each 160 acres . . ; Which was accepted.” Cathcart’s amendment failed to pass, however, in the final vote.     210 public men we should have an eye as well to individual justice as to public benefit.”683 Five days later, however, the Whig-controlled Indiana legislature passed the joint resolution, opting not for pre-emption but for public land grants to the state for internal improvements.684 In blatant disregard of the legislature’s resolution, Tipton voted for individual pre-emption provisions in the congressional bill, and the Indiana General Assembly subsequently censured him for his actions.685 The two-year sunset provision under the 1838 Act inevitably failed to appease settler demands. Having secured retrospective rights over the course of the decade, the western states then turned their attention to obtaining permanent, prospective pre- emption. Historian Paul Wallace Gates observes, “Westerners had long felt that this [goal] was desirable as it would assure settlers moving on public lands that they would not have to wait for congressional action to protect them in their claims.”686 With much greater interests at stake, the debate in Congress elicited high emotions and intense political rallying. The State of Indiana, again, took center stage. On 14 January 1841, U.S. Senator Oliver H. Smith (a pro-Jackson Whig) of Indiana addressed Congress on the prospective pre-emption bill.687 Acknowledging his colleague’s differences “upon many points connected with the land question,” as well as the “diversified interests of the states,” Smith entered the debate espousing the populist                                                              683 Tipton Papers, Vol. 3, p. 521. 684 Act of 1 February 1838 , Laws of a Local Nature, 22nd sess., p. 439: “Resolved, by the General Assembly of the State of Indiana, That our Senators and Representatives in Congress be earnestly requested to use every exertion to procure the passage of a law authorizing the State of Indiana to purchase the whole of said land recently purchased by the United States of the Miami Indians, within the limits of said State, at the minimum price of one dollar and twenty-five cents per acre, to be by her again sold, and the proceeds thereof applied to the construction of her internal improvements.” 685 Tipton Papers, Vol. 3, p. 517, n. 27. 686 Gates, Public Land Law, p. 237. 687 “Speech of Mr. Smith, of Indiana, on the Prospective Pre-emption Bill,” Indiana Journal, 27 February 1841, Iss. 976, col. a; For a biographical sketch of Smith, see Shepard, Biographical Directory, Vol. 1, p. 364.     211 sentiments of his Indiana constituency. The senator’s primary contention centered on the opposition’s argument that pre-emption “grants exclusive privileges to a class of men who rush in advance of civilization and seize upon the public property.” In advocating their interests, Smith staunchly defended the settlers as “pioneers” of western progress: I have seen my State in her infancy, with the fairest and largest portion of her territory in the possession of the Indians. I have seen her pass through the different gradations of improvement until she has arrived at her present high grade . . . and let me assure Senators he is the last man that would willingly do injustice to his country . . .688 Rather than attempt to restrain the inexorable social force, Smith argued “that legislation should always adapt itself to the conditions of affairs.” The “real state of things,” he declared, was merely an extension of progress and industry in American history: That spirit of enterprise and discovery which is characteristic of the Anglo-Saxon race—that spirit that animated the Pilgrims, and the first settlers at Jamestown—that spirit that prompted a Boon, a Clark, and a Kenton to penetrate the Western wilds and encounter and overcome the perils that surrounded them—the spirit which fired the early settlers of the West, induced them to leave the peaceful homes of their fathers, and brave the savage rifle and tomahawk, to settle a new country, —I say that same spirit is impelling our people onward . . . .689 By suggesting that squatters’ rights had evolved by long and settled usage, “pre-emption laws,” according to the Senator, were “merely declaratory of the custom or common law of the settlers.”690 A majority of Congress agreed, and on 4 September 1841, President John Tyler signed the Pre-emption-Distribution Act into law.691 The new law directed ten percent of the “nett [sic] proceeds of the sales of the public lands” to the western states, including Indiana. Land grants were to be used “for                                                              688 “Speech of Mr. Smith,” cols. b, d. 689 Ibid. col. d. 690 Ibid. 691 Act of 4 September 1841, 27th Cong., 1st sess., ch. 16, Statutes at Large: pp. 453-458; also see Gates, Public Land Law, pp. 238-240.     212 purposes of internal improvement.”692 Moreover, the states were not to dispose of public lands “at a price less than one dollar and seventy-five cents per acre.” The Act authorized every person, “over the age of twenty-one years, and being a citizen of the United States” or having filed a declaration of intent, to register a claim not exceeding 160 acres, for lands settled on 18 June 1840 or anytime thereafter. Of further significance was the lack of sunset provisions. Previous measures had restricted settler claims to a limited timeframe, but the new Act was to “continue and be in force until otherwise provided by law.”693 In many respects, however, the 1841 Act still limited full squatters’ rights. Settlement exemptions included lands reserved for internal improvements, schools, and the Indian tribes, specifically those “acquired by . . . the two last treaties with the Miami tribe of Indians in the State of Indiana.”694 More importantly, the law continued to restrict pre-emption claims to surveyed lands only, which, as experience had shown, largely failed to curb illegal squatting and settler intrusions on Indian lands.695 By failing to enforce these restrictions, the western states helped subsidize the expropriation of tribal lands. Thus, by the 1840s, the “custom or common law” of the western settlers had vested in them a superior title, while effectively replacing the Indians’ customary land rights with a mere right of occupancy. In the years following the 1840 Miami Treaty cession (and in response to the exclusion clauses under the1841 Act), the Indiana General Assembly passed a series of                                                              692 Act of 4 September 1841, Statutes at Large: pp. 453, 455. 693 Ibid. p. 454. 694 Ibid. p. 456. 695 In 1862, Congress extended the right of pre-emption to unsurveyed public lands in all states and territories; see Act of 2 June 1862, 37th Cong., 2nd sess., ch. 94, Statutes at Large: p. 413; also see Gates, Public Land Law, p. 244.     213 memorials petitioning Congress to pass pre-emption laws for the relief of settlers on the Miami National Reserve. On 13 February 1843, the Indiana legislature passed a joint resolution instructing the state’s Senators and requesting the Representatives in Congress, “to vote for and use their aid and influence in procuring the passage of an act extending the provisions of an act of the 4th of September 1841.”696 The petition specifically called for a measure “granting pre-emption rights to all settlers on lands not included in the last two treaties with the Miami Indians, and which were settled upon before their being selected and confirmed to the state of Indiana, for the construction of the Wabash and Erie Canal.”697 With little response, Indiana legislators petitioned Congress again in December of 1845 “to procure the passage of a Law for the relief of Pre-emption Settlers on the Miami Reserve.”698 “If,” however, “the passage of such an act cannot be procured,” the petition instructed Indiana’s Representatives in Congress “to endeavor to procure remuneration to the settlers for their improvements.”699 Before the GLO opened portions of the Miami National Reserve to public auction in 1848, there was such high demand that Congress decided to sell the lands above the standard market price.700 The Indiana General Assembly responded accordingly. Believing that “injustice [had] been done to the settlers . . . in requiring them to pay two dollars per acre for their land in order to avail themselves of the benefit of such pre-emption laws,” the legislature requested their                                                              696 Act of 13 February 1843, Laws of a Local Nature, 27th sess., pp. 204-205. 697 Ibid. 698 Act of 19 December 1845, General Laws of the State of Indiana, 30th sess., pp. 126-127. 699 A subsequent resolution during the same session reflects the extent to which Indiana sought to accommodate the growing number of settlers in the state. On 19 January 1846 , the General Assembly sought to procure “the passage of a law by Congress, to grant to each . . . citizen of the United States settling bona fide on any public lands . . . a pre-emption to the same for three years . . . [and] to purchase one quarter section . . . so resided on, at fifty cents per acre.” See Ibid. pp. 131-132. 700 Gates, Public Land Law, p. 243. Gates notes that 1,776 pre-emption claims had been filed with the land offices at Winamac, Ft. Wayne, and Indianapolis.     214 “senators in Congress . . . to procure the passage of an act . . . reducing the price . . . to one dollar and twenty-five cents per acre.”701 Congress refused to compromise. The following year, state lawmakers passed yet another resolution, this time instructing Indiana’s representatives “to use their utmost exertions to procure the passage of a law . . . postponing the public sales . . . for five years.”702 Congress still had made no concessions by the time land sales commenced in May of 1848.703 By mid-century, settler pre-emption rights had been firmly established in the state and federal statutory and common law. As a result of the individual allotment system, Indian-settler land disputes arose with greater frequency. In 1849, the Supreme Court of Indiana addressed the legal issues surrounding this problem for the first time in Longlois v. Coffin.704 The facts of the case centered on the Miami Treaty of 1837, in which several individuals from the tribe, including the plaintiff Peter Longlois, were to receive specified grants of land “by patent from the president of the United States.”705 However, when Longlois received the patent, it had apparently excluded a section of the original grant included in the Treaty. Instead, the U.S. had granted a portion of the land to the state, which was subsequently sold to the defendant named in the case. The Court dismissed Longlois’s claim on the grounds that the Treaty grant merely amounted to a contract for                                                              701 Act of 14 January 1847, General Laws of the State of Indiana, 31st sess., p. 156. 702 Act of 13 January 1848, General Laws of the State of Indiana, 32nd sess., pp. 101-102. 703 See United States, House Journal, 30th Congress, 1st Sess., pp. 637-638 (30 March 1848, the House of Representatives referred both resolutions to the Committee on Public Lands); United States, Senate Journal, 30th Congress, 1st Sess., p. 248 (31 March 1848, the Senate ordered both resolutions to lie on the table); Ibid. 2nd Sess., pp. 280-281 (1 March 1849, the Senate discharged the Committee on Public Lands from further consideration of Indiana’s Resolutions). 704 Longlois v. Coffin, 1 Ind. 446 (1849). 705 Ibid. The Miami Treaty was signed on 23 October 1834; however, because it failed to stipulate removal, President Andrew Jackson’s veto delayed congressional ratification until 22 December 1837. The Tribe ceded over two hundred thousand acres of the Miami National Reserve. In return, treaty provisions issued nearly fifteen thousand acres of land in fee simple patents to individual members; see “Treaty with the Miami,” 23 October 1834, in Kappler, Indian Affairs, Vol. 2, pp. 425-428; also see Rafert, Miami Indians, pp. 95, 96.     215 the future conveyance of lands by patent.706 Any error of assignment, the Court held, fell directly with the federal government, thus exempting the state from further remedy to which Longlois could appeal.707 By assigning superior title to the settler in this case, the decision threatened to undermine potentially hundreds of individual Indian land grants in Indiana made under previous treaties with U.S. government. But while tribal land rights may have diminished under the terms of settler custom, individual Indians continued to challenge the legal inequities of pre-emption and, on occasion, their efforts proved successful. In 1855, Gabriel Godfroy successfully petitioned the Miami Circuit Court to evict Jesse Poe, a squatter, from the Godfroy family lands.708 According to the agreement filed by Godfroy on 16 March 1855, Poe was “to have possession of the premises . . . dwelling house and corn crib until the first of May next[,] at which time deft is to give entire & absolute possession of all the said lands and tenements to the Plaintiff.” In rendering judgment, the Court ruled that “Plaintiff Gabriel Godfroy [was to] have restitution of said premises” and “recover of said Defendant his costs in this behalf expended.”709 Nine years later, however, the Supreme Court of Indiana sustained the superiority of squatters’ title over Indian title. In Sumner v. Coleman, the Court held that while a squatter “might have been a trespasser when he entered . . . before the treaty extinguished                                                              706 Longlois, p. 447. “The correct doctrine on the subject,” Judge Blackford wrote, held that “. . . [w]here a treaty says that the title to a certain tract of land is thereby vested in a certain individual, his heirs, and assigns, the treaty operates as a grant of the land.” However, where a treaty stipulates that a “section of land, at a specified point, shall be granted to a certain person, his heirs, and assigns, by a patent from the president of the United States, the clause amounts only to a contract that the land shall be afterwards properly located by an agent of the government, and be conveyed by a patent from the president.” 707 “It may be that the general government has not done its duty as to the claim of the complainant, but with that we have nothing to do. That government is not a party to this suit; and if it was, we have no power to enforce the performance of its contracts or duties.” See Longlois, p. 448. 708 Godfroy v. Poe, Miami Circuit Court, Order Book C (16 March 1855), p. 194. Also see Rafert, Miami Indians p. 147. 709 Godfroy p. 195.     216 the Indian title, . . . his occupancy afterward was recognized . . . as having been legal as a pre-emptioner, . . . giving him the equitable rights of such a person.”710 The squatter in this case, Hannaniah Hewitt, had settled a tract of land belonging to the Pottawatomie Tribe early in 1832. In October of that year, the Tribe signed a treaty in which the United States “agreed to select and convey some one, but no particular section” to Chief Topenehe.711 In 1835, “the administration at Washington determined that Indian reservations must be located on lands not settled on those seeking to appropriate them under pre-emption claims, and that locating agents should be so instructed.”712 However, sometime “[i]n 1836 or 1837, . . . [Indian agent] Douglass made the location for Topenehe . . . embracing” the section of land “of which Hewitt was in possession as a pre-emption claimant.” “In deciding upon conflicting titles derived from the state or the United States,” Judge Samuel Perkins held that the squatter held “prior equity” and was “entitled to the legal title.” The selection for Topenehe, on the other hand, whether made by “mistake or design,” was in “violation and abrogation of an equitable title in Hewitt” and “an attempt to divest [his] vested right and title to property.”713 Whereas adverse possession would otherwise have posed conflict of title claim, the right of pre-emption vested superior title in the common settler. While the idea of the Indians as occupants, rather than owners, of their land had become a “well-known fact” in the years following Johnson, the western states reinforced the                                                              710 Sumner v. Coleman, 23 Ind. 91 (1864). 711 Ibid. For the treaty provision granting an individual reserve to Topenehe (or To-pen-ne-bee), see “Treaty with the Potawatomi,” 27 October 1832, Kappler, Indian Affairs, Vol. 2, p. 373. 712 Sumner, p. 91. 713 Ibid. p. 92.     217 notion that the sources of American property law originated in common settler usage.714 The normative force of these practices depended upon the authoritative, value-laden narratives set forth in cases like Armstrong, Longlois, and Sumner, as well as speeches such as those given by Senator Smith. Yet the legality of settler usage also depended upon the absence of pre-existing norms, which would otherwise have introduced conflict. By retrospectively portraying the western frontier as a jurisdictional “wasteland” simply awaiting “civilization,” organization, and “improvement,” these stories introduced normative discontinuity rather than reciprocity or recognition. Such is the myth of settler sovereignty, a myth rooted in colonization, territorial expansion, and state formation. The legal and extra-legal means by which this narrative evolved, form part of the story that remains to be told.                                                              714 Banner, Indians, p. 188, quoting an 1827 congressional committee report.     218 CHAPTER 3: LAW, HISTORY, AND THE ROLE OF CUSTOM: SETTLER SOVEREIGNTY AND COLONIAL CULTURE IN INDIANA “No set of legal institutions or prescriptions exists apart from the narratives that locate it and give it meaning.” –Robert Cover715 The American Revolution marked an ideological departure from British notions of sovereignty, helping redefine the concept throughout the colonial world by asserting jurisdiction in absolute, territorial terms. Guided by their own sense of proto- nationalism, British settler polities embarked upon a global campaign of legal reform during the first decades of the nineteenth century, seeking to contain the jurisdictional diversities of legal pluralism.716 This “Empire of Uniformity,” as James Tully refers to it, sought to consolidate its constitutional identity by exercising authority over a culturally homogeneous society.717 The means by which the settler polities exercised sovereignty differed markedly. As Laura Benton observes, “[w]hile the project of legal pluralism [in some parts of the colonial world] was slowly producing a space for the . . . state as a repository of rules about legal interaction, in [other] settings the shift to state legal hegemony took place . . . without the creation of an elaborate system of multiple legal spheres.”718 Unlike most British colonies, which governed through a decentralized hierarchy of Indigenous legal institutions, the American settler states assumed a position of direct rule over the Indian                                                              715 Robert M. Cover, “Foreword: Nomos and Narrative,” Harvard Law Review, Vol. 97, No. 1 (Nov. 1983): p. 4. 716 Lisa Ford, Settler Sovereignty: Jurisdiction and Indigenous People in America and Australia, 1788- 1836, Cambridge, Mass: Harvard University Press, 2010, p. 21. 717 James Tully, Strange Multiplicity: Constitutionalism in an Age of Diversity, Cambridge: Cambridge University Press, 1995, pp. 58-98. Paul McHugh adds to Tully’s analysis by remarking that “the colonial and American Leviathans became distinct Empires of Uniformity.” See P.G. McHugh, Aboriginal Societies and the Common Law: A History of Sovereignty, Status, and Self-Determination, Oxford: Oxford University Press, 2004, p. 129. 718 Laura Benton, Law and Colonial Cultures: Legal Regimes in World History, 1400-1900, New York: Cambridge University Press, 2002, p. 167; also see McHugh, Aboriginal Societies, p. 129.     219 tribes. The reasons for these differences depended upon the demographic and socio- economic circumstances unique to each society. British colonists in Africa and Southeast Asia sought to extract commodities and raw materials for trade in the international marketplace, but American colonists had settled, occupied arable land, and set out to recreate communities similar to those they left in Britain. Most British colonial projects depended upon an effective system of organized Indigenous labor, while the comparatively sparse population of Native peoples in North America resulted in their displacement by the settler polity.719 Despite their differences, British and America settler polities shared common characteristics in containing the jurisdictional diversities of colonial society. These attributes included: (1) a dominant legal ideology based on a hierarchal system or norms; (2) official criteria for recognition of customary or Indigenous law (especially in matters of property law, family law, and inheritance); and (3) rules and techniques of legal interaction.720 The basis of these commonalities existed because of a shared history rooted in conquest and settlement, resulting in a global diaspora of language, common law culture, governmental and non-governmental institutions, household structures, land tenure, and customary law jurisprudence.721 The continuity of common practices resulted from a burgeoning international trade and commerce, foreign diplomacy, and a global network of information exchange in legal publishing and newspapers.722                                                              719 Ford, Settler Sovereignty, p. 6. 720 See M.B. Hooker, Legal Pluralism: An Introduction to Colonial and Neo-Colonial Laws, Oxford: Clarendon Press, 1975, pp. 4, 55. 721 Ford, Settler Sovereignty, pp. 3, 5, 8. 722 See generally, Zoe Laidlaw, Colonial Connections, 1815-1845: Patronage, the Information Revolution and Colonial Government, Manchester, UK: Manchester University Press, 2005.     220 Some scholars either overlook these parallels or reject them completely. For example, anthropologist Bernard Cohn suggests that “[t]he indigenous populations encountered in North America were quickly subjugated, relocated, or decimated, and even though there continued to be, from the colonial perspective, a ‘native’ problem, it was a military and political one, requiring little in the way of legal or administrative innovation.”723 This chapter overturns these assumptions. Situated within a global context of Indigenous-settler relations, the following sections explore the continuities and discontinuities of colonialism in Indiana settler society. The story that emerges traces the ideas and practices that circulated throughout the colonial world, across the peripheries of empire, and into the local courtrooms, legislative chambers, and other institutions of the settler state. Above all, the search for settler sovereignty entailed a larger narrative discourse, a rhetoric and mythos preoccupied with legal and constitutional origins. By adopting the colonial-era “birthright” principle of common law rights and privileges, the post- Revolutionary jurists set out to create a legal system independent of the imperial yoke. To suggest origin in conquest simply perpetuated England’s cultural and political hegemony over North America. “[T]he English emigrants who came out to settle in America,” Virginia jurist St. George Tucker wrote in 1803, “[brought] with them all the rights and privileges of free natives of England; and . . . that portion of the laws of the mother country, which was necessary to the conservation and protection of those rights.”724 Contemporary legal writers and political essayists shared these views widely,                                                              723 See Bernard S. Cohn, “Colonialism and Its Forms of Knowledge: The British in India” in Cohn, The Bernard Cohn Omnibus, New Delhi: Oxford University Press, 2004. p. 57. 724 In the seventh edition to his Commentaries published in 1775, William Blackstone added an expanded discussion on the authority of English laws in the British colonies. Restating Lord Coke’s distinction     221 and by the early nineteenth century the retrospective classification of America as a “settled” colony had become established doctrine. The British colonies quickly followed suit. Settler polities in India, West Africa, New South Wales, New Zealand, and other territories otherwise considered conquered or ceded, asserted birthright claims to the common law in their own political and constitutional discourse.725 Part one of this chapter discusses the testimonial restrictions on American Indians under Indiana law and policy and the debates that eventually led to reform. To depict the past and present through narrative became an instrumental means of creating normative value, doctrinal coherence, and self-referential authority. The law of evidence was critical to this process, leaving little room for legal pluralism and open dialogue. Until the late-nineteenth century, many states restricted American Indians from testifying in courts of law. Similar restrictions in the British colonies denied Indigenous peoples, as non- Christians, the credibility to provide admissible evidence. Another feature of the settler polity’s administrative scheme was the creation of “customary” law. An integral part of the colonial structure of legal pluralism, customary                                                                                                                                                                                   between settled and conquered/ceded colonies, Blackstone classified the “American plantations . . . [as] this [latter] sort, being obtained . . . either by right of conquest and driving out the natives . . . or by treaties.” As a result, “the common law of England . . . ha[d] no allowance or authority there; they [the “natives”] being no part of the mother country, but distinct (though dependent) dominions.” See William Blackstone, Commentaries on the Laws of England, 7th ed., Vol. 1, Oxford: Clarendon Press, 1775, pp. 107-108. Tucker’s restatement of the Commentaries, as quoted above, served to refute as “erroneous” Blackstone’s claims of America as founded in conquest; see St. George Tucker, Blackstone's Commentaries: With Notes of Reference to the Constitution and Laws of the Federal Government of the United States and of the Commonwealth of Virginia, Vol. 1, Philadelphia: W.Y. Birch and A. Small, 1803, pp. 382-384; also see Ellen Holmes Pearson, “Revising Custom, Embracing Choice: Early American Legal Scholars and the Republicanization of the Common Law,” in Eliga H. Gould and Peter S. Onuf, eds., Empire and Nation: The American Revolution in the Atlantic World, Baltimore: Johns Hopkins University Press, 2005, p. 101. On how Blackstone’s view of the America as a conquered colony contributed to the Revolution, see Beverly Zweiben, How Blackstone Lost the Colonies: English Law, Colonial Lawyers, and the American Revolution, New York: Garland Publishing, Inc., 1990. 725 See McHugh, “Common-Law Status,” pp. 420-427; also see Marete Falck Borch, Conciliation, Compulsion, Conversion: British Attitudes Towards Indigenous Peoples, 1763-1814, New York: Rodopi, 2004, p. 223.     222 law—with its carefully crafted jurisdictions, separate institutions, and distinct rules based on local “traditions”—sustained the idea of a Native legal culture distinct from yet dependent upon the settler polity.726 In English common law, judges followed a specific set of criteria to determine the legal force of custom. However, as a colonial transplant, customary law experienced fundamental problems in relation to the Native legal systems that British and American authorities sought to administer. “Each of these jurisdictions,” David Bederman observes, “confronted questions as to the application and ascertainment of custom, the resolution of conflicts between customary regimes, the potential repugnancy of customary norms with common law or constitutional principles, the dynamic of codification of custom and the role of courts in that process.”727 A key evidentiary dilemma, as Bederman points out, was “whether a customary rule should be treated as a matter of law for sole determination by a judge, or, rather, as a question of fact that must be pleaded and proven by the parties.”728 In English-based common law systems, “judicial notice” refers to a judge’s recognition of something as fact without the necessity of proof by evidence. The doctrine distinguishes matters of fact from matters of law. The former may include certain historical facts, geographic facts, or, quite simply, “generally known facts.”729 Matters of law, on the other hand, refer to constitutional or public statutory law, or the prior decisions of courts (case law)                                                              726 Ann Marie Plane, “Customary Laws of Marriage,” in Christopher L. Tomlins and Bruce H. Mann, eds., The Many Legalities of Early America, Chapel Hill: University of North Carolina Press, 2001, p. 209. 727 David J. Bederman, Custom as a Source of Law, New York: Cambridge UniversityPress, 2010, p. 61. For an earlier overview and analysis of these “problems,” see Sir Kenneth Roberts-Wray, Commonwealth and Colonial Law, New York: Praeger, 1966, pp. 534-538. 728 Bederman, Custom, 2010, p. 61. 729 In Indiana, for example, judges have long taken notice of matters related to “public history” (Williams v. State, 64 Ind. 553 (1878); Stout v. Board of Com’rs of Grant County, 107 Ind. 343 (1886); and Smith v. Pedigo, 145 Ind. 361 (1896)), English common law reception (Johnson v. Chambers, 12 Ind. 102 (1859)), land grants (Carr v. McCampbell, 61 Ind. 97 (1878)), the history of canals and internal improvements (City of Indianapolis v. Indianapolis Water Co., 185 Ind. 277 (1916)), county history (Mode v. Beasley, 143 Ind. 306 (1896)), or economic history (Martin v. Loula, 208 Ind. 346 (1935)).     223 of the same or superior jurisdiction. Such distinctions in legally plural societies have often presented sharp ideological conflict.730 Whereas Native peoples recognized and applied their own laws and customs to matters arising internally, in most colonial legal systems the courts associated Native law with foreign law, a question of fact to be specially pleaded.731 Similar rules of evidence operated in the states, since the courts refused to judicially notice “foreign” laws, having become “no part of the general law of the land.”732 Under this analogical reasoning, judicial recognition of Indian laws and customs followed principles of private international law or conflict of laws theory.733 Part two of this chapter examines the extra-legal, ethnographic foundations of customary law in societies that recognize legal pluralism. The means of ascertaining or “proving” Native customary law—whether in British colonial “native courts” or American settler common law courts—involved a larger empirical lens. British and Anglo-American jurists sought to define Native custom in a manner consistent with English common law principles of recognition; however, in realizing the practical limitations this effort entailed, legal authorities used supplemental forms of discovery or                                                              730 “What are perceived as facts in one [legal] tradition may be seen as profoundly symbolic and normative in another.” See H. Patrick Glenn, Legal Traditions of the World: Sustainable Diversity in Law, 4th ed. Oxford: Oxford University Press, p. 14. 731 See A.N. Allott, “The Judicial Ascertainment of Customary Law in British Africa,” Modern Law Review, Vol. 20, No. 3 (May, 1957), p. 246. 732 “Particular customs . . . , like the statutes of other states and foreign laws, being no part of the general law of the land, must be set forth in the pleading of the party relying on them[;] [t]hey are pleaded as matters of fact; and their existence may be denied by plea. When denied, they must be proved as other facts are proved.” See Elliott v. Ray, 2 Blackf. 31(1826). Not until 1936, when the National Conference of Commissioners on Uniform State Laws recommended the Uniform Judicial Notice of Foreign Law Act for adoption, would American courts begin taking judicial notice of the common and statutory law of other jurisdictions. Indiana adopted the Act in 1937; see Act of 9 March 1937, Laws of the State of Indiana, 80th sess., pp. 703-705. The title to the act, however, is somewhat misleading as it applied only to the recognition of jurisdictions within the United States; see Arthur K. Kuhn, “Judicial Notice of Foreign Law,” American Journal of International Law, Vol. 39, No. 1 (Jan., 1945): pp. 86-89. 733 See, for example, Herbert F. Goodrich, “Foreign Marriages and the Conflict of Laws: Non-Christian Marriages,” Michigan Law Review, Vol. 21, No. 7 (May, 1923): pp. 759-764, discussing American Indian marriage and divorce customs.     224 evidence gathering.734 A central feature of Enlightenment-era empirical philosophy (and intellectual foundation to modern international and comparative law), legal ethnography emerged as a descriptive, analytical method of studying the norms, customs, and social structures of foreign and exotic cultures.735 This process assisted the courts in taking cognizance of Native custom as a special legal category. Once recorded, this knowledge could be systematically interpreted, arranged, classified, and diffused to and from other sites of epistemological inquiry and knowledge making. Archives, museums, and institutions of public learning played important parts in this process. During the early to mid-nineteenth century, the growth of professional and academic institutions in the United States and throughout the colonial world nurtured a culture of expertise in which state access to specialized knowledge formed the pragmatic basis of law and policy. As one intellectual repository of the settler state, the Indiana Historical Society (IHS) facilitated the forensic process of discovery through the collection, preservation, and diffusion of Native laws and customs.736 Thus, as the “legal transformations accompanying colonialism” paralleled changes in other institutional “forms of knowledge and representation,” an appropriate view of judicial notice necessarily entails the empirical methods of administration in the settler state.737                                                              734 On the colonial analogies imposed on Native customary law, see A. St. J.J. Hannigan, “Native Custom, Its Similarity to English Conventional Custom and Its Mode of Proof,” Journal of African Law, Vol. 2, No. 2 (Summer, 1958): pp. 101-115. 735 Eve Darian-Smith, “Ethnographies of Law,” in Austin Sarat, ed., The Blackwell Companion to Law and Society, Malden, Mass.: Blackwell Publishing, 2004, p. 545. 736 This is a central theme in Oz Frankel’s study of the nineteenth-century state’s political role in the fields of knowledge and print in States of Inquiry: Social Investigations and Print Culture in Nineteenth-Century Britain and the United States, Baltimore: Johns Hopkins UniversityPress, 2006, especially chapter seven, “Archives of Indian Knowledge,” and chapter eight, “The Purloined Indian.” 737 Quotes taken from Sally Engle Merry, “Anthropology, Law, and Transnational Processes,” Annual Review of Anthropology, Vol. 21 (1992), p. 365.     225 By examining the relationship of knowledge to power, this chapter places a strong emphasis on theories of post-modernism. According to scholars such as Michel Focault, Edward Said, and Bernard Cohn, colonialism represented not so much a physical act of conquest than a form of intellectual occupation, an invasion of epistemological space or harnessing of Indigenous knowledge systems, which decidedly reconfigured the balance of power in settler society. Accordingly, these theories posit that Native customary law “was not a relic of a timeless pre-colonial past” but rather an “historical construct” of the colonial encounter itself.738 In many ways, these ideas hold true. Yet to examine customary law through the skewed lens of post-modernism and to label it as purely “invented tradition,” ignores the complexities and ironies of colonial legal culture.739 The myth of colonialism—as a unilateral act of conquest, instrument of domination, or means of exporting “civilization”—collapses when we examine the diversity of relations between the colonizers and colonized, including the influence of Native peoples in the design, meaning, application, and transformation of customary law. Part three of this chapter explores the state recognition of Native marriage customs through case study analysis. Beginning with an overview of important English decisions, this section looks at how the rule of recognition evolved under imperial common law principles of continuity and the extent to which this legal philosophy provided a doctrinal framework for the common law recognition of Indian custom in the settler states. Roche v. Washington provides a unique window into the complexities and ironies of colonial legal culture in nineteenth-century Indiana.                                                              738 Ibid. p. 364. 739 Eric Hobsbawm and Terence Ranger, eds., The Invention of Tradition, Cambridge, UK: Cambridge University Press, 1992; also see Bederman, Custom as a Source of Law, p. 60.     226 Dialogical Limits to Customary Laws of Evidence: Restricting American Indian Testimony in the Indiana Courtroom   “If he is a Hindoo or a Mahometan, we adopt the form of oath he uses. But the New Zealander, the Australian, the Caffre and the Indian, have no such usage. . . . [Consequently, they are] rejected if brought into the witness box.” –Testimony of Saxe Bannister, Former Attorney-General of New South Wales, 31 August 1835 The state’s claim to legal jurisdiction entailed a promulgation of rules, including those concerning the practice of law and who could participate as parties, witnesses, and members of a jury.740 Until after the Civil War, most state courts upheld statutes that barred Indians from testifying as witnesses.741 Indiana was no exception. The state restricted American Indians, along with African-Americans, from testifying in cases involving whites until 1867. While ideas of race and religion played a central role in this legal proscription, the question of whether to admit Native testimony at trial involved issues of greater historical depth and complexity, extending well beyond the temporal and jurisdictional boundaries of nineteenth-century U.S. law and policy as a long-standing legal inquiry into the law of the “other.” With deep roots in English and Continental jurisprudence, the ancient practice of admitting testimony “according to the law by which one lives,” served as a pragmatic strategy and principle of comity for dealing with any number of inter- community conflicts. Only with the rise of legal positivism, and the rules by which the principle of territorial jurisdiction governed all communities alike, would the overriding                                                              740 Benton, Law and Colonial Cultures, p. 17. 741 Although a source of criticism and debate among federal officials during the early national period, state laws barring Indian testimony received insufficient attention for repeal until the Reconstruction era; see Gerard N. Magliocca, “The Cherokee Removal and the Fourteenth Amendment,” Duke Law Journal, Vol. 53, No. 3 (Dec., 2003): pp. 903, 940.     227 concern become that of determining the validity and reliability of witness testimony based on characteristics such as race, sex, age, and religion.742 The recognition of personal or customary laws of evidence did not simply vanish with the assumption of state authority. In Indiana, for example, statutory and constitutional provisions sustained the principle of personal law in matters of testimony and courtroom evidence. The difference, of course, lay in the means of recognition. Although the credibility of witness testimony remained contingent upon community acceptance (as embodied in the common law jury system), the competency of witnesses depended on the external criteria of state authority. During the late medieval period, the Romano-Canon legal tradition in Europe began to replace instruments of irrational proof, judicial torture, and other ordeals with rational forms of inquiry and critical evaluation of evidence. Witnesses played an increasingly critical role in the evolution of this complex analytical process.743 Local custom performed an equally important function in matters of proof and evidence. England, as with the Continental nations, was a culturally plural society with multiple legal traditions during the High Middle Ages. Although the Crown held jurisdiction over administrative and judicial matters throughout the realm, outlying borough and rural courts operated according to local practice. In most borough charters, English kings entitled certain groups, communities, or towns to administer their own affairs “according to the ancient                                                              742 Marianne Constable, The Law of the Other: The Mixed Jury and Changing Conceptions of Citizenship, Law, and Knowledge, Chicago: University of Chicago Press, 1994, pp. 2, 25. 743 Barbara J. Shapiro, A Culture of Fact: England, 1550-1720, Ithaca, NY: Cornell University Press, 2000, p. 8.     228 law of the borough which they had in the time of our ancestors.”744 By recognizing the “ancient custom” of localities, these charters explicitly conveyed the idea that communities should be judged by their own people and according to their own laws.745 The same principle applied to immigrants, foreigners, trade merchants, and other distinct communities throughout England. Local jurors and witnesses (the distinction being less evident than today)—as persons most knowledgeable of their community’s practices—presented evidence at trials administered by other members of the vicinage. Jewish peoples, for example, exercised jurisdiction over disputes arising among themselves (until their expulsion from England in 1290) and—while mistrust and contempt toward the Jews certainly pervaded English society—the courts recognized the lex Judaica in matters related to debt, petty crime, marriage, and inheritance.746 In Christian-Jewish disputes, an 1190 royal charter required plaintiffs to call upon a witness from both religious denominations. The charter also provided that if a Jew “be summoned by anyone without a witness, [he] shall be acquitted of that summons by only an oath upon their book.”747 By the mid-sixteenth century, testimony had become essential to English common law proceedings. However, customary local practice had assumed a position of lesser standing. Although the doctrine of stare decisis had not yet taken root, the gradual centralization of courts and the reduction of law to its written form, prompted concerns over how to recognize the diversity of customs in resolving conflicts that arose between members of distinct communities. Throughout the early modern period, different                                                              744 Constable, Law of the Other, p. 11, quoting King John’s 1201 Charter to the Borough of Cambridge. 745 Ibid. 746 Ibid. pp. 16, 18. 747 1190 Charter of King Richard I, as quoted in Robert Chazan, ed., Church, State, and Jew in the Middle Ages, New York: Behrman House, 1980, p. 68; also see Constable, Law of the Other, pp. 18-19.     229 evidentiary standards emerged to assist the courts in determining the credibility and competency of witnesses. Oaths played an important part in this process. Although predating the introduction of witness testimony in trials at common law, oath-taking— intended to deter perjury or false testimony—generated a sense of authority, fidelity, and honesty in the courtroom.748 By distinguishing questions of law from questions of fact, judges decided the competency of witnesses to testify in trials at common law. On the other hand, courts in early modern Europe often left the jury to determine witness credibility. In drafting his “Proclamation for Jurors,” published in 1607, English lawyer-philosopher Sir Francis Bacon wrote that the common law left “the discerning and credit of testimony wholly to the Juries’ consciences and understandings.”749 Sir Matthew Hale, another leading seventeenth-century English jurist, agreed, insisting that jurors were “judges of the fact, and likewise of the probability or improbability, credibility or incredibility of the witnesses and the testimony.”750 To assist juries with weighing testimony at trial, common law jurists developed indicia of witness credibility. These factors, historian Barbara Shapiro outlines, included “gender, property holding, social status, education, and expertise,” as well as “the oath taken by witnesses and whether or not the testimony was hearsay” or second-hand evidence.751 Other indicia included the witness’s moral character, community reputation,                                                              748 Ibid pp. 12, 19-20. 749 James Spedding, ed., An Account of the Life and Times of Francis Bacon, London: Trübner and Co., 1878, p. 513. 750 Quoted by Shapiro, Culture of Fact, p. 14. 751 Ibid.     230 and age. Children, for example, lacked the appropriate “skill and discernment” needed to testify.752 Religion became a particularly important value in measuring witness credibility as well. “One’s reputation for piety was a relevant consideration,” Shapiro adds, “and those who were ‘atheistical and loose to oaths’ were not to be given the same credit as ‘men of good manners and clear conversation.’”753 The role of religion would come to have a powerful impact on the admissibility of testimony from Indigenous peoples. Colonial municipal courts throughout the British Diaspora often excluded Natives as witnesses because, as “non-Christians,” judges presumed they were unable to empathize with the sanctity of an oath or, as was often the argument, fear divine punishment for false testimony.754 In his Institutes of the Laws of England, Sir Edward Coke espoused the principles of Christianity as fundamental to the English common law. The only reliable oath, he held, was “an affirmation or denial, by any Christian, of any thing lawful and honest, before one or more that have authority to give the same for advancement of truth and right, calling Almighty God to witness, that his testimony is true.”755 Because non- Christian witnesses lacked the capacity for being sworn under English common law, their testimony was inadmissible.756 In 1744, the English Court of Chancery held in Omychund v. Barker that non- Christian testimony was, contrary to Coke’s dictum, admissible on the grounds of                                                              752 Ibid. p. 16, quoting Sir Geoffrey Gilbert, Law of Evidence. 753 Ibid. p. 17, quoting Gilbert, Law of Evidence. 754 Benton, Law and Colonial Cultures, p. 185. 755 Coke, The Fourth Part of the Institutes of the Laws of England (1628), as quoted by Reginald Good, “Admissibility of Testimony from Non-Christian Indians in the Colonial Municipal Courts of Upper Canada/Canada West,” Windsor Yearbook of Access to Justice, Vol. 23, No. 1 (2005): p. 57. 756 Good, “Admissibility,” p. 57.     231 established evidentiary standards.757 The issue before the Court was whether deposition testimony, taken in the colonial province of Bengal and sworn under oath by witnesses declaring the Gentou (Hindu) faith, could be admitted at trial in England.758 For the Court, Lord Chancellor Hardwicke rejected the defense counsel’s argument that permitting the oath of an “infidel” stood at variance with the principles of English common law.759 In practical terms, Lord Chief Justice Lee of the Court of King’s Bench held that the administration of an oath followed a “positive, artificial” rule of evidence, “framed by men for their Convenience in respect to the Transaction of Business in Courts of Justice.”760 Although no assurance against perjury, Lord Chief Baron Parker of the Court of Exchequer added that the credibility of sworn testimony “must be left to the Jury.” In dissenting opinion, Lord Chief Justice Willes of the Court of Common Pleas argued that “the usual Stile” of administering an oath in English courts required that witnesses swear upon the Christian scriptures. The admission of Gentou witnesses sworn according to ceremonies of their own religion constituted a “Novelty.”761 According to Parker’s reasoning, however, “[t]he Law of England [was] not confined to particular Precedents and Cases,” but rather based on general principles and standards governing                                                              757 Ibid. p. 56. 758 See Ibid. pp. 57-58 for an extended treatment of the facts of the case. 759 Ibid. p. 58. Although separate from the common law courts, the English Court of Chancery, often referred to as a “court of conscience,” sought to reinforce the law of England rather than undermine it. Free from strict rules and rigid procedures, “[e]quity had come not to destroy the law, but to fulfill it.” See Frederic W. Maitland, Equity, Also, The Forms of Action at Common Law: Two Courses of Lectures, eds. A.H. Chaytor and W.J. Whittaker, Cambridge: University Press, 1910, p. 17; also see John H. Baker, An Introduction to English Legal History, 4th ed., London: Butterworths LexisNexis, 2002, pp. 102-103. 760 Good, “Admissibility,” p. 58. Until the late eighteenth century, despite frequent antagonisms, chancellors often called upon common law judges for advice; see William Lindsay Carne, “A Sketch of the High Court of Chancery from its Origin to the Chancellorship of Wolsey,” Virginia Law Register, N.S., Vol. 13, No. 7 (Nov., 1927): p. 412. On the often-volatile relationship between the two courts, see Baker, English Legal History, pp. 108-109. 761 “Evidence and Witnesses,” English Reports, Vol. XXII: Chancery, II, London: Stevens & Sons, Ltd., 1902, pp. 341, 342; and Good, “Admissibility,” p. 59.     232 the decisions.762 These principles—seven of which Lord Chancellor Hardwicke distinguished in his opinion—justified the admission of sworn, non-Christian testimony; five of these concern this study’s analysis: (1) the rule of best evidence; (2) reciprocity in matters of international commercial law; (3) utility; (4) natural justice; and (5) the law of nations, which admitted different forms of the oath to accommodate a “particular Religion.”763 With Omychund, English jurists had largely discarded the distinction between Christian and “infidel” nations in recognizing the laws and customs of a conquered people. By virtue of the imperial common law principle of continuity, customary laws of evidence and testimony remained in force in the British colonies. As Attorney-General of New South Wales Saxe Bannister would later state, “no native who has not the practice in his own country of making an oath in a court of justice, should be compelled to take an oath in our courts; he should be admitted as a witness upon the same terms as regulate him in his own country.”764 Until the late-nineteenth century, however, very few colonial municipal courts applied this principle in cases involving non-Christian testimony. Reginald Good attributes this departure to a widely-circulated version of the Omychund case published in Atkyns’ Reports (John Atkyns was the defendant’s counsel), a summary analysis of the ruling that excluded key points in support of admitting non- Christian testimony. Early nineteenth-century English treatises on the law of evidence incorporated this diluted analysis of the case, generating strict rules that often barred                                                              762 Quoted by Good, “Admissibility,” p. 59. 763 Ibid. p. 60. The other two principles concerned the presumed necessity of available witnesses had the case arisen in the foreign country; and that the contract was an expression of the parties’ intent and the exclusion of one’s testimony over another would have deprived their mutual right to sue. 764 Testimony of Saxe Bannister, Former Attorney-General of New South Wales, 14 March 1837, as quoted in Good, “Admissibility,” p. 77.     233 testimony from non-Christian Natives.765 In 1805, Judge-Advocate Richard Atkins held that Aboriginal peoples were “incapable” of legal standing before a court, because “the evidence of Persons not bound by any moral or religious Tye can never be considered or construed as legal evidence.”766 British courts tended to follow this reasoning throughout the nineteenth century. Not until the 1870s would the colonies begin to amend their legislation allowing non-Christian Natives to testify upon taking an affirmation in lieu of an oath.767 Whereas religious principles often determined the rule of exclusion in most of the British colonies, race played a predominant role in the Anglo-American law of evidence. Prior to the eighteenth century, the Native tribes governed themselves largely independent of the British colonists in North America. However, when cases arose involving Indian litigants, colonists struggled with the question of witness competency.768 Early colonial laws made limited provisions. For example, a 1666 Massachusetts Bay Colony criminal statute, adopted as well in the Plymouth Colony the following year, provided “that the accusation, information, or testimony of any Indian . . . shall be accounted [for] sufficient conviction of any English person . . . suspected to sell, trade, or                                                              765 Good, “Admissibility,” p. 61. 766 As quoted in Nancy E. Wright, “The Problem of Aboriginal Evidence in Early Colonial New South Wales,” in Diane Kirkby and Catharine Coleborne, eds., Law, History, Colonialism: The Reach of Empire, Manchester, Eng.: Manchester University Press, 2001, p. 141. 767 By the late 1830s, several colonial jurists and legislators had begun to question the effectiveness of these legal restrictions. In response, the English Parliament passed “The (Colonies) Evidence Act” on 1 May 1843, which allowed the courts to receive unsworn testimony from “Tribes of barbarous and uncivilized peoples, destitute of knowledge of God and religious belief.” However, at the time of its passage and for several decades thereafter, colonial lawmakers failed to pass internal legislative measures implementing the Act. Canada and New South Wales passed legislation in 1874 and 1876 respectively, which lifted testimonial restrictions; see, generally, Wright, “Aboriginal Evidence,” pp. 140-155; and Good, “Admissibility,” pp. 55, 72-73. 768 James Bradley Thayer, “A Chapter of Legal History in Massachusetts,” Harvard Law Review, Vol. 9, No. 1 (25 April 1895): p. 3. The issue also arose in matters involving other “peculiar classes,” specifically the Quakers.     234 procure any wine, cider, or liquors . . . to any Indian or Indians, unless such English shall, upon their oath, clear themselves from any such act.”769 As interaction grew and disputes intensified, colonial lawmakers soon realized that the Indians “would be greatly disadvantaged if no testimony should . . . be accepted upon oath.”770 Consequently, in 1674, the Plymouth Colony “ordered that any court of this jurisdiction before whom such trial may come, shall not be strictly tied up to such testimonies on oath as the common law requires, but may therein act and determine in a way of chancery, valuing testimonies not sworn on both sides according to their judgment and conscience.”771 By the early to mid-eighteenth century, colonial statutes regulating testimony had begun to classify Native peoples in distinct racial terms. In May of 1723, the Virginia House of Burgesses passed “An Act directing the trial of Slaves, committing capital crimes; and for the more effectual punishing conspiracies and insurrections of them; and for the better government of Negros, Mulattos, and Indians, bond or free.”772 Because the House found the laws to be “insufficient to restrain [the slaves’] tumultuous and unlawful meetings, or to punish secret plots and conspiracies carried amongst them,” lawmakers considered it necessary to extend testimonial privileges to those theretofore “not accounted legal evidence” in order to assist in “detecting and punishing all such                                                              769 Quoted at Ibid. p. 6. 770 Ibid. 771 Ibid. 772 Hening, Statutes at Large, Vol. IV (1711-1736), pp. 126-134; also see Oliver Perry Chitwood, “Justice in Colonial Virginia: Chapter III,” West Virginia Law Quarterly, Vol. 32, No. 4 (June, 1926): pp. 289-290. Virginia legislation would later have considerable influence on the construction of Northwest Territorial and Indiana Territorial statutes; see, generally, Earl D. Bragdon, “The Influence of the Virginia Code on the Development of the Laws of Indiana Territory, 1800-1816,” Master’s Thesis, Indiana University, 1956; and, on testimonial restrictions, see infra, p. 237.     235 dangerous combinations for the future.”773 Section three of the Act provided for the issuance of a commission, “impowered and required to cause the offender to be publicly arraigned and tried . . . and to take for evidence . . . the oath of one or more credible witnesses, or such testimony of Negroes, Mulattos, or Indians, bond or free.”774 In an attempt to ensure a greater degree of testimonial reliability, the Act further declared that “such Negroes, Mulattoes, or Indians, not being Christians, . . . may be under the greater obligation to declare the truth.”775 Such persons “found to have given a false testimony,” were to “be ordered by the said court to have one ear nailed to the pillory . . . and then the said ear to be cut off.” Moreover, “every such offender” was to receive “thirty-nine lashes . . . on his or her bare back, at the common whipping post.”776 In May of 1732, the Virginia House of Burgesses passed an act “in relation to the benefit of Clergy . . . and to disable certain Persons . . . to be Witnesses.”777 Section four of the Act provided “[t]hat when any negro, mulatto, or Indian whatsoever, shall be convicted of any offence within the benefit of clergy, judgment of death shall not be given . . . but he or she, shall be burnt in the hand in open court, by the jailor, and suffer such other corporal punishment, as the court shall think fit to inflict.”778 In such cases, however, greater testimonial restrictions applied to Indians and African-Americans. The Act acknowledged that “negros, mulattos, and Indians, [had] lately been . . . allowed to                                                              773 Hening, Statutes, IV, p. 126. 774 Ibid. p. 127. 775 Ibid. 776 Ibid. The Virginia House Of Burgesses passed a similar Act in 1748; see Hening, Statutes at Large, Vol. VI (1748-1755), pp.104-107. 777 Ibid. pp. 325-327. The “benefit of Clergy” plea in colonial Virginia entered legal practice from the criminal common law of England. The plea served as a type of motion in arrest of judgment in which the court declared a lesser sentence for first-time offenders only; see generally Jeffrey K. Sawyer, “‘Benefit of Clergy’ in Maryland and Virginia,” American Journal of Legal History, Vol. 34, No. 1 (Jan., 1990): pp. 49- 68; and Linda Rowe, “The Benefit of Clergy Plea,” Colonial Williamsburg [online], http://research.history.org (accessed 6 October 2010). 778 Hening, Statutes, IV, p. 326.     236 give testimony as lawful witnesses in the general court, . . . when they . . . professed themselves to be christians, and [were] able to give some account of the principles of the christian religion.” However, “forasmuch as they are people of such base and corrupt natures, that the credit of their testimony cannot be certainly depended upon, and some juries have altogether rejected their evidence,” sections five and six restricted their testimony “[f]or preventing the mischiefs that may possibly [have] happen[ed] by admitting such precarious evidence.”779 Twelve years later, however, the assembly amended these provisions. “[W]hereas many free negros, Indians, and mulattoes, avoid the paiment of their just debts . . . to the great loss and prejudice of honest creditors,” a 1744 act provided that “any free negro, mulatto, or Indian, being a christian, shall be admitted, in any court of this colony, or before any justice of the peace, to be sworn as a witness, and give evidence, for or against any other negro, mulatto, or Indian, whether slave or free, in all causes whatsoever, as well civil as criminal.”780 By the early nineteenth century, racial characteristics had clearly distinguished the criteria used in U.S. courts to bar Indian testimony. Western state and territorial laws often classified Indians with other racially-defined groups with diminished legal standing. As Deborah Rosen notes, “[a]lthough the separate and distinct political status of Indian tribes might have served as the original rationale for laws excluding Indians from voting and serving on juries, by the nineteenth century the exclusion was applied indiscriminately both to Indians who retained a tribal affiliation and to those who did not, signaling clearly the underlying racial reason.”781                                                              779 Ibid. pp. 326-327. 780 Hening, Statutes, Vol. V (1738-1748), pp. 244-245. 781 “Similarly,” Rosen adds, “although early rules prohibiting Indians from testifying in Court might have been based formally on the fact that, as non-Christians, they were perceived as unable to take an oath, the     237 Statutes rendering Indian witnesses legally incompetent prevailed during the early national and antebellum period. In 1803, Indiana incorporated this legal disability into its territorial code. Meeting at their fourth session, Governor William Henry Harrison and the judges adopted portions of the Virginia and Kentucky codes in passing a supplementary act to a law regulating “the practice of the General Court upon Appeals and Writs of Error, and other purposes.”782 Section twenty-one of the Act stipulated that “[n]o negro, mulatto or Indian shall be a witness except in the pleas of the United States against negroes, mulattoes or Indians, or in civil pleas where negroes, mulattoes or Indians, alone shall be parties.”783 After 1816, Indiana lawmakers preserved these legal disabilities in the state code with minor variations in statutory language.784 However, because of complex legal definitions or ambiguous statutory construction, the courts often had to decide whether or not to admit Indian testimony. In 1837, the Indiana Supreme Court considered the issue at length in Harris v. Doe.785 The case originated in the Allen County Circuit Court as an action of ejectment by plaintiffs Barnett and Hannah against defendant Harris and others                                                                                                                                                                                   laws did not make any exception for Christian Indians even after many Indians had converted.” Deborah Rosen, American Indians and State Law: Sovereignty, Race, and Citizenship, 1790-1880, Lincoln: University of Nebraska Press, 2007, p. 109. 782 Act of 20 September 1803, in Francis S. Philbrick, ed., Laws of Indiana Territory, 1801-1809, Collections of the Illinois State Historical Library, v. 21, Springfield, Ill: Trustees of the Illinois State Historical Library, 1930, pp. 33-42. The Act was “Adopted from the Virginia and Kentucky Codes.” 783 Ibid. p. 40. Having passed to the second stage of government in 1805, the popularly-elected territorial Legislature re-adopted this provision with the same terms in 1807; see Act of 17 September 1807, Ibid. p. 452. 784 See, for example, Revised Laws of Indiana: Adopted and Enacted by the General Assembly, 8th sess. (1824), p. 290; Revised Laws of Indiana: Adopted and Enacted by the General Assembly, 15th sess. (1831), p. 407; Revised Statutes of the State of Indiana, 27th sess. (1843), p. 718; and Act of 14 February 1853, Laws of the State of Indiana, 37th sess., p. 60. The 1824 code revision replaced “pleas of the United States” with “pleas of the State.” In addition, whereas the statutory language defining these persons by racial classification and blood quantum existed in a separate but adjacent section in the territorial laws, these definitions were incorporated into the same section after 1816. The 1853 statute was somewhat more concise in its language and adjusted the blood quantum levels in determining eligibility: “No Indian, or person having one-eighth or more of negro blood, shall be permitted to testify as a witness in any cause in which any white person is a party in interest.” 785 Harris v. Doe on the Demise of Barnett, 4 Blackf. 369 (1837).     238 for a particular tract of land. The tract in question had originally been granted to Miami Indian Francis Lafontaine under the 1818 Treaty of St. Mary’s.786 Some time thereafter, Lafontaine conveyed the land by deed to Barnett and Hannah. However, sections of the treaty contained legal descriptions “so ambiguously expressed as to leave it doubtful on which side of the St. Mary's river the land [was] situate[d].”787 Since Lafontaine had died, “[Miami Chief John B.] Richardville,” to whom the Treaty granted an adjacent tract, “was permitted to give evidence as a witness.” Among other grounds, Harris objected to Richardville testifying as a material witness (an objection overruled by the trial court). Harris argued that “Richardville was an Indian, and, therefore, not competent as a witness under the statute of this state.”788 In sustaining the lower court’s ruling, Judge Charles Dewey wrote that “[t]he objection would not be valid were it formed on fact.” However, “[w]e are not informed by the record that the witness was an Indian.” While conceding that the “treaty of St. Mary’s [gave] him [Richardville] the description of ‘principal chief of the Miami nation of Indians,’” this, Dewey concluded, “could be considered only as presumptive evidence of the fact assumed, and is rebutted by the fact of his being admitted to testify by the Court below, which acted on the inspection of the judges.” By upholding the trial court’s admission of prima facie evidence of Richardville’s racial identity, Judge Dewey held that it was “not new in the history of the Indian tribes, that a white man should be their chief.” The Court’s opinion, while exhibiting the racial dimensions in which nineteenth-                                                              786 For discussion of the 1818 Treaty of St. Mary’s see supra, pp. 168-169. Francis Lafontaine had a son by the same name. The elder Francis died sometime in 1831 or 1832; see Bert Anson, “Chief Francis Lafontaine and the Miami Emigration from Indiana,” Indiana Magazine of History, Vol. 60, No. 3 (Sept., 1964): pp. 248-249. 787 Harris, p. 369. 788 Ibid. p. 370.     239 century judges often framed their analyses and rulings, illustrates the flexibility and discretion it sometimes used in accommodating Indian rights. Moreover, the state’s assertion of racial difference as grounds for legal separation and denial of the Indians’ capacity as witnesses diminished as the cultural divide narrowed. Because of their mixed ancestry, many of the Miami successfully negotiated their ethnic identity to overcome legal disabilities. In local communities where Indians and settlers interacted regularly, cultural proximity often provided the latter with the credibility needed to litigate and testify in courts of law.789 Judges in Indiana and throughout the Old Northwest often consulted the widely circulated justice of the peace manuals, which contained various prerequisite criteria regulating the admissibility of witness testimony. Edited by practitioners of the state and local bench and bar, these manuals included summaries of the current statutory and case law, collections of forms for civil and criminal proceedings, as well as annotations and commentary. Published periodically, the guides serve as an index to the shifting legal landscape. In an 1845 edition to The Indiana Justice, the editor summarized the relevant statutory provisions rendering “Negroes, mulattoes, and Indians” incompetent as “witnesses in courts of justice in this State.”790 “Such is the provision of the Statute,” he added, “though the policy, or reason on which it rests, cannot so readily be perceived.”791 By commenting on the ambiguous origins of the legislation, the editor may have suggested to the reader a measure of judicial discretion or flexibility in interpreting the law.                                                              789 In comparison to other settler societies, see Benton, Law and Colonial Cultures, p. 109. 790 George Van Santwood, ed., The Indiana Justice: A Treatise on the Jurisdiction, Authority, and Duty of Justice of the Peace in the State of Indiana, in Civil and Criminal Cases, Lafayette: Corydon Donnavan, Printer, 1845, p. 361. 791 Ibid.     240 In another justice of the peace manual published in 1846, the editors outlined the rules of evidence and procedure in relation to courtroom testimony, taking into consideration the judicial recognition of “peculiar” customs: All evidence must be given under the sanction of an oath or affirmation. The usual mode of administering oaths in this state, is for the witness to stand and hold up his right hand, while the proper officer repeats the oath to him. The affirmation is administered in the same manner, except that the witness does not hold up his hand. It is left to the option of the witness whether he will testify under the sanction of an oath or affirmation. Whenever the courts are satisfied that any person offered as a witness, has a peculiar mode of swearing other than by holding up the hand the court may adopt such mode of swearing such person. Every person believing in any other than the Christian religion may be sworn according to the peculiar ceremonies of his religion, if there be any such ceremonies.792 In a restatement of Blackstone’s Commentaries, the editors added that “[a] Mahomedan may be sworn upon the Alcoran; and a Gentoo according to the custom of India, and their evidence may be received even in criminal cases.”793 While not necessarily reflective of Indiana’s demographic composition, the editors’ quotations above reflect the state’s tolerance for customary laws of evidence and testimony.794 Article ten, section four of Indiana’s 1816 Constitution provided that “[t]he                                                              792 W.W. Wick and L. Barbour, eds., A Treatise on the Law Relating to the Powers and Duties of Justices of the Peace and Constables, and on Actions Cognizable in Justices’ Courts, in the State of Indiana, Indianapolis: Charles B. Davis & William A. Day, 1846, p. 463 [emphasis added]. 793 Ibid. In the fifth edition to his Compendium of the Law of Evidence (a standard reference for the Anglo- American bench and bar), English barrister Thomas Peake classed witnesses by their moral character, “the notice [of] which the law takes of their religious principles or prejudices.” “Sir Matthew Hale,” to whom Peake referred, “. . . seems to have been of opinion that infidels might, in some cases, be examined [emphasis in original].” Under these circumstances, as Peake related “the credit of such a testimony” was to be “left to the jury.” Citing Omychund v. Barker as the pivotal case in the modern law of evidence relating to non-Christian witnesses, Peake held Lord Hardwicke and his colleagues to have established “the general principle . . . that the testimony of all infidels, who are not atheists, was to be received.” The primary question that evolved from subsequent cases, Peake noted, was whether or not the witness “believed the sanction of an oath, the being of a Deity, and a future state of rewards and punishments” as binding on his or her conscience to tell the truth. See Thomas Peake, A Compendium of the Law of Evidence, 5th ed., London: J. & W.T. Clarke, 1822, pp. 136-139. 794 In other jurisdictions throughout the Old Northwest, the Courts occassionally excluded non-Christian Indians from testifying. In 1823, the question arose before the Michigan Territorial Court at Michilimackinac as to whether non-Christian testimony presented at the murder trial of a Chippewa Indian     241 manner of administering an oath, or affirmation, shall be as is most consistent with the conscience of the deponent, and shall be esteemed the most solemn appeal to God.”795 Subsequent code revisions preserved the spirit of this fundamental law. For example, chapter forty of Indiana’s 1843 Revised Statutes expanded upon these provisions in the administration of oaths and affirmation of witnesses, the relevant sections of which stipulated as follows: Sect. 253. Every person who has conscientious scruples against taking any oath, shall be permitted, instead of swearing, solemnly and sincerely to affirm, under the pains and penalties of perjury. Sect. 254. Whenever the court shall be satisfied that any person offered as a witness has any peculiar ceremony of swearing, other than by holding up the hand, the court may adopt such mode of swearing such person. Sect. 255. Every person believing in any other than the Christian religion shall be sworn according to the peculiar ceremonies of his religion, if there be any such ceremonies. . . . Sect. 257. No want of belief in the existence of a Supreme Being who will punish false swearing, shall be considered necessary in any court, or before any justice of the peace, to the competency of any witness; nor shall his belief or disbelief of such, or any other matters of religious faith, be held to affect his competency; but the same shall only go to the credibility of the witness, and for that purpose may be given in                                                                                                                                                                                   should be admitted. In U.S. v. Matwaywaygezhic, the Court interrogated three Indian witnesses on their religious convictions and beliefs in life after death. Nowkogezhicequay, the Indian widow of the accused’s victim, “[b]elieve[d] those who are good go to a good place after death, and those who are bad, to a bad one.” Satisfied with this reply, the Court allowed her to testify “under this obligation to tell the truth,” and the jury was to “give such weight to it as they conceive[d] it entitled to” However, the Court rejected the admission of testimony from two other Indians. Mucoóchahn stated that he did “not know whether there [was] a Great Spirit or not—he has never seen him—does not know him.” Rather, the deponent admitted that “[h]e seldom makes feasts—Does not know where his forefathers have gone—he did not see them go any where—Will not answer whether he would expect to be punished if he should tell a lie about [the] affair” under consideration. The father of the deceased, simply referred to in the court record as “[a]n old Indian,” stated that he “Believes there is a Great Spirit [and] [w]hen he was young he used to pray to him when in trouble, want &c—but now he is old, he does not think it necessary.” Moreover, the deponent did “not know there [was] a good place or bad place to which we go after death,” but rather believed that “there is neither.” See U.S. v. Matwaywaygezhic (1823), in Elizabeth Gaspar Brown, “Judge James Doty’s Notes of Trials and Opinions: 1823-1832,” American Journal of Legal History, Vol. 9, No. 1 (Jan., 1965): pp. 29, 30. 795 Indiana State Constitution (1816), artic 10, sec. 4.     242 evidence to enable the jury or other . . . triers of the facts to judge of such credibility. Sect. 258. No witness shall be required to answer any question touching such belief or disbelief, but he may state the same or not, at his option.796 Delegates to the 1850 Indiana Constitutional Convention canonized these principles of tolerance in the state’s new Bill of Rights. Article one, section seven of the 1851 Constitution provided that “[n]o person shall be rendered incompetent as a witness, in consequence of his opinions on matters of religion.”797 Section eight specified “[t]he mode of administering an oath or affirmation, shall be such as may be most consistent with, and binding upon, the conscience of the person to whom such oath or affirmation may be administered.”798 Whatever moderation and forbearance Indiana law and policy had demonstrated toward an individual’s religious affiliation or customary practices, racial and ethnic boundaries continued to define rules of courtroom evidence. It was not until the late 1850s that state lawmakers seriously debated removing Indian and African-American testimonial disabilities. By statute of 1853, “[n]o Indian, or person having one-eighth or more of negro blood [was] permitted to testify as a witness in any cause in which any white person [was] a party in interest.”799 Between 1859 and the repeal of this statute in                                                              796 Revised Statutes of the State of Indiana (1843), pp. 718-719. Additional clauses, however, may have qualified these provisions in determining witness credibility or competency. Section 259 specified that none of the “preceding sections shall be construed to prevent the examination of any one offered as a witness, who is a person apparently of a weak intellect . . . for the purpose of ascertaining his or her mental or moral capacity, or knowledge of the civil and moral obligations of an oath or affirmation.” Or more broadly, “[i]n all questions affecting the credibility of a witness, his general moral character may be given in evidence.” 797 Indiana State Constitution (1851), art. 1, sec. 7. 798 Indiana State Constitution (1851), art. 1, sec. 8. 799 Act of 14 February 1853, Laws of the State of Indiana, 37th sess., p. 60. However, in Woodward v. The State (6 Ind. 395 (1855)), the question before the Indiana Supreme Court was whether “a person upon whom a crime has been committed [is], in any sense, a party in the cause prosecuted by the state against the     243 1867, the Indiana House and Senate considered several bills affecting the legal rights of Indian and African-Americans. The legislative history—detailed at length in the short- lived Brevier Legislative Reports—documents the shifting and oftentimes discordant political ideologies of state lawmakers on the issue.800 On 21 January 1859, during the General Assembly’s fortieth regular session, Senator Daniel Hill, a Republican from Randolph County and member of the Society of Friends, presented a memorial on behalf of the religious organization, “praying for the repeal of that portion of our laws which denies to colored persons the right to testify as witnesses in any cause in which a white person is a party in interest.”801 When Democratic Senator James Slack, an attorney from Huntington County, moved to table the petition, he “withdrew the motion at the insistence of several Senators.” Senator Walter March, a Republican from Delaware County and former judge, “thought it would be well to let negroes testify, and that there was no danger in allowing juries to determine . . . the credibility of their testimony.” Although Slack “was willing to extend courtesy to any reasonable extent,” he believed “the people of Indiana were almost as a unit upon the subject” and that it would be “a waste of time to consider the matter” further. However,                                                                                                                                                                                   criminal.” “If so,” the Court held, “neither the state nor the defendant can call, in such cases [where the person assaulted was white], a colored witness, for the exclusion is general to all parties.” However, since the State, rather than the victim, filed the indictment against the accused Woodward (“a colored man”), the Court interpreted the 1853 statute as excluding the former “as a person of any particular color.” Thus, the Court ruled that “[a] negro is competent to testify, under the act of 1853, on the trial of a criminal charge against a negro.” 800 Published between 1858 and 1887, the Brevier Legislative Reports contain a rich documentary record of the Indiana General Assembly’s proceedings and debates as well as the state governors’ veto messages and addresses. Biographical facts for state legislators are taken from Rebecca A. Shepard, et al., eds., A Biographical Directory of the Indiana General Assembly, Vol. 1: 1816-1899, Indianapolis: Select Committee on the Centennial History of the Indiana General Assembly; Indiana Historical Bureau, 1980. 801 Indiana, Brevier Legislative Reports: Embracing Short-Hand Sketches of the Journals and Debates of the General Assembly of the State of Indiana [hereinafter cited as Brevier Reports], Vol. II (1859), p. 61. The Society of Friends, whose members resided in Indiana, Ohio, Pennsylvania, and Iowa, held their annual meeting for several years in Richmond, Indiana. From the late 1850s to the late 1860s, the Society was instrumental in the repeal of this law in Indiana and other states where similar legal disabilities had been imposed on Indians and African-Americans.     244 upon renewing his motion to lay the petition aside, the Senate rejected his proposal by a vote of twenty-seven to ten.802 Three days later, Representative William Jeffries introduced the same memorial to the House of Representatives, which it referred to the Committee on Rights and Privileges.803 On Thursday of the following week, pursuant to the Committee’s recommendation, Jeffries introduced House Bill 196, seeking to repeal the 1853 statute.804 Jeffries, a Republican from Wayne County, “had hoped [the issue] would not be made a party question” and, in defending the measure, reminded the House of the fact that “many of the greatest rascals . . . went unwhipped of justice because of the existence of this act.” Representatives James Blythe and William K. Edwards, both members of the Know-Nothing Party, moved to reject the bill and a majority of the House concurred.805 On 7 February, Mr. Walter March introduced Senate Bill 117, which admitted “all parties to a suit to be witnesses, with one or two exceptions,” and recommended its passage.806 Following an initial round of debate, Republican Senator Charles D. Murray offered an amendment, stipulating that the measure should “not be considered as rendering competent as witnesses any Indians, mulattoes, or negroes.” Senator James Conner, a Republican representing Kosciusko and Wabash Counties, objected to the clause prohibiting Indians from testifying, for “[h]e had some forty Indian constituents who were highly educated, and did not like to see them classed with negroes.” Conner, an attorney and former judge himself, offered an amendment, providing “that in all cases                                                              802 Ibid. 803 Ibid. p. 71. 804 Ibid. p. 127. 805 Ibid. 806 Ibid. p. 141.     245 where either the plaintiff or the defendant, by reason of any legal disability, shall not be allowed to testify; then . . . the opposite party shall not be allowed to testify.” Despite a series of ineffectual motions to lay the bill aside, the Senate ordered Conner’s amended version of the bill engrossed.807 Without concurrence from the House, however, both versions of the bill died. At the forty-first General Assembly in 1861 (regular session), Indiana legislators revisited the issue of testimony and three bills came up for consideration. During the afternoon session on Saturday, 2 March, Representative Moses Jenkinson, a Democrat from Allen County, introduced House Bill 327, with provisions to “enfranchise Indians as witnesses.”808 Representative Martin Bundy of Martin County, a Republican, proposed an amendment to the bill, stipulating that “[n]o Indian or person having one-eighth or more negro blood shall be allowed to testify . . . unless the matter in suit shall have originated on contract between such person of mixed blood and such white person, in which case it shall be lawful for both parties to testify.”809 However, the House voted to table the bill for consideration at a later time. That afternoon, Democratic Representative Horace Heffren of the Judiciary Committee, presented Mr. Speaker Cyrus Allen’s Evidence Bill (H.R. 133), which provided that “any competent person may testify in his own behalf, and compel the other party to testify; and the witness shall be regarded only as to his character for credibility.”810 Further provisions stated “that where a person is excluded on account of                                                              807 Ibid. 808 Brevier Reports, Vol. IV (1861), p. 328. 809 Ibid. 810 Ibid. p. 329.     246 mixed blood, his opponent in the contest shall also be excluded.” The bill was agreed to and, by motion of Mr. Heffren, was made a special order for the following Monday.811 When the General Assembly reconvened, debate over Speaker Allen’s evidence bill commenced. In response to those provisions concerning “mixed blood” witnesses, Democratic Representative Cutler Dobbins moved to amend the measure, stipulating “that nothing herein shall be so construed as to repeal the act of 1853.”812 With Dobbins’ amendment, the bill passed its final reading in the House. On 8 March, Senator Horatio Newcomb, a Republican and former mayor of Indianapolis (1849-1851), returned the bill on behalf of the Judiciary Committee, recommending its passage.813 The bill passed the Senate by a vote of twenty-eight to sixteen. However, as a result of developing national events, the House took no further action during the legislative session. When President Abraham Lincoln declared the Union blockade of Confederate ports the following month, the commencement of the Civil War diverted significant time and resources away from Indiana lawmakers. It would be another four years before the General Assembly reconsidered further statutory amendments on Indian testimony in the courts. Following the Civil War and federal Reconstruction Acts, several states either introduced statutory exemptions to Indian testimonial restrictions or repealed these disabling laws altogether.814 Indiana policymakers stepped up their efforts to follow suit. On 17 January 1865, Representative Hiram Prather, a Republican from Jennings County, “presented the memorial of sundry citizens . . . ‘praying for repeal of all constitutional                                                              811 Ibid. 812 Ibid. p. 336. The senate introduced a similar bill (S. 5), which, upon the motion of Representative Richard Nebeker, the House “laid it on the table” on 4 March 1861. “[I]f the Senate should fail to pass the House bill, [Nebeker] desired to be able to call upon their bill at any time.” 813 Ibid. p. 360. 814 See Rosen, American Indians, p. 122.     247 and statute laws which divest negroes and mulattoes of their natural rights, and which impair their evidence in courts of justice, and embarrass their efforts in the cause of education.’”815 The House, in turn, referred the petition to the Committee on Rights and Privileges. The same day, Representative William W. Foulke, a Wayne County Republican and member of the Society of Friends, introduced House bill twenty-five “for an act to repeal the act” of 1853.816 Debate over Representative Foulke’s bill commenced the following Thursday. Having barely survived a preliminary motion to table the measure by a margin of only four votes, legislative debate gained further momentum as the issue signaled a divisive turn for both the House and Senate in the struggle for civil and political rights. Republican Representative Robert Boyd, for example, “while . . . willing to do what was proper to elevate the negro race, . . . was not willing to place them on an entire equality with white men.”817 On the other hand, Representative Fletcher Meredith, also a Republican, supported the bill “because as prosecutor he had found cases in which the existing legal disability . . . had covered up crime.” After a series of contentious remarks from other members of the House, Representative John T. Burns successfully referred the bill to the Committee on Rights and Privileges for further consideration.818 Although the Committee failed to return a report on House Bill twenty-five during the regular legislative session, they submitted a report on 3 March 1865 pursuant to Representative Prather’s memorial of 17 January. The Committee was divided, with a                                                              815 Brevier Reports, Vol. VII (1865), p. 64. 816 Ibid. The Brevier Report mistakenly refers to Rep. Foulke’s bill as H.R. 28 on this page. 817 Ibid. p. 122. 818 Ibid.     248 majority proposing to table the petition. The minority, led by Representative Burns, recommended further action: That whereas, the Constitution of the United States, guarantees that the citizens in each State shall be entitled to all the privileges and immunities of the citizens in the several States, and the Declaration of Rights, both of the United States and this State, assert that all men are endowed by their Creator with certain inalienable rights, that among these are life, liberty, and the pursuit of happiness, and the blood and services of men of all complexions have been blended on the common altar of our country, in support of our civil and religious institutions, and the peace, happiness, and prosperity of our nation. Therefore we recommend to the General Assembly of the State of Indiana, that justice, humanity, and respect to the civil and religious rights of all men, demand the passage of a joint resolution, striking from our Constitution . . . the thirteenth article thereof, and that all laws rendering Indians and negroes incompetent witnesses in courts of justice, ought, in accordance with the spirit of the present age, to be repealed during the present session of this General Assembly.819 Having been tabled, however, neither the majority nor minority reports received further consideration by the House.820 The Indiana legislature failed to pass either a statutory or constitutional amendment repealing Indian and African-American legal disabilities during the regular session in 1865. Yet the opportunity would soon present itself again that year. On 13 November 1865, Indiana state legislators convened for a special legislative session. In his address to the General Assembly, Governor Oliver P. Morton explained the need to resume governmental business: [T]he condition of parties in this State during the last four years, and the public excitement incident to a state of war, unfitting . . . to some extent, the minds of men for the calm consideration of subjects or ordinary legislation, have all contributed to prevent the adoption of legislative                                                              819 “House Committee Report on Negro Disabilities,” in Charles Kettleborough, Constitution Making in Indiana: A Source Book of Constitutional Documents with Historical Introduction and Critical Notes, Vol. II, 1851-1916, Indianapolis Historical Commission, 1916, pp. 59-60. 820 Ibid.; also see Indiana, House Journal, 1865, p. 758.     249 measures which the progress of the State and the welfare of the people would seem to demand.821 Of the several bills introduced during the extra session, legislation providing for greater legal equality before Indiana’s courts remained a priority.822 However, as previous debates and the 1865 House Committee Report had revealed, the subject of court testimony polarized the General Assembly. At the time of the Governor’s message to the legislature during the previous session “Indiana and Illinois [were] the only free States whose statute books [were] dishonored by the retention of a law so repugnant to the spirit of the age, and the dictates of common sense.”823 However, Illinois had since repealed this discriminatory law, leaving Indiana “the only State in the North that retain[ed] it.”824 With Congress and other state legislatures debating measures guaranteeing civil rights, the time was critical for Indiana lawmakers to follow suit. During the session, Republican Senator Thomas Ward introduced Senate Bill 219, entitled “An Act defining who shall be competent witnesses in a Court or judicial proceeding in this State.”825 The bill provided that “[a]ll persons of competent age, without distinction as to color or blood and not otherwise by law rendered incompetent, shall be competent witnesses to testify in any proceeding or suit, civil or criminal, in any court in this State.” This provision, however, stipulated “[t]hat no negro or mulatto who has come, or who shall hereafter come into this State in violation of the Thirteenth Article                                                              821 Message of Governor Oliver P. Morton, delivered 14 November 1865, in Indiana, House of Representatives, Journal of the House of Representatives of the State of Indiana, 44th special sess. (1865), p. 12. 822 Additional civil rights measures demanding legislative reform during the extra session included free and equal education in the Indiana common school system. Governor Morton recommended “that the laws be so amended as to require an enumeration to be made of the colored children of the State, and such a portion of the School Fund as may be in proportion to their number, be set apart and applied to their education by the establishment of separate schools.” See Ibid. pp. 33-34. 823 Ibid. p. 35. 824 Ibid. 825 Brevier Reports, Vol. VIII (1865), p. 5.     250 of the [Indiana] Constitution . . . shall . . . be competent to testify as a witness in any case in which a white person shall be a party in interest.”826 On 1 December 1865, after its referral from the Senate, Mr. Joseph Milligan (Republican) of the Committee on Rights and Privileges returned the bill, urging its passage.827 Democratic Senator George Brown, a member of the Committee but absent from a meeting where he intended to prepare a minority report, asked “to have the matter passed over until he could have more time to prepare his report.”828 The Senate agreed to his motion and made the bill a special order for the following Tuesday. On the same day state senators tabled Senate Bill 219, Representative Calvin Cowgill, a Republican from Wabash County, returned the Judiciary Committee’s majority report on “Mr. Foulke’s Indian and Negro testimony bill [H.R. 25]” with amendments.829 In addition to revising the bill’s title, the Committee recommended inserting the following clause: “And so much of all other laws as render persons incompetent to testify in the Courts on account of color; and . . . [that] [t]he testimony of no person shall be discredited on account of negro, Indian or mixed blood, but creditability shall be determined by the Court and jury, etc.”830 On the morning of Tuesday, 5 December, Senator Thomas Bennett gave an impassioned speech on Senate Bill 219. “In the first place,” the Republican from Union                                                              826 Article 13, section 1 of the 1851 Indiana Constitution provided that “[n]o negro or mulatto shall come into or settle in the State, after the adoption of this Constitution.” Section 4, in turn, vested power in the General Assembly to “pass laws to carry out the provisions of this article.” Senator Thomas Bennett introduced a bill (S. 204) similar to Sen. Ward’s, entitled “An Act in relation to witnesses and repealing all laws in conflict therewith.” While Bennett’s bill passed to a second reading, it does not appear to have been engrossed by the Senate; see Brevier Reports, Vol. VIII, p. 22. 827 Ibid. p. 130. 828 Ibid. 829 Ibid. p. 133. 830 Ibid.     251 County began, “I do not consider this a political, or at least a party question.”831 “Neither,” he declared, “do I consider it a negro question.” Rather, “when stripped of all prejudice it is purely a question of justice or judicial policy.”832 However, Bennett admitted paradoxically “that Divine Providence has so ordained human affairs that one race of people may be in many respects the superior of another.” “[T]he noble Anglo- Saxon blood of which we boast our origin, is the superior of the African, the Indian, the Esquimaux, or the Sandwich Islander.”833 “Yet all this,” he continued, “is no justification to that people who would deprive these inferior races of their God-given rights, or in any way prevent them from attaining to the highest state of civilization and humanity within their power.”834 In support of the bill, Senator Bennett outlined the “two classes of rights that a man may possess—natural rights, or those given by the Creator of all men, and conventional rights, or those conferred by men upon grounds of policy.”835 The first of these: every man should possess in their fullest extent, and as they were given him by the great law of God, no human statute should deprive him of them. These great rights were re-enacted in that other great instrument, second only to the holy writ, in the memorable language that “all men are created equal, and endowed with certain inalienable rights, among which are life, liberty, and the pursuit of happiness.” . . . Under our present law, a colored man is deprived of all these natural rights. He cannot enforce his contracts, because he cannot testify to them. A white man may impose on him in a thousand ways and there is no redress.836                                                              831 Ibid. p. 282. 832 Ibid. 833 Ibid. 834 Ibid. 835 Ibid. pp. 282-283. 836 Ibid. p. 283.     252 On the other hand, while “it may be said that the admission of a negro to testify would tend to give him political, or social equality,” the parity of conventional rights “between whites and negroes cannot be so easily effected.” “I believe,” the Senator stood firm, hoping to quell the fears of his colleagues, “that I can concede to him [the negro] all the rights that I enjoy, and yet be in no danger of the dreaded equality that seems to haunt the minds of some people.”837 With respect to the right to testify freely in court, Bennett held that “justice to the negro, justice to the white man, and justice to the State, require[d] this bill to become law.”838 At two o’clock that same afternoon, Senator George Brown, a Democrat from Wells County, submitted his minority report and addressed the Senate at length on the pending legislation: The bill contemplates such a change of the existing law in relation to witnesses as will permit Indians and Negroes to testify, without any restrictions in the Courts of this State. So far as the former race is concerned the law would have but little practical effect, and it probably was not suggested by any considerations in behalf of that fast receding but interesting people. The philanthropy that could, through so many long years, sleep over any rights that might be deemed to have been withheld from the red man would not now awaken to so keen a sense of his supposed wrongs. We may, therefore, quite properly consider the bill with reference to the negro.839 Following an extended oration on the supposed “inferiority” of the “black race” as well as the “unfavorable circumstances under which they have been placed,” Brown concluded that the bill under consideration was “subversive” and “contrary to the spirit of                                                              837 Ibid. pp. 283-284. 838 Ibid. p. 284. 839 Ibid. pp. 148-149.     253 our government.”840 Following a series of further proceedings and remarks from the floor, the Senate agreed to Mr. Daniel Van Buskirk’s motion to postpone the bill. At seven o’clock the following evening, the House took up Representative Faulk’s bill (H.R. 25) for reconsideration on the third reading.841 Representative Samuel Buskirk, a Democrat and former Monroe County prosecuting attorney, moved to recommit the bill with stipulations providing “that the privileges granted by this act shall not extend to . . . or be enjoyed by any negro or mulatto who has come into the State since the adoption of the present Constitution.”842 Standing to oppose Mr. Buskirk’s tender, former Senator Horatio Newcomb reminded the House that “[t]he object of the bill was to get at the truth in courts of Justice.” “This bill proposes to admit the Indian and negro to testify,” Newcomb argued, “no more for the benefit of the negro than for [other] parties in interest,” the constitutional basis upon which the proposal rested stipulating “that no special law shall regulate practice in the Courts.” Following an extended round of debate, Republican Representative Jon Sim moved to vote on the bill with Mr. Buskirk’s instructions. Rejecting this motion, the House voted to pass Mr. Faulk’s bill without amendment. In the end, the Indiana legislature made only limited concessions. On 20 December, the General Assembly enacted Senate Bill 219, providing that “all persons of competent age, without distinction as to color or blood and not otherwise by law rendered incompetent, shall be competent witnesses to testify in any proceeding or suit, civil or                                                              840 Ibid. p. 149. 841 Ibid. p. 163. 842 Ibid.     254 criminal, in any Court in this State.”843 However, a proviso added “[t]hat no negro or mulatto who has come, or who shall hereafter, come into this State in violation of the Thirteenth Article of the Constitution of the State, shall . . . be competent to testify as a witness in any case in which a white person shall be a party in interest.”844 The following spring, the Indiana Supreme Court issued an opinion that prompted further change in the law. In Smith v. Moody, the Court held that Article Thirteen of the state constitution—which provided, in part, that “[a]ll contracts made with any negro or mulatto coming into the State . . . shall be void—as well as supplementary acts passed thereafter, was “repugnant” to the U.S. Constitution’s Privileges and Immunities Clause.845 Reciting the U.S. Civil Rights Act of 1866 in full (including the provision guaranteeing the admission of court testimony from all citizens “of every race and color”), Chief Justice Robert Gregory, in writing for the Court, declared that Indiana’s fundamental law violated the U.S. Constitution. Although the legal issues dealt specifically with the citizenship rights of African-Americans residing in Indiana, the results of the case affected the rights and privileges of American Indians as well. In response to the Court’s decision declaring article thirteen “null and void,” Governor Oliver Morton, in his address to the General Assembly on 11 January 1867, “respectfully recommend[ed] that as an act of public decency it be formally repealed and wiped out.”846                                                              843 Act of 20 December 1865, Laws of the State of Indiana, Passed at the Called Session of the General Assembly, p. 162 [emphasis in original]. 844 Ibid. 845 Smith v. Moody, 26 Ind. 299 (1866). 846 Message of Governor Oliver P. Morton, delivered 11 January 1867, in Indiana, Documents of the General Assembly of Indiana, Pt. 1, 45th reg. sess., p. 24.     255 Although the Indiana General Assembly failed to take immediate action on amending the state constitution, legislators repealed several related acts.847 On 30 January 1867, Mr. Bennett reintroduced Senate Bill 29, along with a majority report from the Judiciary Committee, recommending its passage.848 Democratic Senator James L. Mason submitted his minority report, recommending the bill’s “indefinite postponement” on the grounds that “it would have a tendency to thwart the ends of justice.” In rejoinder, Senator Bennett argued that “[p]recisely the same bill [had been] passed last session,” with the new proposal simply omitting any distinction between a “constitutional negro” and an “unconstitutional negro” on the question of testimony. Following an ineffectual motion by Democratic Senator Bayleas Hanna to lay the bill on the table, the Senate concurred with the majority report and ordered the bill engrossed for its third reading.849 On 1 February 1867, the Senate passed Senate Bill 29.850 The House followed suit on 9 March and two days later the Indiana legislature adopted “[a]n Act defining who shall be competent witnesses in any court or judicial proceeding in this State, and to repeal all laws and parts of laws in conflict” thereof.851 The measure provided, in part, that “every person of competent age may be a witness in any civil or criminal cause or proceeding.”852 Sixty-four years after its first territorial act rendered Indians and African- Americans incapable of testifying in court, Indiana had finally repealed this legal disability.                                                              847 See Earl E. McDonald, “The Negro in Indiana Before 1881,” Indiana Magazine of History, Vol. 27, No. 4 (Dec., 1931), pp. 301-302. 848 Brevier Reports, Vol. VIII, p. 126. 849 Ibid. 850 Ibid. p. 141. 851 Act of 11 March 1867, Laws of the State of Indiana, 45th reg. sess., pp. 225-227; for the House passage of S. 29, see Brevier Reports, Vol. VIII, p. 444. 852 Ibid. p. 225 [emphasis added].     256 The Indiana debates were part of a larger national dialogue among lawmakers concerning the civil rights status of African-Americans and other minorities during the Civil War and Reconstruction era. The constitutional privilege to testify in a court of law was a major issue in these deliberations. While the legal status of African-American freedmen drew greater attention, American Indians figured prominently in these debates as well. On 8 February 1864, U.S. Senator Charles Sumner of Massachusetts introduced Senate Bill 99 “[t]o secure equality before the law in the courts of the United States.”853 As they stood at the time of Sumner’s proposal, federal statutory provisions stipulated that “the laws of the State in which the court shall be held shall be the rule of decision as to the competency of witnesses in the courts of the United States, in trials at common law, in equity, and in admiralty.”854 This framework afforded the states unchecked authority in applying racially discriminatory statutes barring testimony in federal courts of law. On 29 February, Senator Sumner reported the bill, which had been referred to the Select Committee on Slavery and Freedmen, without amendment. “Under these injunctions,” Sumner’s Report read, “it was very easy, if not natural, for the courts of the United States to adopt the law of evidence in the States where they were respectively held; and thus the incapacity of colored testimony in those States where it prevailed, became a rule of evidence in the national tribunals.”855 In a letter to Senator Sumner dated 24 January 1864, Chief Justice John Appleton of the Maine Supreme Court wrote                                                              853 A Bill to Secure Equality before the Law in the Courts of the United States, S. 99, 38th Cong., 1st sess., Senate Bills and Resolutions, 8 February 1864. 854 Act of 16 July 1862, 37th Cong., 2nd sess., ch. 189, Statutes at Large: pp. 588-589, as quoted in Committee on Slavery and the Treatment of Freedmen, Report to Accompany Bill S. No. 99, 38th Cong., 1st sess., 1864, S. Rep. 25 [hereinafter cited as S. Rep. 38-25], p. 1; also see Magliocca, “Cherokee Removal,” p. 940. 855 S. Rep. 38-25, p. 1.     257 in support of the pending bill “[a]s it appertain[ed] to the domain of jurisprudence rather than of politics.”856 “[T]he laws of the several States are at variance as to the admissibility of witnesses,” the judge opined, and “[i]n some there are exclusions enormous in extent and disastrous in result.”857 With respect to the Indians, Appleton noted, “the original occupants of the soil are denied by the higher civilization, which has wrested from them their lands, even the capacity to be heard as witnesses in the courts of those who now occupy and enjoy them.”858 While criticizing the lack of uniformity in federal rules of evidence, the greater objection for Sumner was “[i]n lending the sanction of the United States, even indirectly, to an exclusion founded on color,” by which “all the people have been made parties to an injustice.”859 In addition to proscribing the testimony of “free negroes” and “mulattos,” many states also excluded evidence given by “Indian slaves,” “free Indians,” “mestizos,” and “persons of mixed blood descended from negro and Indian ancestors, to the [third or] fourth generation inclusive.”860                                                              856 Ibid. p. 18; also published as John Appleton, “Equality Before the Law in the Courts of the United States,” Law Magazine and Law Review, or, Quarterly Journal of Jurisprudence, 3rd Ser., Vol. 17, No. 1 (1864): pp. 137-157. Following quotations in the above text are taken from the published journal article rather than the Committee Report. 857 Appleton, “Equality Before the Law,” p. 138. 858 Ibid. For a turn-of-the-century judicial perspective on the integrity of Indian testimony, see “Notes [Indians as Witnesses],” Albany Law Journal, Vol. 61 (3 March 1900): p. 143. 859 S. Rep. 38-25, p. 2. 860 For a summary of state laws, including Delaware, Maryland, Virginia, Kentucky, North Carolina, Tennessee, South Carolina, Georgia, Alabama, Mississippi, Florida, Missouri, Arkansas, Louisiana, and Texas, see Ibid. pp. 2-6. Of those statutes listed in Sumner’s report, the States of Louisiana, Arkansas, Missouri, South Carolina, and Delaware made no express provisions for the exclusion of Indian testimony. In Mississippi, by Act of 19 January 1830, “free Indians [were] placed on the same footing as white persons and consequently [could] testify.” See Ibid. p. 5. In South Carolina, “there appears to have been no statute expressly excluding the testimony of a slave against a white person[;]” however, a colonial statute, “custom,” and at least two state judicial decisions restricted “free negroes, mulattoes, and mestizoes,” as well as “free Indians and slaves” from testifying in court; see Ibid. pp. 4-5. For those states without express provisions restricting Indian testimony, it is important to consider that some states may have permitted Indian slavery, in which case Indians may not have been permitted to testify under this status (although most states appear to have made the distinction between Indian and African slaves).     258 From the “examples of history,” Sumner traced the proscriptive rule’s evolution, which found “its prototypes in other countries and times, kindred in character to the persecution of the Moors in Spain, and to the cruelty which for ages pursued the Jews everywhere.”861 From the exclusion of non-Christian testimony to a presumption based on race and color alone, “it can need no argument,” he held, “to establish the unreasonableness of a disqualification which, according to the confession of its partisans, attaches to the shading of the human skin, especially in view of the terrible injustice which is its natural consequence.”862 Although Senate bill 99 failed to pass during the thirty-eighth Congress, provisions under the Civil Rights Act of 1866 stipulated that all U.S. citizens, “of every race and color,” were to “have the same right, in every State and Territory . . . , to make and enforce contracts, to sue, be parties, and give evidence,” under the “full and equal benefit of all laws and proceedings . . . as is enjoyed by white persons.”863 While the Act provided potentially discriminatory grounds by “excluding Indians not taxed,” the “more important point,” as Gerard Magliocca points out and which the Indiana legislative history illustrates above, “is that Congress and the States took actions confirming that these rights were related.”864 Despite the state and federal repeal of existing legal disabilities, local authorities may not have been so quick to respond or implement these changes. For example, an 1871 Indiana justice of the peace manual failed to reflect the new state law on court testimony, providing instead “[t]hat where a negro, Indian, or person excluded on account                                                              861 Ibid. pp. 12-13. 862 Ibid. pp. 14-15, 16. 863 Act of 9 April 1866, 39th Cong., 1st sess. ch. 31, Statutes at Large: p. 27 [emphasis added]; also see Magliocca, “Cherokee Removal,” pp. 940-941, n. 342. 864 Magliocca, “Cherokee Removal,” p. 941.     259 of mixed blood is a party to a cause, his opponent shall also be excluded.”865 An 1877 edition of the same manual acknowledged that “[f]ormerly neither Indians nor negroes were competent witnesses against a white person, but now no man is incompetent on account of race, color, or previous condition of servitude.” However, in the same section, the editor emphasized “that there is a wide difference between the competency of a witness and his credibility,” suggesting to the reader a considerable degree of discretion in whether or not to admit testimony from certain persons into evidence.866 Testimony aside, the law of evidence remained prejudicial to American Indian interests and provided little opportunity for normative dialogue. Rather than finding an equitable forum to litigate their claims, the burden of proof often presented a formidable hurdle for Indians to overcome. Because of the predominantly oral character of Indian legal tradition, evidence of their customary practices possessed little probative force in the courts. Thus, in determining the authority of Indian laws and customs, judges looked beyond the courtroom to other sites of normative and empirical inquiry. Crafting (Indian) Custom: An Ethnographic View of Judicial Notice in Indiana   In English common law, William Blackstone distinguished between lex scripta and lex non scripta, or written and unwritten law. The latter, he posited, included the “General customs; which are the universal rule of the whole kingdom, and form the common law, in its stricter and more usual signification,” as well as the “Particular customs; which for the most part affect only the inhabitants of particular districts.”867 For judges to                                                              865 David M’Donald, ed., A Treatise on the Law Relating to the Powers and Duties of Justices of the Peace and Constables, in the State of Indiana, Cincinnati: Robert Clarke & Co., 1871, p. 117. 866 Asa Iglehart, ed., A Treatise on the Law Relating to the Powers and Duties of Justices of the Peace and Constables in the State of Indiana, Cincinnati: Robert Clarke & Co., 1877, p. 117. 867 William Blackstone, Commentaries on the Laws of England, 3rd ed., Vol. 1, Oxford: Clarendon Press, 1768, p. 67.     260 acknowledge the “particular customs,” which stood at variance with the common law of the Realm, a specific standard of proof had to be met. Formalized over the course of the sixteenth and seventeenth centuries, a recognition test required that a certain usage exhibit at least four prerequisite characteristics: antiquity; continuity; certainty; and reasonableness. The first of these conditions required that a usage should have existed from time immemorial, or from a “time whereof memory of man runneth not to the contrary.”868 The cutoff date for establishing “immemoriality” was 1189 A.D., the year marking the death of King Henry II, the English monarch traditionally considered as the founder of the English common law.869 The continuity requirement, in turn, held that a usage should have been observed and exercised by the vicinage without interruption. The certainty and reasonableness criteria held, respectively, that a usage could not be doubtful nor conflict with what the common law deemed practical and sensible.870 English settlers throughout the British Diaspora, including those in North America, carried with them their own ideas of custom in forging a legal culture independent of, yet amenable to, England’s Imperial Constitution. The locally-variable nature of the English common law adapted to the unique circumstances of the British colonies and, over time, community custom gradually established itself as settled law.871                                                              868 Ibid. p. 76. 869 In 1275, the English Parliament enacted the Statute of Westminster, which stipulated that everything after 1189 was within legal memory and could not, therefore, have been considered “immemorial.” 870 Blackstone expanded upon these criteria by adding that a particular custom must also have been “peaceable, and acquiesced in; . . . compulsory, and not left to the option of every man;” and “consistent with each other: one custom cannot be set up in opposition to another.” See Blackstone, Commentaries, 3rd ed., Vol. 1, pp. 77, 78. 871 The relationship between English law and colonial law was particularly unclear and problematic for British settlers in North America. Colonial charters and letters patent often contained provisions stipulating that the laws be “agreeable” with or “not contrarie or repugnant to the Laws” of England. However, the ambiguity inherent in these clauses created considerable uncertainty and debate over the authority of Royal prerogative versus the extent to which the settlers carried with them the “immemorial rights” of the common law. Although the scope of English law applicable in the British colonies depended largely on their conquered/ceded/settled status, by the early seventeenth century, many English jurists spoke of the     261 Yet the idea of custom played a much broader role in the formation of colonial society. While the settlers introduced relevant parts of the English law to govern their relations among themselves, the imperial common law of continuity—admitted to a greater or lesser extent throughout the colonial British Empire—created a unique and enduring system of legal pluralism.872 Unless royal prerogative dictated otherwise, colonial courts presumed the existing lex loci to continue in force and acknowledged the existence of a hybrid or dual legal system. In territories with local laws suitable to the British settlers, the existing legal system formed part of the colonial municipal law; otherwise, local laws and customs existed as a distinct normative structure independent of the settler polity. In either case, contemporary law of nations theory applied on relatively equal terms to both Christian and non-Christian polities, providing a sufficient enough legal basis for the British to recognize and negotiate with “infidel” nations for certain territorial and jurisdictional rights.873 While the British Empire prided itself on the legal diversity of its imperial constitution, the colonial pluralist order rested upon settler assumptions of Anglo- European superiority and civilizing duty.874 As Indian-settler relations deteriorated                                                                                                                                                                                   colonists’ “birthright” to the English law abroad in their dealings inter se. “[T]he law of England,” Francis Bacon argued in Calvin’s Case, “. . . operateth over the world.” See J. Spedding, R.L. Ellis, and D.D. Heath, eds., The Works of Francis Bacon, Vol. 7, London: Longmans & Co., 1879, p. 651. The scholarship on these debates is diverse and extensive; for an overview see Zechariah Chafee, Jr., “Colonial Courts and the Common Law,” Proceedings of the Massachusetts Historical Society, 3rd Series, Vol. 68 (Oct., 1944- May, 1947): pp. 132-159; William B. Stoebuck, “Reception of English Common Law in the American Colonies,” William and Mary Law Review, Vol. 10, No. 2 (Winter, 1968): pp. 393-426; Peter Charles Hoffer’s bibliographic essay in Law and People in Colonial America, rev. ed., Baltimore: Johns Hopkins University Press, 1998, pp. 167-173; Mary Sarah Bilder, “English Settlement and Local Governance,” in Michael Grossberg and Christopher Tomlins, eds., Cambridge History of Law in America, Vol. 1: Early America (1580-1815), New York: Cambridge University Press, 2008, pp. 96-103. 872 Mark D. Walters, “Mohegan Indians v. Connecticut (1705-1773) and the Legal Status of Aboriginal Customary Laws and Government in British North America,” Osgoode Hall Law Journal, Vol. 33, No. 4 (Winter, 1995): pp. 791-792. 873 McHugh, Aboriginal Societies, pp. 86-87. 874 Ibid. p. 108.     262 during the late seventeenth century, the jurisdictional reach of colonial authorities extended beyond the settler polity. Although growing tensions failed to prompt British claims to absolute sovereignty, colonial officials took several measures to ensure that the scope and character of recognition conformed to British standards of justice. By the early 1700s, the legal topography across New England had become thoroughly Anglicized. While most Indians continued to be “Govern’d by Law’s [sic] of their own making,” many others had conformed to settler laws and customs.875 As Indigenous peoples came increasingly within the jurisdictional orbit of the settler state, they became subject to a legal system largely unfamiliar with their personal laws and customs. Unlike the English courts, which followed specific rules of recognition, no particular set of legal criteria directed the colonial courts in determining which customs were to be acknowledged or rejected.876 Early seventeenth-century Imperial common law established the general rule of repugnancy, that is the judicial right to abrogate local customs considered malum in se or abhorrent to Christian morals. However, in American colonial society, this tenet provided a less than effective model for Indian-settler relations.877 With few exceptions, the rule of repugnancy served not as a pretext for the                                                              875 Sarah Kemble Knight, Journal of Madam Knight [1704], Boston: Small, Maynard & Co., 1920, p. 39, as quoted by Katherine Hermes, “‘Justice Will Be Done Us’: Algonquian Demands for Reciprocity in the Courts of European Settlers,” in Christopher L. Tomlins and Bruce H. Mann, eds., The Many Legalities of Early America, Chapel Hill: University of North Carolina Press, 2001, p. 143. For a discussion of Indian adoption of English legal customs, see Hermes, “‘By Their Desire Recorded’: Native American Wills and Estate Papers in Colonial Connecticut,” Connecticut History, Vol. 38, No. 2 (March, 1999): pp. 150-173; and Ann Marie Plane, “Colonizing the Family: Marriage, Household and Racial Boundaries in Southeastern New England to 1730,” Ph. D. Diss., Brandeis University, 1995, pp. 186-187. 876 Occasionally, however, Indian litigants invoked English common law rules of custom to strengthen their claims in court. In one 1746 Rhode Island case, a Narragansett Indian, Mary, or Oskoosooduck, testified to the tribe’s rule of inheritance, “which Custom was practiced by said Tribe ever since my Remembrence, and Done by the Information I had from the Antients of said tribe, they always practiced so ever Time out of Mind.” See Plane, “Colonizing the Family,” p. 174. 877 Legal scholars trace the repugnancy rule to fifteenth- and sixteenth-century Romano-Canon legal tradition; see John D.M. Derrett, “Justice, Equity, and Good Conscience,” in James N. Anderson, ed., Changing Law in Developing Countries, New York: F.A. Praeger, 1963, p. 114. In 1608, the Irish Court of     263 judicial abrogation of “infidel” customs but as a premise for British settlers to exempt themselves from non-Christian laws.878 Nevertheless, the colonial courts took an active role in shaping Indian customary law. The English idea of custom as ancient, immemorial, and unchanging, led many colonial magistrates to believe that general characteristic usages among Native peoples could be ascertained and applied. Yet while British notions of customary law provided a convenient legal framework for the colonial courts, recognition depended upon the Anglicization and reconfiguration of Indian “tradition” to fit jurists’ understanding of the issues, an inherently imperfect process of rendering native laws and customs familiar to the vernacular of the common law. To ensure certainty and accuracy in ascertaining and applying Native customary law, the only practical solution, colonial administrators believed, was the reduction of oral tradition to written and codified form. This process entailed a broad range of empirically based methods of investigation, including interviews with tribal elders, the distribution of questionnaires, census taking, and other forms of normative inquiry.879 By the late eighteenth century, legal ethnography had become the modus operandi for government officials throughout the British colonial world. British India provides                                                                                                                                                                                   King’s Bench applied English rules of recognition to local custom in The Case of Tanistry (80 Eng. Rep. 516 (1608)), declaring the Irish “Brehon law” of inheritance to be “void at common law.” Also see discussion of Calvin’s Case, supra, pp. 53-54. On the significance of Irish-Indian analogies in the context of English colonizing discourse, see Nicholas P. Canny, “The Ideology of English Colonization: From Ireland to America,” William and Mary Quarterly, 3rd Series, Vol. 30, No. 4 (Oct., 1973), pp. 575-598; Liam Séamus O’Melinn, “The Imperial Origins of Federal Indian Law: The Ideology of Colonization in Britain, Ireland, and America,” Arizona State Law Journal, Vol. 31, No. 4 (Winter, 1999): pp. 1207-1275; and McHugh, Aboriginal Societies, pp. 70-73. 878 See Shaunnagh Dorsett, “Sworn on the Dirt of Graves: Sovereignty, Jurisdiction and the Judicial Abrogation of ‘Barbarous’ Customs in New Zealand in the 1840s,” Journal of Legal History, Vol. 30, No. 2 (Aug., 2009): p. 187. For an exception, see discussion of Barkham’s Case at supra, n. 183 and corresponding text, which effectively illustrates the repugnancy rule’s futility in colonial North America. 879 T.O. Elias, “The Problem of Reducing Customary Laws to Writing,” in Alison Dundes Renteln and Alan Dundes, eds., Folk Law: Essays in the Theory and Practice of Lex Non Scripta, Vol. 1, Madison: University of Wisconsin Press, 1994, pp. 325-330.     264 one of the most well-known and thoroughly studied models of this empirical approach to colonial legal administration.880 In 1772, the British Parliament appointed Warren Hastings to India’s newly-created office of the Governor-General. Hastings, an established diplomat and commercial agent for the East India Company, believed that an in-depth knowledge of Indian culture, laws, and customs was the most appropriate means for structuring the administrative apparatus of the British colonial state.881 His Judicial Plan of 1772 embodied this philosophy of legal relativism by assuring the Hindu and Muslim inhabitants that their “personal laws” would be preserved and respected. Section twenty-three of the Plan provided: That in all Suits regarding Inheritance, Marriage, Caste, and all other Religions Usages or Institutions, the Laws of the Koran with respect to Mahometans and those to the Shaster with respect to Gentoos, shall be invariably adhered to: On all such Occasions, the Moulavie or Brahmins shall respectively attend and expound the Law, and they shall sign the Report, and assist in passing the Decree.882 This model of “indirect” rule, Hastings intended, would enable Native law and custom to retain a degree of normative integrity. In essence, the theory was that “Indians should be governed by Indian principles, particularly in relation to law.”883 Above all, Hastings’ Plan reflected a larger paradigm of colonial rule. In India, the relation of knowledge to power became critical to British hegemony.884 In theory, the                                                              880 See, for example, Robert Travers, Ideology and Empire in Eighteenth Century India: The British in Bengal, New York: Cambridge University Press, 2007. 881 Cohn, “Colonialism,” pp. 60, 61. 882 A Plan for the Administration of Justice, Extracted from the Proceedings of the Committee of Circuit, 15 August 1772, in G.W. Forrest, ed., Selections from the State Papers of the Governors-General of India, Vol. II: Warren Hastings, Oxford: B.H. Blackwell, 1910, pp. 295-296. 883 McHugh, Aboriginal Societies, p. 129; Cohn, “Colonialism,” p. 26. 884 Hastings made this view clear in a 1784 letter to Nathaniel Smith, the Company’s chairman of the Court of Directors: Every accumulation of knowledge and especially such as is obtained by social communication with people over whom we exercise dominion founded on the right of conquest, is useful to the state . . . it attracts and conciliates distant affections; it lessens the weight of the chain by which the     265 extensive social, political, economic, legal, and cultural milieu of India had to be identified, transcribed, categorized, published, and bound before it could be effectively governed.885 Legal scholarship flourished under this model and colonial officials embarked upon a comprehensive study of Native languages, history, laws, customs, social institutions, religions, and family governance structures. Historians, travel writers, census takers, ethnographers, and mapmakers—agents of empire— rendered India a vast discursive space, believing that they “had a particular role to play in mediating between the colonial subjects and rulers.”886 Over time, the British constructed a vast literary apparatus of Indian grammars, dictionaries, treatises, and translations of important Native                                                                                                                                                                                   natives are held in subjection; and it imprints on the hearts of our countrymen the sense of obligation and benevolence. . . . Every instance which brings their real character home to observation will impress us with a more generous sense of feeling for their natural rights, and teach us to estimate them by the measure of our own. But such instances can only be obtained in their writings: and these will survive when the British dominion in India shall have long ceased to exist, and when the sources which once yielded wealth and power are lost to remembrance. See letter of Warren Hastings to Nathaniel Smith dated 4 October 1784, as quoted in Cohn, “Colonialism,” p. 45. 885 Cohn elaborates on this “larger colonial project” by outlining a set of “investigative modalities,” a comprehensive, categorized set of inquiries which included “the definition of a body of information that is needed, the procedures by which appropriate knowledge is gathered, its ordering and classification, and . . . how it is transformed into usable forms such as published reports, statistical returns, histories, gazetteers, legal codes, and encyclopedias.” See Cohn, “Colonialism,” p. 5, 21-22. By the late nineteenth century, systematized bodies of knowledge, such as history and ethnography, assisted the colonial courts in the adjudicatory process and often became requisites of legal procedure in official state handbooks on evidence. For example, the Indian Evidence Act of 1872 outlined several “facts” of which the colonial courts were to take judicial notice; these included matters related to “public history, literature, science or art.” Under the same provisions, the courts were likewise required to “take judicial notice of all laws or rules having the force of law . . . in any part of British India,” which included not only the “statute law but also of all recognized legal customs.” “To ascertain the law,” the Indian Evidence Act provided that “the Courts may refer to appropriate books or documents of reference,” including “sworn translations of little known Sanskrit embodying Hindu law together with the futwas or opinions of pundits.” See Sir Henry Stewart Cunningham, ed., The Indian Evidence Act (No. 1 of 1872): As Amended by Act XVIII of 1872, Together with an Introduction and Explanatory Notes, Madras: Higginbotham and Co., 1872, p. 112; also see Syed Ameer Ali and John G. Woodroffe, The Law of Evidence Applicable to British India, Calcutta: Thacker, Spink & Co., 1898, pp. 385-386; and Kunal Parker, “Interpreting Oriental Cases: The Law of Alterity in the Colonial Courtroom,” Harvard Law Review, Vol. 107, No. 7 (May, 1994): p. 1712, n. 4. Ali and Woodroffe’s Law of Evidence cataloged several ethnographic and historical texts that had acquired authoritative status in the colonial courts. These included Elphinstone’s History of India; Wigram on Malabar Law and Custom; Grant Duff’s History of the Mahrattas; Hough’s History of Christianity in India; Colebrooke’s Remarks on the Husbandry of Bengal; and Maine’s Ancient Law; see Ali and Woodroffe, Law of Evidence pp. 389-390. 886 Cohn, “Colonialism and its Forms of Knowledge,” p. 11.     266 manuscripts. Some of these works served as general guidebooks while others summarized the extensive administrative and legal systems of the Mughal Empire.887 Yet British India was not unique in its intellectual colonization of Native laws, “customs,” and life ways. Knowledge gathering in the New World had long been part of the Europeans’ colonizing repertoire. In addition to gaining a vast geographic knowledge of the North American continent, French explorers and Jesuit priests such as Samuel de Champlain, Gabriel Sagard, and Louis Nicolas recorded extensive information on the tribes they encountered during their travels. While the accumulation of such knowledge often resulted from curiosity of the exotic “other,” French colonial administrators sought to better understand their potential Indian allies (or enemies) for purposes of social adaptation, military strategy, diplomacy, or religious conversion.888 The British in North America expanded upon this empirical tradition. Observational fieldwork among the Indians became an indispensible medium of normative inquiry. Travelers and explorers went to great lengths in documenting the “laws,” “customs,” and “traditions” of the North American Indigenous inhabitants, often focusing on matters of property and inheritance, criminal justice, marriage, and domestic governance. “They claim no property in lands,” Robert Beverly observed of the Virginia tribes in 1705, yet understood their title to be held “in common to a whole nation.”889 Nearly half a century prior, Andrew White documented “the Naturall Disposition of the                                                              887 For the latter, see for example, Nathaniel Halhed, A Code of Gentoo Laws, or, Ordinations of the Pundits: From a Persian Translation, Made from the Original Written in the Shanscrit Language, London: [s.n.], 1776; Arthur Steele, Summary of the Law and Custom of Hindoo Castes: Within the Dekhun Provinces Subject to the Presidency of Bombay, Chiefly Affecting Civil Suits. Bombay: Courier Press, 1827. 888 See Library of Congress and Bibliothèque Nationale de France, “Exploration and Knowledge: Knowledge of the Indians,” France in America, available at http://international.loc.gov/intldl/fiahtml/, accessed 2 November 2010. 889 Robert Beverly, The History and Present State of Virginia, London: R. Parker, 1705, p. 178.     267 Indians which Inhabite the parts of Maryland” and “their manner of living.”890 In matters of inheritance, he wrote, the Indian husband “leaves all that he hath to his wife . . . and she is to keepe the children until the sons come to be men . . . and the daughters until they have husbands.”891 Indian marriage—often described as a union contracted in a “state of nature”—stood in stark contrast to English or European forms of matrimony. “The Indians allow of polygamy,” wrote Jonathan Carver in 1766, “and persons of every rank indulge themselves in this point,” the custom being “more prevalent among the nations which lie in the interior parts.”892 Like many of his contemporaries, Carver saw Indian divorce as an impersonal and informal matter as well. “The Indian nations differ but little from each other in their marriage ceremonies,” he noted, “and less in the manner of their divorces.”893 The consensus among colonial commentators held that either party could dissolve the union voluntarily by simply leaving or by taking another partner. “When from any dislike a separation takes place,” Carver observed, “. . . they generally give their friends a few days notice of their intentions, and sometimes offer reasons to justify their conduct.”894 Early narratives and travel accounts such as these gave birth to the concept of Indian “custom,” a theoretical construct that not only explained social differences                                                              890 Andrew White, A Relation of Maryland: Together, with a Map of the Country, the Conditions of the Plantation, His Majesties Charter to the Lord Baltimore, Translated into English, London, 1635, p. 25. 891 Ibid. p. 28. 892 Jonathan Carver, Travels through the Interior Parts of North America, in the Years 1766, 1767, and 1768, 3rd ed., London: C. Dilly, 1781, pp. 367, 369. 893 Ibid. p. 369. These observations became part of a larger empirical commentary on the qualitative aspects of Indian domestic governance and family organization; see Carole Shammas, “Anglo-American Household Government in Comparative Perspective,” William and Mary Quarterly, Vol. 52, No. 1 (Jan., 1995): pp. 109-115. 894 Ibid. p. 370. John McIntosh, another North American explorer, expressed similar sentiments nearly eighty years later, writing that Indian marriage “contracts are binding no longer than both parties are willing.” See McIntosh, Origin of the North American Indians: With a Faithful Description of Their Manners and Customs, Both Civil and Military, Their Religions, Languages, Dress, and Ornaments, New ed., New York: Nafis & Cornish, 1843, p. 119.     268 between European settlers and Native peoples but also shaped distinct normative realms and special legal categories cognizable by the colonial courts. Over time, the ethnographic collection of custom created a valuable legal commodity, a form of scientific evidence that colonial administrators claimed to be objective and authoritative in the process of discovering and applying Native “customs,” adjudicating claims, and forming judicial presumptions.895 During the mid- to late-eighteenth century, colonial courts frequently turned to ethnographic sources for resolving legal controversies involving Indian litigants. For example, because common law rules of succession departed from Indigenous ideas and practices of property holding and inheritance, colonial magistrates relied on evidence of customary land tenure to adjudicate property disputes. In one case involving members of the Narragansett Tribe of southwest Rhode Island, colonial agents “Went into Connecticut Government and there got Evidences from the Sachems and Ancient Indians for to Prove . . . [the] Heir” to a particular tract of land. The “Evidences” were later “Carried to a Co[u]rt of Enquiry Held . . . in Kings Town [Rhode Island].”896 After 1763, the Crown found itself with a larger, more culturally diverse demographic of Catholic and non-Christian peoples under its rule. Colonial officials set out to adjust and reorganize the administration of justice accordingly. Rather than assert full territorial sovereignty, the Crown sought to expand its jurisdictional rights without                                                              895 See Plane, Colonial Intimacies, pp. 7-8; Plane, “Customary Laws of Marriage: Legal Pluralism, Colonialism, and Narragansett Indian Identity in Eighteenth-Century Rhode Island,” in Tomlins and Mann, Many Legalities, pp. 211-212; and Darian-Smith, “Ethnographies of Law,” p. 549. On the late eighteenth- and nineteenth-century development of Anglo-American judicial presumptions regarding non-Christian marriages as polygamous or potentially polygamous, see G.W. Bartholomew, “Recognition of Polygamous Marriages in America,” International and Comparative Law Quarterly, Vol. 13, No. 3 (July, 1964): pp. 1033-1068. 896 Deposition of William Champlin dated 5 September 1743, in C. Ninegret v. S. Clark, action of appeal, Rhode Island Superior Court of Judicature, as quoted in Plane, “Customary Laws,” p. 184.     269 entirely displacing local laws and customs. The Royal Proclamation of 1763 introduced English law into the colony of Quebec. However, the instrument made no express abrogation of the existing lex loci.897 Moreover, colonial administrators made no pretense of asserting jurisdiction over the affairs of the Indigenous tribes of the interior region, whom the Proclamation recognized as independent polities. Rather, the conventions of continuity and consent proceeded along diplomatic lines, cultivated through formal treaty relations and supplementary measures.898 By recognizing that Native peoples had no formal institutions or legal systems akin to the Europeans, Royal instructions directed colonial governors to study and respect Native forms of government. For example, Governor James Murray of Quebec was to inform himself “with the greatest Exactness of the Number, Nature and Disposition of the . . . Indians, of the manner of their Lives, and the Rules and Constitutions by which they                                                              897 Colonial officials initially suggested that judicial recognition of local customs follow criteria similar to those required for the recognition of particular customs in England. British Secretary Lord Hillsborough wrote to Lt. Governor Guy Carleton that “Justice should be administered agreeably to them, according to the Modes of administering Justice in the Courts o[f] Judicature in this Kingdom, as is the Case in the County of Kent, and many other parts of England, where Gavel-kind Borough-English and several other particular customs prevail.” See letter of Hillsborough to Carleton, dated 6 March 1768, in Adam Shortt and Arthur G. Doughty, eds., Documents Relating to the Constitutional History of Canada [hereinafter cited as DRCHC], 1759-1791, Vol. 1, Ottawa: Printed by J. de L. Taché, 1918, p. 297. However, law officers of the Crown subsequently rejected this view, suggesting instead that the laws of the “antient Colony” continued in force not as particular customs but as part of the general municipal law; see Report of Attorney and Solicitor General Regarding the Civil Government of Quebec, dated 14 April 1766, in DRCHC, Vol. 1, p. 255; and Walters, “Golden Thread,” p. 726. This opinion dealt largely, though not exclusively, with French-Canadian property law; however, considering contemporary and earlier colonial practice, similar rules likely applied to matters involving Indian customary law. As Mark Walters argues, in discussing measures leading up to Sir William Johnson’s Plan of 1764, “[a]lthough this bill was not enacted, reference to the local legislation of particular colonies confirms that the idea of acknowledging statutorily the continuity of existing Aboriginal customary laws and governments was far from novel.” See Mark D. Walters, “Mohegan Indians v. Connecticut (1705-1773) and the Legal Status of Aboriginal Customary Laws and Government in British North America,” Osgoode Hall Law Journal, Vol. 33, No. 4 (Winter, 1995): p. 798 (for examples, see nn. 53-62 and accompanying text). 898 McHugh, Aborignal Societies, pp. 104-105. As McHugh notes, “[t]hese treaties were regarded as so important that some of them made their way into the [Georg Friedrich von] Martens treaty series. See for example, Martens, Summary of the Law of Nations, Founded on the Treaties and Customs of the Modern Nations of Europe; With a List of the Principal Treaties, Concluded Since the Year 1748 Down to the Present Time, trans. William Cobbett, Philadelphia: Published by Thomas Bradford, printer, 1795, p. 355.     270 are governed or regulated.”899 Such instructions—reflecting contemporary law of nations theory—suggest the jurisdictional integrity and normative force that British officials often attributed to tribal customary law systems.900 During the Confederation and early national periods, United States policy toward the Indian tribes was largely an extension of British practice. Despite settler claims to full territorial sovereignty (a major impetus to the American Revolution), the federal government initially demonstrated its commitment to the doctrines of continuity and consent. Early treaties, while including clauses for the cession of Indian lands, continued to respect tribal jurisdiction and customary rights to property.901 Other measures, including the federal trade and intercourse acts as well as the Northwest Ordinance, upheld British principles embodied in the Royal Proclamation.”902 American territorial expansion—as with European imperial acquisition of overseas colonies—brought forth the need for greater knowledge of the local inhabitants, their laws, customs, and institutions of self-government.903 President Thomas Jefferson recognized the importance of such measures. With the French cession of Louisiana to the                                                              899 Instructions to Governor Murray dated 7 December 1763, DRCHC, Vol. 1, p. 199. 900 Tully, Strange Multiplicity, p. 121. Although Royal instructions served primarily as “instruments of political control, having no legal effect,” colonial governors faced being recalled from their posts or other consequences for failing to comply; see David B. Swinfen, “The Legal Status of Royal Instructions to Colonial Governors,” Juridical Review, Vol. 13 (1968): pp. 22, 26. 901 See discussion of the 1795 Treaty of Greenville, supra, pp. 105-106, n. 339. On the effects of revolution, independence, and state succession on the continuity (or discontinuity) of treaties, see D.P. O’Connell, State Succession in Municipal Law and International Law, Vol. 2: International Relations, Cambridge: Cambridge University Press, 1967, pp. 90-91; and Matthew Craven, The Decolonization of International Law: State Succession and the Law of Treaties, Oxford: Oxford University Press, 2007, pp. 141-147. 902 McHugh, Aborignal Societies, p. 143. 903 In a 1789 letter to President George Washington, Northwest Territorial Governor Arthur St. Clair realized that lawmaking for “so great an extent of Country” demanded knowledge of the inhabitants’ “many different Habits and Customs.” However, little appears to have been accomplished in the years that followed; see Letter of Governor Arthur St. Clair to President George Washington dated [?] Aug. 1789, in Clarence E. Carter, ed., The Territorial Papers of the United States, Vol. 2: The Territory Northwest of the River Ohio, 1787-1803, Washington: U. S. Gov’t Printing Office, 1942, p. 204.     271 United States by Treaty of 30 April 1803, Jefferson, like many of his contemporaries, realized that the American legal system would have limited effect in the newly-acquired territory.904 The diversity of local laws and customs would continue in force until expressly repealed by legislative act. Just prior to treaty ratification, Jefferson forwarded a questionnaire to local New Orleans merchant Daniel Clark, inquiring specifically as to the laws then in force in the territory. Having received the details he sought, Jefferson submitted this information to Congress in “An Account of Louisiana,” a summary analysis that provided the statutory basis for the rule of recognition in the territory.905 Following U.S. possession, Louisiana Territorial Governor William Claiborne issued a proclamation assuring the inhabitants that “all laws and municipal regulations, which were in existence at the cessation of the late Government, [shall] remain in full force.”906 Subsequent congressional acts provided that all laws in force at the time of territorial cession were to “continue in force, until altered, modified, or repealed by the legislature.”907 Until Louisiana exercised its legislative prerogative, the courts often                                                              904 For full-text of the Treaty with annotations, see Hunter Miller, ed., Treaties and Other International Acts of the United States of America, Vol. 2: Documents 1-40: 1776-1818, Washington: Government Printing Office, 1931, pp. 498-511. On earlier American accommodations with the French, see chapter one, part three. 905 See Donald Juneau, “The Light of Dead Stars,” American Indian Law Review, Vol. 11, No. 1 (1983): pp. 26-27. 906 As quoted in ibid. p. 28. For the Congressional act enabling territorial possession, see Act of 31 October 1803, 8th Cong., 1st sess. ch. 1, Statutes at Large: p. 245. 907 See Act of 26 March 1804, 8th Cong., 1st sess. ch. 38, Statutes at Large: p. 287; and Act of 2 March 1805, 8th Cong., 2nd sess. ch. 23, Statutes at Large: p. 322. The former measure, which divided the newly- acquired territory into the District of Louisiana and the Territory of Orleans, vested all legislative powers in a respective governor (one in each jurisdiction), who, along with the advice and consent of a legislative council, possessed the authority to “alter, modify, or repeal the laws which may be in force at the commencement of this act.” William C.C. Claiborne served as the Territory of Orleans’ only governor, and William Henry Harrison served as governor of the Louisiana District; see supra, pp. 114-118 for a discussion of Harrison’s brief tenure. Under the Act of 2 March 1805, Congress established the Territory’s representative legislature. Louisiana became a state on 4 June 1812.     272 applied French and Spanish law in forming the rule of decision in cases involving French and Spanish claims.908 As the architect of the 1804 Lewis and Clark expedition, Jefferson undertook similar investigative strategies in relation to the western Indian tribes. The expedition— extending from the interior region of the continent to the Pacific Northwest—served largely as a reconnaissance mission for gathering the necessary evidence to establish future discovery claims for the United States. Yet Jefferson understood these entitlements as a mere right of pre-emption by which to exclude competing European states from territorial claims rather than a unilateral declaration of sovereignty over tribal lands. The doctrine of discovery, as Jefferson regarded it, conferred no express right to abrogate the laws and customs of the Indian tribes; the law of nations still applied.909 In order to strengthen ties with the tribes, Jefferson understood the value of studying their history, economy, culture, systems of government, and international relations.910 In his letter of instructions to Lewis and Clark dated 20 June 1803, Jefferson emphasized these objectives. The establishment of commercial, legal, and political                                                              908 See, for example, Caiserques v. Dujarreau, 1 Mart. 7 (Orleans 1809); and (following statehood) Cottin v. Cottin, 5 Mart. 93 (La. 1817). Even with the enactment of the 1825 Civil Code, which repealed “the Spanish, Roman and French laws” in force at the time of cession, the Louisiana Supreme Court later ruled that “the legislature did not intend to abrogate those principles of law which had been established or settled by the decisions of the courts of justice.” See Reynolds v. Swain, 13 La. 193 (1839). 909 Following the Purchase, Jefferson proposed a U.S. Constitutional amendment authorizing territorial acquisition. His draft expressly guaranteed to the western tribes their “rights of occupancy in the soil, and of self-government.” As quoted in Robert J. Miller, “The Doctrine of Discovery in American Indian Law,” Idaho Law Review, Vol. 42, No. 1 (2005): p. 85. “[W]e do not consider you as another nation,” Jefferson wrote to the Ottawa, Chippewa, Pottawatomie, Wyandot, and Shawnee nations several years later, “but as part of us, living indeed under your own laws, but having the same interests with us.” See Letter of Thomas Jefferson to Chiefs of the Ottawas, Chippewas, Powtewatamies, Wyandots, and Shawanese [sic], dated 31 January 1809, in Andrew Lipscomb, ed., The Writing of Thomas Jefferson, Vol. 16, Washington, D.C.: Thomas Jefferson Memorial Association, 1903. 910 p. 87, 92. While Miller’s article provides a concise overview of the discovery doctrine in North America, I disagree with the extent to which he associates the expedition as a manifestation of claims to complete “sovereign power and real property rights over the Indian nations.” Although notions of sovereignty had certainly shifted toward settler self-interests, the western tribes still retained a large degree of autonomy in exercising their customary rights and powers of territorial jurisdiction.     273 intercourse with the Indians “renders kno[w]le[d]ge of these people important,” he wrote.911 Like the British governors of the post-expansionist colonial era, Lewis received explicit instructions from Jefferson to acquaint himself, “as far as a diligent pursuit” of his journey admitted: with the names of the nations & their numbers; the extent & limits of their possessions; their relations with other tribes or nations; their language, traditions, monuments; their ordinary occupations in agriculture, fishing, hunting, war, arts, & the implements for these; their food, clothing, & domestic accommodations; the diseases prevalent among them, & the remedies they use; moral and physical circumstance which distinguish them from the tribes they know; peculiarities in their laws, customs & dispositions; and articles of commerce they may need or furnish, & to what extent.912 Moreover, by “considering the interest which every nation has in extending & strengthening the authority of reason & justice among the people around them,” Jefferson considered it “useful to acquire . . . kno[w]le[d]ge . . . of [their] state of morality, religion, & information,” as a means of enabling “those who endeavor to civilize & instruct them, to adapt their measures to the existing notions & practices of [the Indians].”913 Based on Jefferson’s proposed questionnaire, Lewis and Clark spent considerable time observing, collecting, and recording Indian vocabularies, tribal customs, and other data they considered pertinent, paying close attention to land use and concepts of property among the Indians they encountered .914                                                              911 Jefferson’s Instructions to Meriwether Lewis, dated 20 June 1803, in Donald Jackson, ed., Letters of the Lewis and Clark Expedition, With Related Documents, 1783-1854, Vol. 1, Urbana: University of Illinois Press, 1978, p. 62. 912 Ibid. Compare with Instructions to Governor James Murray of Quebec, quoted at supra, pp. 269-270. 913 Ibid. p. 63. 914 Miller, “Doctrine of Discovery,” p. 93.     274 Jefferson’s ethnographic model, however, appears to have generated little if any interest among state and territorial lawmakers during the early national period.915 Unlike the French and Spanish laws and customs that judges recognized and applied following U.S. territorial acquisition, similar efforts failed to accommodate the principle of continuity toward the American Indian tribes. In large part, this disparity resulted from the fact that Indian customary law continued to exist predominantly in oral form, a particularly challenging idea for western lawmakers to comprehend.916 Moreover, the enormous task of recording and codifying Indian customs would demand more time and resources than most frontier administrators had at their disposal. Lewis Cass, Michigan Territorial Governor from 1813 to 1821, set out to reconcile this knowledge gap by advocating the merger of Indian law and policy with the organized and methodical collection of Native laws and customs. In 1820, Cass organized an expedition of the Old Northwest and upper Great Lakes region with the intention of locating the source of the Mississippi River. Although failing in his primary endeavor, the expedition provided ample opportunity for studying the region’s Indigenous inhabitants. Drawing upon this experience, Cass envisioned an applied model of frontier ethnography. Like Warren Hastings in India before him, Cass believed that an authoritative knowledge of Native laws and customs was necessary to implement an effective system of civil administration and cross-cultural justice.917                                                              915 As legal historian Elizabeth Gaspar Brown notes: “At the very period when priceless information could have been gathered concerning the aborigine, his laws and customs, the settlers and administrative officials apparently failed to proceed along these lines of inquiry.” Elizabeth Gaspar Brown, “Lewis Cass and the American Indian,” Michigan History, Vol. 37 (Sept., 1953): p. 286. 916 There were, of course, exceptions to this form of Indian law, the most notable of which was the Cherokee Code; see Laws of the Cherokee Nation: Adopted by the Council at Various Periods: Printed for the Benefit of the Nation, Tahlequah, C.N.: Cherokee Advocate Office, 1852. 917 “Here was a man,” as Brown describes Cass, “given the legal training of the early nineteenth century, burdened with the problems of civil administration of an area comprising more than the present states of     275 In 1823, Cass published an elaborate questionnaire entitled Inquiries, Respecting the History, Traditions, Languages, Manners, Customs, Religion, &c. of the Indians, Living Within the United States.918 Cass intended this document to be a model census for state and territorial officials to conduct a comprehensive demographic inventory of the American Indian tribes throughout the region. In crafting his Inquiries, Cass sought to identify the legal and political basis upon which the North American Indigenous peoples maintained their systems of self- government. His survey—systematically arranged under extensive subject headings— focused on such issues as whether the tribes had “any particular body of counsellors,” “any mode of compelling the payment of a debt,” “anything like a redress of civil injuries,” or if “councils [were] called to deliberate upon questions of internal policy, or . . . the administration of law.”919 Other topics included “Marriage, and its incidents,” “Family Government [and] Social Relations,” religion, languages, and “General Manners and Customs.” On the subject of “International law and relations,” Cass expressed particular interest in whether one tribal nation acknowledged the sovereignty of                                                                                                                                                                                   Michigan and Wisconsin, charged with the responsibility of acting as ex officio superintendent of Indian affairs in which capacity his jurisdiction extended over the subagencies of Ohio, Indiana, and Illinois, who in spite of all the pressure and responsibility was able to devise a set of inquiries which touch on every significant aspect of the Indian mind, the moral habits of the tribes, their institutions and laws, and their customs and traditions.” See Brown, “Lewis Cass,” pp. 287-288. The influence of Cass’s work can be seen in the decisions of Michigan Territorial Judge James Duane Doty, a close colleague of the Governor and secretary journalist of the 1820 expedition. For Doty’s field notes and observations of the regional tribes during his expedition, see “The Journal and Letters of James Duane Doty,” in Mentor L. Williams, ed., Schoolcraft’s Narrative Journal of Travels: Through the Northwestern Regions of the United States Extending from Detroit Through the Great Chain of American Lakes to the Sources of the Mississippi River in the Year 1820, East Lansing: Michigan State University Press, 1992, pp. 401-460. 918 Lewis Cass, Inquiries, Respecting the History, Traditions, Languages, Manners, Customs, Religion, &c. of the Indians, Living Within the United States, Detroit: Sheldon and Reed, 1823. Apparently, Cass’s Inquiries were originally printed in two separate pamphlets. The combined reprint included a revised subject arrangement which allowed for broad circulation. 919 Cass, Inquiries, pp. 4, 5. In attempting to provide a holistic desciption of another culture, ethnographers typically used standardized lists or questionnaires with extensive subject headings such as those noted above; see Darian-Smith, “Ethnographies of Law,” p. 549.     276 another.920 Questions such as these permeated early nineteenth-century legal and political discourse, which sought to determine whether or not the tribes fit within the paradigm of contemporary law of nations theory and, if so, whether they should be treated as equal sovereigns in the young Republic’s developing field of international law. As late as the 1820s, the idea of the tribes as distinct sovereign nations possessing jurisdictional integrity continued to sustain the colonial model of legal pluralism. Yet shifting social attitudes and emerging legal doctrine—developments manifestly latent in Cass’s own work—had begun to undermine the reciprocal framework of a universal jus gentium. By using American and European legal systems as a normative standard by which to measure and compare tribal modes of governance, Cass’s initial sense of accommodation quickly gave way to ethnocentric superiority and disdain. According to Cass, the European-modeled settler states possessed the most advanced institutions of government; the Indian tribes, in contrast—often characterized as living in a “state of nature”—fell at the bottom stages of civilization. Premised upon eighteenth-century Enlightenment theory, this staged, evolutionary, or stadial view of humanity held that all cultures and societies could be measured or ranked hierarchically relative to their internal level of development.921 Ideas, institutions, and civilizations “could be seen as progressing through stages to some end or goal” or, on the other hand, perceived in a state of “regression, decay, and decadence.”922 Having found little common ground                                                              920 Ibid. p. 18. 921 Tully, Strange Multiplicity, pp. 64-65; McHugh, Aboriginal Societies, p. 122. 922 Cohn, “Colonialism,” p. 55.     277 between settler norms and tribal customs, Cass eventually concluded that the Indians “have but little property, less law, and no public offences.”923 Particularly influential in this ideological shift was the emergence of legal positivism. The early nineteenth-century work of Jeremy Bentham and John Austin posited law as the sole command of the nation-state, a sovereign entity vested with exclusive jurisdictional authority, personal as well as territorial. The product of reason and political will, law emanated from above, not from the sundry masses below. This top-down rather than bottom-up model of lawmaking critically undermined the normative authority of community usage. With exclusive authority vested in the state, legal positivism created a normative threshold, a fixed point from which to interpret and build upon a nationally relevant doctrinal past. As in other substantive areas of jurisprudence, the American “reception” of the English common law carried with it the power to reconfigure custom’s doctrinal scope. In particular, the idea of a uniquely American common law—founded well within legal memory—conflicted with the principle of “immemorial” status. Thus, like many states, Indiana excluded the “antiquity” requirement from Blackstone’s four-prong test. It was “not essential that usage should be shown to be so ancient ‘that the memory of man runneth not to the contrary,’” but merely “long-continued, uniform, and generally known.”924 By fixing the “cutoff” date of legal memory to the year 1607, Indiana                                                              923 Lewis Cass, “Indians of North America,” North American Review, Vol. 22, No. 50 (Jan., 1926): p. 53, as quoted by Brown, “Lewis Cass,” p. 8. Despite these conclusions, Cass’s interest in studying Indigenous society never abated. 924 See Morningstar v. Cunningham, 110 Ind. 328 (1887) for former quote and Cox v. O’Reiley, 4 Ind. 368 (1853) and Harper v. Pound, 10 Ind. 32 (1857) for latter quote.     278 established its own temporal context in which to recognize custom.925 No longer would the state have to rely upon the uncertain traditions of an obscure, remote past. Rather, the distinctively “modern” events in American legal history—narrowly defined by an English colonial heritage of common law rights and privileges—provided Indiana citizens with a strengthened sense of unity through shared institutions and traditions.926 With the early nineteenth-century development of precedent and stare decisis, the idea of formal, binding law began to alter the fundamental character of custom as immutable authority.927 The centralization of courts, the idea of political consensus, and the positivization of law through written constitutions, codes, and published case decisions rendered the peculiar, unwritten, or informal usages of the locality legally ineffectual.928 Whereas the assemblage of diverse customs had formed an “ancient constitution,” that “motley of overlapping legal and political jurisdictions” reflective of pre-Westphalian stateless societies, the sovereign state’s new “modern” constitution                                                              925 The Indiana “reception statutes” passed between 1807 and 1852 acknowledged the English common law and supplementary acts of the British Parliament dating to 1607. Several other states have similar statutes dating to this year, reflecting the significance attributed to the English settlement at Jamestown; see Ray F. Bowman, III, “English Common Law and Indiana Jurisprudence,” Indiana Law Review, Vol. 30, No. 1 (1997): p. 14, n. 25. Other common law jurisdictions throughout the British colonial world made similar modifications: India (1773); New Zealand (14 Jan. 1840); Hong Kong (1843); Gold Coast [Ghana] (1874); Fiji (1875); Sierra Leone (1880). In most cases the cutoff date for legal memory reflected the year colonial officials established the first supreme court or made significant changes to the constitutional law of the state; see J.N. Matson, “The Common Law Abroad: English and Indigenous Laws in the British Commonwealth,” International and Comparative Law Quarterly, Vol. 42, No. 4 (Oct., 1993): p. 754; and Parker, “Oriental Cases,” p. 1715, n. 13. 926 See Pearson, “Revising Custom,” p. 108. 927 “[I]n a government like ours,” wrote Ohio attorney John Milton Goodenow in 1819, “whose foundation is in written and positive law; untrammeled by custom or tradition . . . what is not written or published is not law.” John M. Goodenow, Historical Sketches of the Principles and Maxims of American Jurisprudence, Steubenville, Ohio: Printed by James Wilson, 1819, p. 41, as quoted by Bederman, Custom, p. 39. 928 “The mere innate power of the Courts cannot create a usage. They can only adjudge, when satisfied by proof, that a usage exists, or has acquired, by its existence, the force of law. ‘A custom denies its force from the tacit consent of the legislature and the people, and supposes an original actual deed or agreement.’ It follows, therefore, there can be no custom in relation to a matter regulated by law.” See Michigan Southern and Northern Railroad Co., v. Bivens, 13 Ind. 227 (1859), quoting Blackstone, Commentaries, Vol. 2, [yr?], pp. 30, 31.     279 stood upon principles of uniformity, consent, and equality.929 Any peculiar usage at variance with this philosophy departed from and conflicted with the common law of the land.930 By mid-nineteenth century, custom had assumed an entirely new meaning in American jurisprudence. By shedding its “immemorial” status, custom—once considered a legitimate source of normative authority and fundamentally linked with the common law—had simply become a stage in law’s complex evolution.931 Rather than symbolizing the “authoritative expression of the agreement of the people,” custom had become a peripheral, degraded category, classified instead as the “de facto habits acquired by engaging in the practices and institutions of one’s society, from the most primitive and least reflective to the most civilised and enlightened.”932 As the informal or unwritten law became increasingly associated with the “savage” or “primitive” state, custom deserved little if any attention among contemporary jurists and political theorists. Instead, as a pre-historic relic, an artifact of ancient law, custom was something to be preserved for the archive and annals of history. In the introductory note to his Inquiries, Cass elaborated on the pressing need for such measures: The time for collecting materials to illustrate the past and present condition of the Indians, is rapidly passing away. The inquiries, which                                                              929 Tully, Strange Multiplicity, p. 66. Accordingly, the state’s “constitution and judicial decisions” became “hostile to local legislation and local customs.” See Harper v. Pound, 10 Ind. 33 (1857). 930 “Were the courts, by their decisions, to encourage the growth of these local usages originating in . . . mistaken ideas of law, they might become as great an evil, a source of as much want of uniformity in the law, as was the local legislation of the past—an evil supposed to be eradicated from our political system by the new constitution.” See Cox v. O’Riley, 4 Ind. 368 (1853). The “policy of the state [was] to have all her localities a unit—the same law and the same rule of decision prevailing everywhere throughout.” See Harper, p. 33. 931 Kunal M. Parker, “Context in History and Law: A Study of the Late Nineteenth-Century American Jurisprudence of Custom,” Law and History Review, Vol. 24, No. 3 (Fall, 2006): p. 482. 932 Tully, Strange Multiplicity, pp. 88-89.     280 have heretofore been directed to this subject, have produced much authentic information; but it relates rather to the more prominent traits of Indian character, than to the constitution of their minds, or their moral habits.933 This sense of urgency corresponded with increasingly common settler views that associated national progress with the Indians’ inevitable cultural demise. Consequently, efforts to record vestiges of the “vanishing race” met with mounting enthusiasm. As historian Oz Frankel notes, "[j]ust as the American Indian was expected to disappear, a new fascination with Indian artifacts, history, mythology, and customs emerged."934 Having denied American Indians equal standing under the law of nations, the task at hand lay in restructuring the historical and legal basis of Indian-settler relations. The centuries-long conquest of the North American continent provided a vast historical archive for early nineteenth-century legal and political theorists to justify their jurisdictional encroachment and extension of sovereign authority over Native lands. The “paper empires,” which European nations had constructed from an array of papal bulls, royal commissions, letters patent, trade grants, and treaties purported to convey land title and extensive governmental rights to the settlers.935 However, most of these imperial instruments entailed self-imposed juridical limits to absolute sovereignty. To substantiate settler claims to territorial jurisdiction required evidence of the Indians as culturally, intellectually, and morally inferior. Although the revolutionary radicals had declared independence in the east, the search for settler sovereignty unfolded in the trans- Appalachian west.                                                              933 Cass, Inquiries, p. 2. 934 Oz Frankel, States of Inquiry, p. 236. 935 Brian Slattery, “Paper Empires: The Legal Dimensions of French and English Ventures in North America”, in John McLaren, A.R. Buck and Nancy E. Wright, eds. Despotic Dominion: Property Rights in British Settler Societies, Vancouver: University of British Columbia Press, 2005, p. 52.     281 During the first three decades of the nineteenth century, scores of frontier representatives conducted nationally coordinated inventories of Indian land tenure, customs, and life ways. “Everywhere,” notes American literary scholar Roy Harvey Pearce, “the facts of Indian life were being gathered and disseminated.”936 Indian agents, western explorers, frontier envoys, and “wilderness scholars”—often under official government instructions—gathered extensive data on the tribes.937 Others, such as missionaries, travel writers, artists, antiquarians, and ethnologists, thoroughly documented their interactions with and observations of American Indians.938 Pursuant to instructions from Governor Lewis Cass, Indian agent Charles C. Trowbridge conducted a census of the Indiana Miami and Shawnee Tribes between 1824 and 1825.939 The contents of Trowbridge’s report, modeled after Cass’s ethnographic template, documented tribal systems of government, incidents of war and peace, customs related to birth, death, and marriage, family governance, religion, general manners, hunting, and tribal lore. While rich in ethnographic detail, the census served as a reconnaissance project for gathering data and local knowledge prior to treaty negotiations, a diplomatic scheme that had become increasingly instrumental in the acquisition of tribal lands. The                                                              936 Roy Harvey Pearce, Savagism and Civilization: A Study of the Indian and the American Mind, Rev. ed., Berkeley: University of California Press, 1988, p. 106. 937 Ibid. The term “wilderness scholar” is taken from Richard G. Bremmer, Indian Agent and Wilderness Scholar: The Life of Henry Rowe Schoolcraft, Mount Pleasant, Mich.: Clarke Historical Library, Central Michigan University, 1987. For a general discussion of contemporary literature that evolved from this empirical research, see “The Widening of Horizons,” in Robert E. Spiller, et al., eds., Literary History of the United States, 4th ed., rev. Macmillan Co., 1974, pp. 646-648. 938 As one early twentieth-century legal scholar noted, missionaries during the 1800s “collected the greater part of the records concerning native social life, [which] became the material for sociological and juristic analysis.” See Leonard Adam, “Modern Ethnological Jurisprudence in Theory and Practice,” Journal of Comparative Legislation and International Law, Vol. 16 (1934): p. 223. 939 The University of Michigan published Trowbridge’s census and manuscript report in 1938; see Charles Trowbridge, Meearmeear Traditions, ed. Vernon Kinietz, Occasional contributions from the Museum of Anthropology of the University of Michigan, No. 7, Ann Arbor: University of Michigan Press, 1938.     282 assignment arose from Cass’s concern over resolving a territorial dispute between the Miamis and the neighboring Wyandots, suggesting the importance of identifying the proper tribe with whom to negotiate land cessions in order to avoid future inter-tribal disputes and potentially costly and drawn-out treaty revisions. In directing attention to those sections of his report that described “the successive migrations of the Miamies,” Trowbridge advised Governor Cass that nothing indicated “their having once resided upon Fox river or at Detroit.” Nor, according to his sources, had “the Indians, in any instance, marked the boundaries of their hunting lands.”940 Like British colonial officials, U.S. Indian agents relied on Native informants to provide information. Indians often collaborated, albeit judiciously and on their own terms. For example, Miami Chief Le Gros “enabled [Trowbridge] to obtain some further information” on “several subjects,” which included Miami language systems, tribal migration patterns, contemporary marriage practices, and an historical account of regional, inter-tribal alliances.941 In the end however, it was Trowbridge, not his informants, who decided what information was pertinent. When Trowbridge interviewed his Indian subjects and recorded their “customs” and “traditions,” he was not interested in accommodating their normative perspectives. Rather, the Indian agent sought to capture and preserve evidence of a “vanishing” Indian past. “From creators of the middle ground,” Richard White observes, “from people who strove to maintain the necessary understanding of a common                                                              940 Letter of Trowbridge to Cass, dated 6 March 1825, as quoted in Ibid. pp. 2-3. Other sections of the report included “observations upon the Miami language[,] a tabular list of the names, in that dialect, of the surrounding nations, and also a statement exhibiting the affinities of other languages to the Miami.” Based on this description, Trowbridge’s interest in Indian languages appears to have been a form of linguistic mapping by which to document the geographic interactions among the regional tribes. 941 Ibid. p. 2.     283 world, the Algonquians had become objects of study in a world of white learning.” Rather than finding an opportunity for normative dialogue, the Indians were “left to sit and relate jumbled and isolated facts in answer to a white man’s odd questions although, but a short time before, those facts had been part of a common world shared with white men.”942 From this process of information gathering emerged a growing public sphere of interest. The information revolution of the early-nineteenth century marked an expanding infrastructure of subscription libraries, bookshops, museums, and historical societies.943 The Indian presence in particular, Oz Frankel observes, “generated a tremendously diverse market of knowledge.”944 Private and institutional collectors sought frontier travel journals, missionary reports, Indian vocabularies and grammars, tribal lore, and captivity narratives. The spirit of intellectual enterprise and the drive for knowledge diffusion and narrative (re)construction prompted efforts among antiquarians and ethnographers to collect and preserve tangible evidence from the “rapidly receding past.”945 In the years following American independence, historical societies proliferated and spread westward in tandem with other settler institutions, serving a central                                                              942 Richard White, The Middle Ground: Indians, Empires, and Republics in the Great Lakes Region, 1650- 1815, Cambridge: Cambridge University Press, 1991, pp. 519-520, 522, discussing Trowbridge’s 1824 interview with Tenskawatawa, the Shawnee religious leader also known as “The Prophet.” 943 For an assessment of early library development and access to books, see J. Robert Constantine, The Role of Libraries in the Cultural History of Indiana, Bloomington, Ind.: Indiana Library Studies, 1970; and Michael H. Harris, “The Availability of Books and the Nature of Book Ownership on the Southern Indiana Frontier, 1800-1850,” Ph.D. Dissertation, Indiana University, 1971. 944 Frankel, States of Inquiry, p. 238. 945 See generally Lee Clark Mitchell, Witnesses To a Vanishing America: The Nineteenth-Century Response, Princeton, N.J.: Princeton University Press, 1981 pp. 151-178.     284 “democratic role in the development of the new and expanding republic.”946 The successful conclusion to the American Revolution had led the fledgling country to examine and reassess its past in order to create its own historical identity. Whiggish historians exalted the story of American progress and achievement, creating new historical narratives that took on great importance in the larger process of nation building and state formation.947 By the 1820s, a distinctly “western” historical identity had emerged, founded upon a new mythology of origins crafted by the region’s cultural elite.948 Historical society organizers often held the region’s settler-pioneers in the highest regard. In 1830, for example, James Hall of the Antiquarian and Historical Society of Illinois proclaimed in his Independence Day speech that “[t]he first settlers brought with them . . . the spirit and the principles of the revolution.”949 By “erecting states, forming constitutions, and enacting laws,” western settlers constructed from scratch the foundations of republican government.950 Ostensibly, this course of events had all been accomplished in a                                                              946 Terry A. Barnhart, “‘A Common Feeling’: Regional Identity and Historical Consciousness in the Old Northwest, 1820-1860,” Michigan Historical Review, Vol. 29, No. 1 (Spring, 2003): pp. 41, 51. During the early nineteenth century, historical societies served in a quasi-official capacity prior to the establishment of state archives. Early nineteenth-century historical societies were, by and large, organized as private institutions; however, state governments often recognized them as institutions of public benefit and frequently provided appropriations and public space for their collections, see Leslie W. Dunlap, American Historical Societies, 1790-1860, Madison, Wisc.: Cantwell Printing Co., 1944, especially her chapter on “State Relations and Finance,” pp. 48-64; on the public and state administrative functions of early historical societies see Julian P. Boyd, “State and Local Historical Societies in the United States,” American Historical Review, Vol. 40, No. 1 (Oct., 1934): pp. 30-31. 947 Lawrence H. Leder, “Early Nationalist Historians: An Introduction,” in Lawrence H. Leder, ed., The Colonial Legacy, Vol. IV: Early Nationalist Historians, New York: Harper & Row, 1973., pp. 167, 188; also see Barnhart, “Common Feeling,” pp. 51, 53-54, 59. 948 Ibid. p. 40. 949 “Fourth of July, Oration by James Hall,” Illinois Intelligencer, 10 July 1830, as quoted by Barnhart, “Common Feeling,” p. 53. 950 James Hall, Letters from the West: Containing Sketches of Scenery, Manners, and Customs, and Anecdotes Connected with the First Settlements of the Western Sections of the United States, London: H. Colburn, 1828, p. 8, as quoted by Barnhart, “Common Feeling,” p. 53.     285 wilderness of “uninhabited,” “unreclaimed,” and “tenantless” lands.951 In effect, the historical myth of the Old Northwest as terra nullius rendered the American Indians invisible (or at least vanishing). Correspondingly, the focus of attention that Indians often received characterized them as living yet primitive monuments of the past, making them the principal objects of study for historical societies. The State of Indiana played a central role in constituting this new regional identity. On 11 December 1830, attorney John Hay Farnham met with several members of the state legislature at the Marion County Courthouse to form the Indiana Historical Society (IHS) and draft its constitution. The following month, the General Assembly passed an act to incorporate the Society.952 At its inaugural meeting the Society stressed “the importance and necessity of collecting and preserving the materials for a comprehensive and accurate history of [the] country,” which were “of an ephemeral and transitory nature, and in the absence of well directed efforts to preserve them are rapidly passing into oblivion.”953 The “cardinal objects of the Society,” honorary member Francis Vigo wrote to Farnham, included the collection of “all interesting information respecting the aborigines, and the habits and manners, customs and curiosities of the native inhabitants.”954                                                              951 Barnhart, “Common Feeling,” p. 55, quoting terms used by Hall in his annual address to the Society in 1827. 952 Lana Ruegamer, A History of the Indiana Historical Society, 1830-1980, Indianapolis: Indiana Historical Society, 1980, p. 25; Act of 10 January 1831, Special Acts of the State of Indiana, 15th sess., p. 62. In the Spring of 1830, Congress passed an act authorizing the distribution of printed facsimilies of the diplomatic correspondence of the American Revolution and copies of the House and Senate journals to state and federal repositories as well as “each incorporated university, college, historical or antiquarian society and athenaeum.” See Act of 26 May 1830, 21st Cong., 1st sess. ch. 107, Statutes at Large: p. 407. 953 Indiana Historical Society, “Proceedings of the Indiana Historical Society, 1830-1886 [hereinafter IHS, Proceedings],” in Indiana Historical Society Publications, Vol. I, No. 1, Indianapolis: The Bowen-Merrill Co., 1897, p. 9. 954 Letter of Francis Vigo to John Hay Farnham dated 20 December 1830, as quoted in Ruegamer, History, p. 36. Historical societies laid the foundation for much of the work later associated with the federal government and other national organizations involved with the study of American Indians. The     286 Like many of its counterparts in other states, the Indiana Historical Society promoted “useful knowledge,” a reflection of contemporary American society’s identification of scholarship as broadly utilitarian.955 From this “whiggish” or “presentist” approach to the past, history as a general body of knowledge (rather than a distinct academic discipline) entailed less of an objective, scientific method of inquiry than a pragmatic field of analysis. Like the common law tradition, in which the past (precedent) guided judges in “discovering” and applying the relevant authority to resolve issues, history was a moral compass, providing normative direction in a contemporary world.956 “[T]he past controls the present, and the present the future,” Andrew Wylie remarked in a lecture delivered before the Indiana Historical Society in 1831. By                                                                                                                                                                                   Smithsonian Institution, founded as “an establishment for the increase and diffusion of knowledge among men,” opened in 1846. From its inception, the Institution dedicated significant time and resources researching Indian vocabularies, collecting Native artifacts, and gathering information on Indigenous peoples across the globe; see generally, Frank H.H. Roberts, “One Hundred Years of Smithsonian Anthropology,” Science, New Series, Vol. 104, No. 2693 (9 Aug. 1946): pp. 119-125. In 1847, Congress commissioned Henry Rowe Schoolcraft to lead an exhaustive research project documenting the Indian tribes in the United States, focusing largely on those throughout the western states. Over the course of the next decade, Schoolcraft—a geographer, ethnologist, Indian agent, and self-proclaimed “Indian Historian to Congress”—completed a six-volume set covering his subjects; see Henry Rowe Schoolcraft, Information Respecting the History, Condition and Prospects of the Indian Tribes of the United States: Collected and Prepared under the Direction of the Bureau of Indian Affairs, Per Act of Congress of March 3d, 1847, 6 Vols., Philadelphia: Lippincott, Grambo, 1851-57. 955 See James D. Watkinson, “Useful Knowledge? Concepts, Values, and Access in American Education, 1776-1840,” History of Education Quarterly, Vol. 30, No. 3 (Autumn, 1990): p. 351. Article II of the Indiana Historical Society’s founding constitution states in full: “The objects of this society shall be the collection of all materials calculated to shed light on the natural, civil, and political history of Indiana, the promotion of useful knowledge, and the friendly and profitable intercourse of such citizens of the state as are disposed to promote aforesaid objects.” See IHS, Proceedings, p. 10. 956 “It was not until the second half of the nineteenth century, with the positivization of the academy and legal thought and the professionalization of legal practice, that law and history became regarded as distinct modes of thought.” See McHugh, “Common-Law Status,” p. 395. For further analysis of these intellectual gray areas, see John Phillip Reid, “Law and History,” Loyola of Los Angeles Law Review, Vol. 27, No. 1 (Nov., 1993): pp. 193-224. Many early Indiana judges and lawyers assumed the role of local historians in their larger capacity as civil servants. For an introductory discussion of lawyers as historians during the early national period, see Michael Griffith and Chet Orloff, “Historical Societies and Legal History,” California Western Law Review, Vol. 24, No. 2 (1987-1988): pp. 355-357.     287 “giv[ing] us insight into our own nature,” he emphasized, “it is to history that the world is, in a great degree, indebted for whatever sense of morality prevails in it.”957 By looking to the past for its practical relevance and moral lessons, historians crafted a prescriptive narrative that played a powerful role in settler society. Stories of origin and progress provided a conceptual framework for interpreting significant events and forming value judgments, all of which gave meaning, stability, and legitimacy in the creation of the expanding Republic. Yet these narratives left little room for inter-cultural dialogue. Nineteenth-century works such as John Dillon’s A History of Indiana, William H. English’s Conquest of the Northwest, and Jacob Piatt Dunn's Indiana: A Redemption from Slavery (all three authors were active IHS historians) included dramatic historical narratives that juxtaposed epic themes of western expansion and national progress with tales of Indian depravity and decline.958 The role of historical and ethnographic research changed the fundamental view of law’s relationship to society. What emerged, as a normative counterpoint to “modern” law’s civilizing thesis, was the idea of “legal primitivism.” With the publication of Henry Sumner Maine’s Ancient Law in 1861, a new genre of legal literature materialized, reflecting the deeply-entrenched ethnocentric narrative and stadial view of human                                                              957 Andrew Wylie, “The Uses of History,” Discourse Delivered Before the Indiana Historical Society at its Annual Meeting, 11 December 1831, in Indiana Historical Society Publications, Vol. 1, No. 3, Indianapolis: The Bowen-Merrill Co., 1897, pp. 81, 82, 90. 958 John B. Dillon, A History of Indiana from its Earliest Exploration by Europeans to the Close of the Territorial Government in1816: Comprehending a History of the Discovery, Settlement, and Civil and Military Affairs of the Territory of the U.S. Northwest of the River Ohio, and a General View of the Progress of Public Affairs in Indiana from 1816 to 1856, Indianapolis: Bingham & Doughty, 1859; William Hayden English, Conquest of the Country Northwest of the River Ohio, 1778-1783; And Life of Gen. George Rogers Clark, 2 vols., Indianapolis, Ind., and Kansas City, Mo., Bowen-Merrill Co., 1896; Jacob Piatt Dunn, Jr., Indiana: A Redemption from Slavery, Boston: Houghton, Mifflin and Co., 1888. For a particularly ethnocentric and disparaging example, also see John B. Dillon’s 1848 speech on the Miami Indians, a spoken eulogy in which he painted “a long and mournful picture of [the Tribe’s] ignorance, superstition, war, barbarity and the most debasing intemperance.” Dillon, “The National Decline of the Miami Indians,” Lecture delivered before the Indiana Historical Society, May 23, 1848, published in Indiana Historical Society Publications, Vol. 1, No. 4, Indianapolis, The Bowen-Merrill Co., 1897, p. 140.     288 civilization rooted in Enlightenment-era philosophy and European colonizing discourse.959 Comparative, empirical, and inductive in method, this brand of scholarship often began with a survey and analysis of extra-legal sources, an assortment of contemporary and historical evidence gleaned from ethnographic narratives, travel accounts, expedition journals, and missionary records. As the factual configuration of this data filtered through the juridical lens of the common law, the courts developed increasingly stringent rules, standards, and criteria in determining the continuity of tribal laws and customs.960 As the pre-modern paradigm of plural, customary-based jurisdictions faded under the positive law, the conventions of continuity and consent lost their doctrinal footing in                                                              959 Steven Wilf, “The Invention of Legal Primitivism,” Theoretical Inquiries in Law, Vol. 10, No. 2 (July, 2009): p. 487. There are several published editions of Maine’s work, which is fully entitled Ancient Law: Its Connection with the Early History of Society and its Relation to Modern Ideas. The influence of Maine’s work (he was British) on American legal thought cannot be overstated. As lawyer and Harvard law professor James Bradley Thayer would later suggest, “Maine’s book, like that of Darwin in a different sphere, at about the same time, created an epoch.” James Bradley Thayer, Legal Essays, Boston: Boston Book Company, 1908, p. 379. For similar work in the U.S., see Lewis H. Morgan, Ancient Society: Or, Researches in the Line of Human Progress from Savagery Through Barbarism to Civilization, Chicago: C.H. Kerr, 1877; Major J. W. Powell, “On Primitive Institutions,” Report of the Nineteenth Annual Meeting of the American Bar Association (Saratoga Springs, N.Y., 19-21 Aug. 1896): pp. 573-593; and Karl Llewellyn and and E. Adamson Hoebel, The Cheyenne Way: Conflict and Case Law in Primitive Jurisprudence, Norman: University of Oklahoma Press, 1941. 960 McHugh, Aboriginal Societies, p. 10. Although McHugh’s analysis relates to modern developments, by the early nineteenth century, the importance of history (and, to a lesser extent, ethnography) in law had become particularly germane in the context of Indian claims litigation, a process which required the reconstruction of relevant historical facts and an analysis of their authority in the process of adjudication. Chief Justice John Marshall arguably led the way by composing an extensive history of Indian-settler relations in Johnson v. M’Intosh; see discussions in Elizabeth Mertz, “The Uses of History: Language, Ideology, and Law in the United States and South Africa,” Law & Society Review, Vol. 22, No. 4 (1988): pp. 674, 678-679 (“[T]he history [Marshall] forges yields the legal balance of rights to land with which the opinion concludes.” And in subsequent legal decisions, “the use of history emerges full-blown, with much of the text of the opinion constituting a story of the history of the tribe and treaty in question. The telling of this story is a charter for the interpretation to be accomplished in the opinion; from the history will flow the result.”); and Eric Kades, “The Dark Side of Efficiency: Johnson v. M’Intosh and the Expropriation of American Indian Lands,” University of Pennsylvania Law Review, Vol. 148, No. 4 (April, 2000): p. 1098 (“[Marshall] devoted almost half of his opinion to laying out the historical record” documenting the nature of Indian title.). Although state courts rarely cited extra-legal sources when dealing with issues related to Indian “customary” law, judges occasionally revealed their forensic tendencies. In 1860, the Supreme Court of Missouri, in attempting to clarify conflicting testimony over Indian marriage and divorce customs, referred to facts that were “well established by historians and travellers.” See Johnson v. Johnson’s Adm’r, 30 Mo. 79 (1860). Also see Buchanan v. Harvey, 35 Mo. 276 (1864), in which the Court decided a similar case, referring to “the authority of [Henry Rowe] Schoolcraft.”     289 American jurisprudence. Treaties became mere private contracts and Indian customary law became subject to strict evidentiary standards.961 By limiting the scope of dialogue and legal pluralism, the recognition of Indian customs became a discretionary process of “fitting in” or translating the “other’s” claims, evidence, and history into the framework of a dominant settler narrative.962 From Recognition to Repugnancy: Roche v. Washington, State Sovereignty, and the Judicial Abrogation of Indian Marriage Customs   The most common form of recognition involving Native customs related to matters of family law. Accordingly, legal scholars often characterize the colonial or state recognition of Native marriage customs as a “functional,” “practical,” or “equitable” form of comity.963 However, because Native customs departed in many respects from the municipal laws of which the common law courts took notice, judges used different rules and standards to determine whether or not the rule of recognition applied. In deciding the validity of Native marriage customs, both British and American courts resorted to private international or conflict of laws principles.964 In short, recognition depended on two                                                              961 McHugh, Aboriginal Societies, p. 119; and Tully, Strange Multiplicity, p. 136. 962 Eric H. Reiter, “Fact, Narrative, and the Judicial Uses of History: Delgmuukw and Beyond,” Indigenous Law Review, Vol. 8, No. 1 (2010): p. 74. 963 See Campbell McLachlan, “The Recognition of Aboriginal Customary Law: Pluralism Beyond the Colonial Paradigm: A Review Article,” International and Comparative Law Quarterly vol. 37, no. 2 (April 1988): p. 373; T. Olawale Elias, British Colonial Law: A Comparative Study of the Interaction Between English and Local Laws in the British Dependencies, London: Stevens & Sons, Ltd., 1962, pp. 110-115; and Lona N. Laymon, “Valid-Where-Consumated: The Intersection of Customary Law Marriages and Formal Adjudication,” Southern California Interdisciplinary Law Journal, Vol. 10, No. 2 (Spring, 2001): pp. 368-369. The scholarship of Ann Marie Plane provides the most comprehensive treatment of legal recognition involving Native marital customs in colonial America. In addition to works cited above, also see Plane, “Legitimacies, Indian Identities, and the Law: The Politics of Sex and the Creation of History in Colonial New England,” Law & Social Inquiry, vol. 23, no. 1 (Winter 1998): pp. 55-77. 964 “Our courts of justice recognize as valid all marriages of a foreign country, if made in pursuance of the forms and usages of that country; and there is no reason why a marriage made and consummated in an Indian Nation should be subject to a different rule of action.” Morgan v. M’Ghee, 24 Tenn. 13 (1844). Also see Herbert F. Goodrich, Handbook on the Conflict of Laws, St. Paul, Minn.: West Publishing Co., 1927, p. 269-271; “Notes of Recent Decisions: Indian Marriages and Inheritance,” American Law Review,     290 evidentiary criteria: the capacity of the husband and wife to marry subject to the lex domicilii, or law of the parties’ habitual (rather than temporary) domicile; and the validity of the marriage pursuant to the lex loci contractus (referred to less formally as the lex loci celebrationis), or law of the place where the parties entered into marital agreement.965 Also known as the “valid-where-consummated” doctrine, this pragmatic approach to recognizing foreign (or, as the case may be, domestic customary) laws of marriage is a fundamental and ancient rule of comity in private international law with deep roots in Anglo-American jurisprudence.966 “As to the constitution of the marriage,” U.S. Supreme Court Justice Joseph Story succinctly wrote in 1834, “as it is merely a personal, consensual contract, it must be valid every where, if celebrated according to the lex loci.” “[W]ith regard to the rights, duties, and obligations,” he added, “. . . the law of the domicile must be looked to.”967 However, despite this otherwise straightforward dictum, the courts established various exceptions to the rule, thus qualifying its universal application in conflict of law cases. Some of the earliest English cases dealing with these issues involved the recognition of marital customs celebrated among Jewish peoples domiciled in England.968                                                                                                                                                                                   Vol. 24, No. 1 (Jan.-Feb., 1890): pp. 149-151; “Editorial: Validity of Foreign Marriages,” Harvard Law Review, Vol. 25, No. 4 (Feb., 1912): pp. 374-375. 965 See Hooker, Legal Pluralism, p. 91. 966 See John Westlake, A Treatise on Private International Law: Or the Conflict of Laws, With Principal Reference to its Practice in the English and Other Cognate Systems of Jurisprudence, London: W. Maxwell, 1858, pp. 315-330. 967 Joseph Story, Commentaries on the Conflict of Laws, Foreign and Domestic: In Regard to Contracts, Rights, and Remedies, and Especially in Regard to Marriages, Divorces, Wills, Successions, and Judgments, Boston: Hilliard, Gray, and Co., 1834, p. 102. For a modern analysis of the rule, see Laymon, “Valid-Where-Consumated.” 968 In 1753, the English Parliament passed Lord Hardwicke’s Marriage Act. The first secular measure of the state to formalize maritial practices, the Act created what British historian Stephen Parker describes as “the largest gap that has existed in English history between legal and social definitions of marriage.” See Parker, “The Marriage Act 1753: A Case Study in Family Law-Making,” International Journal of Law and the Family, Vol. 1 No. 1 (April, 1987): p. 133. Jews and Quakers, however, were exempted from the Act’s provisions.     291 In Lindo v. Belisario, the issue confronting the ecclesiastical court involved “a question of marriage of a very different kind, between persons governed by a peculiar law of their own, and administered to a certain degree by a jurisdiction established among themselves—a jurisdiction competent to decide upon questions of this nature with peculiar advantage, and with sufficient authority.”969 In recognizing the normative dilemma before him, Lord Stowell expressed apprehension “in applying the general principles of the law of marriage,” which, he believed, may have proven unfounded and “highly inexpedient” in relation to the laws and customs of a quasi-sovereign people. “On the other hand,” he debated rhetorically, “if I am to apply the peculiar principles of the Jewish law . . . I may run the hazard of mistaking those principles, having a very moderate knowledge of that law.”970 From either approach, Stowell risked making a decision that would “affect a very numerous and respectable body of people.”971 By considering the rights and obligations between a husband and wife in pragmatic terms, Stowell defined marriage as “a contract according to the law of nature, antecedent to civil institution, and which may take place . . . whenever two persons of different sexes engage                                                              969 Lindo v. Belisario, 161 Eng. Rep. 530-531 (1795). The footnotes to the reported case elaborate on the quasi-sovereign status of Jewish peoples in England: “They appear to have been brought here in considerable numbers by William I., from Rouen [in] 1070. They were considered as merchant strangers and were allowed to have medietatem linguæ Judæorum. . . . They also had the power of excommunicating their own members. Special justices were appointed “ad custodiam Judæorum,” whose decisions, in certain cases were secundum legem et consuetudinem Judaismi. . . . On the Restoration, Charles II. promised them protection and the use of their religion, and an Order of Council issued to that effect.” See Lindo, pp. 530-531, n. (italics added for Latin phrases). For further historical analysis of Jewish sovereignty and legal pluralism in England, see G.W. Bartholomew, “Application of Jewish Law in England,” University of Malaya Law Review, Vol. 3, No. 1 (July, 1961): pp. 83-111. 970 Ibid. p. 531. 971 Ibid. Also see D’Aguilar v. D’Aguilar, in which a woman sought the dissolution of her marriage— having been celebrated “according to the rites of the Jewish nation”—on the grounds of her husband’s cruelty and adultery. Lord Stowell held “the doctrine to be that all persons who stand in relation of husband and wife in any way the law allows, as by a foreign marriage, or by a domestic marriage not contrary to law, have claim to relief on the violation of any matrimonial duty.” D’Aguilar v. D’Aguilar, 162 Eng. Rep. 748, 749 (1794).     292 by mutual contracts to live together.”972 Referring to several sources of persuasive authority—secular and ecclesiastical, Jewish and Christian—in formulating his opinion, Stowell refused to draw sharp jurisdictional boundaries and offered a flexible definition of marriage amenable to England’s diverse cultural polities.973 Beyond the domestic realm, English courts faced an unprecedented wave of litigation in response to Britain’s expanding colonial empire during the late-eighteenth and early-nineteenth centuries. These cases covered a broad range of international law issues, including rules of imperial conduct, the status of colonies, and the Crown’s constituent powers in conquered or ceded territories abroad.974 As the British Diaspora grew, questions arose with greater frequency concerning the extent to which the English common law governed the settlers internally. In Ruding v. Smith, the question of colonial status determined whether or not English marriage law applied to English subjects married at the Cape of Good Hope immediately following British conquest.975 Whereas the lex loci (Dutch law) would otherwise have applied under the doctrine of continuity, Lord Stowell held that the rule had been “expressed in very general terms [and therefore] is undoubtedly subject to exceptions.”976 While it was “true . . . that English decisions have established [the] rule, that a foreign marriage, valid according to the law of the place where celebrated, [was] good everywhere else,” precedent had “not é converso established, that marriages of British subjects . . . [contrary] to the general law of the                                                              972 Ibid. p. 535; also see Dennis Fitzpatrick, “Non-Christian Marriage,” Journal of the Society of Comparative Legislation, Vol. 2, No. 2 (1900): p. 372. 973 For further analysis of England’s legally plural heritage, see Alec Samuels, “Legal Recognition and Protection of Minority Customs in a Plural Society in England,” Anglo-American Law Review, Vol. 10, No. 4 (1981): pp. 241-256. 974 See McHugh, Aboriginal Societies, p. 113. 975 Ruding v. Smith, 161 Eng. Rep. 774 (1821). 976 Ibid. p. 778, as quoted by Mark Walters, “British Imperial Constitutional Law and Aboriginal Rights: A Comment on Delgamuukw v. British Columbia,” Queen’s Law Journal, Vol. 17, No. 2 (Summer, 1992): p. 375, n. 73.     293 place where celebrated, are universally, and under all possible circumstances, to be regarded as invalid in England.”977 Although the British settlers may have governed themselves independently of the lex loci, the introduction of English law and the classification of British South Africa as a settled colony was not an express abrogation of local law and custom. The rule of recognition, Stowell opined, “treats with tenderness, or at least toleration, the opinions and usages of a distinct people.”978 Although British colonial practice demonstrated a great degree of tolerance toward Native marriage practices, the long-standing rule that customs not be “repugnant” or contrary to principles of “natural justice, equity, good conscience, or public policy” occasionally served as a pretext for judicial abrogation.979 As the nineteenth century advanced, judges placed greater emphasis on distinguishing Christian from non-Christian marriages in determining the rule of recognition. In Warrender v. Warrender, Lord Brougham held that the rule extended “no further than to the ascertaining of the validity of the contract, and the meaning of the parties” as to its construction.980 While marriage was “one and the same thing substantially all the Christian world over,” it was “important to observe,” Brougham held in obiter, “that we regard it as a wholly different thing—a different status from Turkish or other marriages among infidel nations—because we clearly never should recognise the plurality of wives and consequent validity of second marriages, standing the first, which . . . the laws of those countries authorize and                                                              977 Ruding, p. 781. 978 Ruding, p. 779. 979 See Matson, “Common Law Abroad,” p. 761; Sally Engle Merry, “Legal Pluralism,” Law & Society Review, Vol. 22, No. 5 (1988): p. 870; and Bederman, Custom, 2010, pp. 62-63. 980 Warrender v. Warrender, 6 Eng. Rep. 1239 (1835), as quoted by Fitzpatrick, “Non-Christian Marriage,” p. 374.     294 validate.”981 In short, Warrender created an exception to the lex loci contractus rule by rendering void all polygamous marriages, regardless of whether or not the law of the parties’ domicile permitted such practices. 982 In many ways, the principles established by the foregoing decisions shaped the rule of recognition in American jurisprudence, notably the classification of polygamous marriages as an exception to the valid-where-consummated doctrine.983 However, the U.S. courts departed from English precedent and British colonial practice in one important respect. In cases involving American Indian laws and customs, the distinct political status of the tribes constrained the courts from unilaterally declaring such marriages void. Rather, in an “almost unanimous line of decisions” throughout the nineteenth century, the courts consistently recognized Indian marriages—contracted within tribal jurisdiction, according to tribal laws and customs, whether potentially polygamous or polygamous in fact—as legally valid.984                                                              981 Ibid. 982 In 1866, the English Court of Probate and Divorce applied Lord Brougham’s dicta in Hyde v. Hyde and Woodmansee. This case involved an English couple, John Hyde and Lavinia Hawkins, who had emigrated to the Utah Territory and exchanged vows of marriage “according to the rites and ceremonies of the Mormons.” Hyde later “renounced the Mormon faith” during an overseas missionary trip, whereupon “[a] sentence of excommunication was pronounced against him . . . and his wife was declared free to marry again.” When he petitioned the Court for marital dissolution on the basis of his wife’s adultery, Lord Penzance—expressing doubts as to “whether the union of man and woman as practised and adopted among the Mormons was really a marriage”—held that the Court could “not properly exercise any jurisdiction over such unions.” To justify the Court’s refusal of appeal, Penzance offered a definition of a legally valid union, which, “as understood in Christendom,” was “the voluntary union for life of one man and one woman, to the exclusion of all others.” Although the marriage in question was monogamous, Lord Penzance refused recognition by assuming the lex loci contractus permitted polygamy when, in fact, Mormon custom, not Utah territorial law, merely tolerated the practice. See Hyde v. Hyde and Woodmansee, L.R. 1 P. & D. 130 (1866). 983 See cases cited in P.H. Vartanian, “Recognition of Foreign Marriage as Affected by the Conditions or Manner of Dissolving it Under the Foreign Law, or the Toleration of Polygamous Marriages,” American Law Reports, Vol. 74 (1931): pp. 1533-1540. 984 See Goodrich, “Foreign Marriages,” p. 761, n. 61 and corresponding text. Some states went so far as to recognize Indian marriage customs by express legislation. In New York, for example, an 1849 statute declared that “[a]ll Indians who . . . contract marriage, according to the Indian custom or usage, and shall     295 Despite the façade of legal comity, recognition of tribal marriage customs veiled the extent to which the American courts acted out of self-interest, often denying Indian litigants legal standing under the rule. By acknowledging tribal laws and customs, recognition not only undermined Indian jurisdictional autonomy (recognition did not preclude regulation) but also represented the maintenance of clear ethnic and cultural boundaries. When it came to regulating Indian marriages, state lawmakers, rather than federal officials, bared the real teeth. Vested with the formal authority to define domestic relations law, state judges and legislators decided the validity of marriage, its incidents and obligations, the grounds for marital dissolution, and the consequences that resulted from divorce or spousal death.985 Despite the common law hostility toward local custom, the doctrine of tribal sovereignty limited the states from extending their common law jurisdiction in full. As long as the tribes possessed title to their lands, their laws and customs continued in force among themselves.986 Within their own communities, tribal marriage and divorce practices varied considerably. Until the late nineteenth century, with the exception of a small minority of Catholic Miamis, the Tribe celebrated nearly all marriages according to Indian custom. Miami chiefs, rather than clerics or secular state officials, typically                                                                                                                                                                                   cohabit as husband and wife, are and shall be deemed and held to be lawfully married, and their children legitimate.” Moreover, Indian marriages “solemnized by peace makers within their jurisdiction,” were to be acknowledged with “like force and effect as if by a justice of the peace.” See Act of 11 April 1849, Laws of the State of New York, 72nd sess., p. 577. 985 Nancy F. Cott, Public Vows: A History of Marriage and the Nation, Cambridge, Mass.: Harvard University Press, 2000, pp. 27-28. 986 The Indiana Supreme Court occasionally recognized this principle of legal dualism: “They [the Miami Indians] settle their troubles among themselves without resorting to our courts. Their tribal organization still remains. They still hold their councils for the same purposes as in former times, and are governed by their ancient customs.” See Me-shing-go-me-sia and Another v. The State and Another, 36 Ind. 310 at 313 (1871).     296 performed marital rites. Sometimes the marriages entailed arrangements made by a tribal elder, other times not. “The manner of getting married is different in tribes,” Charles Peconga, or Po-cong-yah, acknowledged in 1873. “Some marry by coming and living together and some by ceremony.”987 Historian Stewart Rafert describes one eighteenth- century practice among the Miami: A young man’s father announced his son’s intentions by having a female relative deliver various gifts—kettles, guns, skins, meat, cloth—to the cabin of the young woman. If the young woman accepted the gifts, she in turn led a group bearing gifts to the young man’s family. The mutual acceptance of these gifts constituted the marriage.988 The reciprocal, often elaborate exchange of gifts indicated sincere intent and good will among the parties and their extended families. Miami men observed monogamy as well as polygamy, the latter practice indicating wealth and elevated status within the tribal community. Family relations and kinship systems varied from clan to clan. In 1873, Thomas F. Richardville (grandson of the Miami chief, John B. Richardville) stated that: [i]t was the custom for the man to go to the home of the woman and stay a few week[s] and then take her home, or if he concluded to stay he would stay with the woman, not go back to his band but would remain with the band that she was in.989                                                              987 Testimony of Po-cong-yah, alias Charles Peconga, 14 May 1873, as quoted in Lamoine Marks and Stewart Rafert, eds., Testimony Pursuant to Congressional Legislation of June 1, 1872 Taken Before the Commission Appointed by the Secretary of the Interior to Make Partition of the Reserve Granted to Me- Shin-Go-Me-Sia in Trust for His Band by the Seventh Article of the Treaty of November 28th 1840 between the United States and the Miami Tribe of Indians [hereinafter “Miami Testimony”], Newark, Del.: S. Rafert, 1991, p. 3. 988 Stewart Rafert, The Miami Indians of Indiana: A Persistent People, 1654-1994, Indianapolis: Indiana Historical Society Press, 1996, p. 17. 989 Testimony of Thomas F. Richardville, 28 May 1873, “Miami Testimony,” pp. 191-192.     297 The most important rule among the Tribe was the prohibition of marrying within the immediate kin group. Known as exogamy, this practice helped to maintain cultural integrity, political autonomy, and strong inter-tribal relations.990 Divorce among the Miami entailed little to no formal process. A husband or wife could dissolve the marriage on any number of grounds; physical abuse, cruelty, or general ill conduct being the most common.991 Informal divorce among the tribe did not, however, suggest a low standard of morality. Rather, community norms and sanctions— not unlike those found in European settler enclaves—regulated spousal conduct. For example, in the event that children were involved, the Tribe expected the father to provide support “in the same manner as he would have done had the divorce not taken place.”992 Recognition of Indian marriage customs was not only a matter of judicial comity. Principles of accommodation and reciprocity also existed in the day-to-day legal transactions conducted outside of the courtroom, illustrating the extent to which local authority sustained the normative standard. For example, the Miami observed polygamy well after removal and, according to historian Stewart Rafert, “local whites seemed to accept this . . . custom and incorporated it into legal practices.” On one occasion, William Godfroy, son of the late Chief Francis Godfroy, “sold a parcel of land in 1868 [and] . . . the Miami County recorder duly requested the ‘X’ marks of both wives.”993 Yet instances such as these occurred only so long as they did not interfere with state interests. The legal validity of Indian marriage customs depended on the unique                                                              990 Rafert, Miami Indians, pp. 135-136. 991 Ibid. pp. 17, 136. 992 Report of Indian agent Charles Trowbridge to Gov. Lewis Cass, dated 6 March 1825, quoted in Trowbridge and Kinietz, Meearmeear Traditions, p. 44. 993 Rafert, Miami Indians, p. 135.     298 circumstances of each case and how recognition impacted the larger economic framework of marital incidents such as property ownership or inheritance rights. In fact, most non-criminal state cases involving American Indians reflected a common thread of property law, and the courts typically involved themselves only when such interests were at stake. In Wells and Wells v. Thompson, the Supreme Court of Alabama ruled that an Indian divorce was invalid on the grounds that it had occurred off tribal land, thus Creek law and custom failed to apply.994 The case involved Mary Wells, a Creek Indian who divorced her white husband, William, after he had abandoned her for another woman. When William sold Mary’s property after her death, their children challenged his claim to legal ownership and right to convey. Because the Court rejected Creek jurisdiction (and hence their divorce customs), the decision upheld William’s claim to rightful inheritance and lawful conveyance.995 In Morgan v. M’Ghee, the Supreme Court of Tennessee held that an Indian marriage was valid within the limits of the state.996 The issue at bar concerned the capacity of Margaret Morgan, a Cherokee woman, to sue as femme sole for purposes of dividing property following a separation from her husband. By acknowledging their marriage, but failing to treat the separation as a legitimate divorce, the Court refused to acknowledge Morgan’s petition for marital dissolution, thus denying her capacity to sue independent of her husband.997                                                              994 Wells and Wells v. Thompson, 13 Ala. 793 (1848). 995 See Bethany Ruth Berger, “After Pocahontas: Indian Women and the Law, 1830 to 1934,” American Indian Law Review, Vol. 21, No 1 (1997): p. 40. 996 Morgan v. M’Ghee 24 Tenn. 13 (1844). 997 Berger, “After Pocahontas,” p. 38.     299 Typically, once the legislative prerogative of the state extended its municipal laws and legal institutions over the local community, the courts rebutted the presumption of the local law’s continuity as a distinct municipal system. In other cases, however, the courts presumed the continuity of the lex loci when state legislation failed to expressly abrogate pre-existing laws and customs. In Wall v. Williamson, the Alabama Supreme Court considered the validity of a promissory noted executed by Delilah Wall, a Choctaw woman of mixed French heritage whose husband had departed west during removal several years prior.998 The principal question before the court centered on the validity of marriage and divorce law among the Choctaw nation, given the common law rule barring married women from entering into contracts. For the Court, Judge George Goldthwaite held that “[t]he validity of the marriage may possibly have been denied upon the impression, that having been contracted within the territorial limits of the State, it cannot be affected by Choctaw usages or customs, though both parties were of that tribe, and resident within its bounds.” However, in “consideration of the peculiar relation which these Indian tribes bear to the States,” the question remained as to “whether, at the time of this supposed marriage, the laws and usages of the Choctaw tribe had been abolished or superseded,” or, on the other hand, “whether they composed a distinct community, governed by their own chiefs and laws.”999 By recognizing the lack of any state statute having stipulated otherwise, the Court acknowledged the tribe’s sovereignty as well as the integrity of their laws and customs under the doctrine of continuity:                                                              998 Wall v. Williamson, 8 Ala. 48 (1845); also see Berger, “After Pocahontas,” p. 35. 999 Wall, p. 49.     300 It is only by positive enactments, even in the case of conquered and subdued nations, that their laws are changed by the conqueror. The mere acquisition, whether by treaty or war, produces no such effect. It may therefore be considered, that the usages and customs of the Choctaw tribe continued as their law, and governed their people, at the time when this marriage was had. The consequence is, that if valid by those customs, it is so recognized by our law.1000 However, the Court made it equally “clear that the same effect must be given to a dissolution of the marriage, by the Choctaw law.”1001 Although Delilah had executed the note prior to her husband’s departure, the Court considered the instrument as valid on the grounds “that by the laws and customs of the Choctaws, the husband, by his marriage, takes no part of his wife's property.”1002 “A necessary consequence of this peculiarity,” the Court ruled, “is that the wife must have the capacity to contract, for otherwise she would be incapable, in many instances, to preserve or protect her property.” By acknowledging Choctaw divorce customs, the Court effectively dispossessed Delilah of any protections the common law would otherwise have afforded her as a femme couvert. In contrast to the outcome in Wall, a widely reported Quebec case decided in 1867 exemplifies the continuity doctrine’s equitable application in recognition of Native law and custom. In Connolly v. Woolrich, the Quebec Superior Court upheld the validity of a marriage contracted under Cree customary law between William Connolly, a wealthy Hudson’s Bay Company trader, and his Cree wife Susanne Pas-de-nom.1003 In 1830, Connolly abandoned Susanne (with whom he had six children) after nearly thirty years of marriage, retired to Montréal and—according to Catholic rites as recognized under Quebec law—married Julia Woolrich, a white woman. When Connolly died in 1849, his                                                              1000 Ibid. 1001 Ibid. p. 50. 1002 Ibid. p. 48. 1003 Connolly v. Woolrich, 11 L.C. Jur. 197 (1867).     301 will left Julia and their two children his entire estate. Following Julia’s death fifteen years later, Connolly’s children by Susanne sued for what they believed to be their lawful inheritance. The respondents, in turn, challenged the validity of the first marriage, arguing that the introduction of the English common law into the territory by the Royal Charter of 1670 had nullified Cree customary law. The court disagreed. In his decision, Judge Samuel Monk acknowledged not only Connolly’s marriage to Susanne but also the Cree law as governing authority, pursuant to the lex loci contractus rule. Even if the French and English settlers had carried their laws with them, Monk questioned whether or not the “territorial rights, political organization such as it was, or the laws and usages of the Indian tribes, were abrogated—that they ceased to exist when these two European nations began to trade with the aboriginal occupants[.]” To the contrary, Monk considered it “beyond controversy that they did not—that so far from being abolished, they were left in full force, and were not even modified in the slightest degree in regard to the civil rights of the natives.”1004 Yet Connolly stood out as a unique instance of inclusiveness and normative accommodation in Canadian and American common law courts.1005 The reciprocity and community pragmatism that sustained the colonial-era fur trade had all but vanished during the first quarter of the nineteenth century. As settler society became increasingly endogamous, marital rites (and the laws that validated them) gravitated more and more                                                              1004 As quoted in Brian Slattery, “The Hidden Constitution: Aboriginal Rights in Canada,” American Journal of Comparative Law, Vol. 32, No. 2 (Spring, 1984): p. 367; and Walters, “Golden Thread,” p. 716. For an extended treatment of the case in context, see Sidney L. Harring, White Man’s Law: Native People in Nineteenth-Century Canadian Jurisprudence, Toronto: University of Toronto Press, 1998, pp. 169-173. 1005 Monk’s decision was upheld on appeal to the Quebec Court of Queen’s Bench in 1869 (see Johnstone v. Connolly, 17 R.J.R.Q. 266). However, in 1881, the Superior Court of Quebec departed from this precedent in Fraser v. Pouliot, holding that British sovereignty had, in fact, abrogated Cree customary laws of marriage; see Fraser v. Pouliot, 7 Q.L.R. 149 (1881), as discussed in McHugh, Aboriginal Societies, p. 157.     302 toward European (particularly English) norms.1006 As waves of American settlers flooded the continental interior following the War of 1812, they carried with them not only their laws and customs, but their moral and community values and ideas of family life and domestic governance as well. In the fall judicial term of 1824, the first local grand jury gathered at the Michigan Territorial District Court at LaBaye (modern-day Green Bay, Wisconsin) to present thirty-eight bills of indictment before Judge James Duane Doty. Several of the town’s leading male inhabitants faced charges of fornication and adultery. Most pleaded guilty to avoid fines and further public embarrassment; two, however, stood trial in defense of their moral integrity. A witness before the grand jury later recounted their defense: “Their plea was, that they were legally married, had lived a great many years with their wives, and had large families of children—that their marriages had been solemnized according to the customs of the Indians.” “The court,” however, “took a different view of the legality of those marriages, and fined those two men fifty dollars each and costs.”1007 One of the two defendants was John Lawe, an English-born resident of LaBaye. In lifelong defiance of Judge Doty’s ruling, Lawe would never acknowledge his guilt, nor would he “legitimize” his union before a justice of the peace as he lived happily with his part-Ojibwa wife, Therese Rankin, until her death in 1842.1008 But Doty’s opinion was a harbinger of cultural change along the western frontier, an expression of Anglo-American legal pretension in the first term of the newly-created territorial district court, in front of                                                              1006 Sylvia Van Kirk, “From ‘Marrying-In’ to ‘Marrying-Out’: Changing Patterns of Aboriginal/Non- Aboriginal Marriage in Colonial Canada,” Frontiers: A Journal of Women Studies, Vol. 23, No. 3 (2002): p. 5. 1007 Col. Ebenezer Childs, “Recollections of Wisconsin Since 1820,” in Lyman C. Draper, ed., Collections of the State Historical Society of Wisconsin, Vol. IV, Madison: Wisconsin Historical Society Press, 1906, p. 167. 1008 Jacqueline Peterson, “Prelude to Red River: A Social Portrait of the Great Lakes Métis,” Ethnohistory, Vol. 25, No. 1 (Winter, 1978): p. 42.     303 the first grand jury at the largely French-speaking town of LaBaye. As historian Jacqueline Peterson relates: What Lawe saw passing was a unique lifeway—an occupational subculture and regional community which had, for more than a century, enjoyed a sympathetic relationship with the native inhabitants of the Great Lakes. Choosing to accommodate rather than confront, the old residents of LaBaye and elsewhere challenge the historical assumption that mediation was impossible, that the cultures of Indian and EuroAmerican societies were irreconcilable, and that the wholesale destruction of the former was inevitable. . . . [T]heir adaptive lifeway serves to illustrate that roles and responses alternative to those adopted by the vast majority of Anglo-Americans were at least feasible, if not permanently viable.1009 “LaBaye” Peterson adds, during the mid- to late-eighteenth century, “was not an exceptional instance of community formation far beyond the line of supposed ‘White’ settlement.”1010 Unfortunately, Judge Doty’s decision was not the only one among the courts of the Old Northwest that failed to appreciate this context. The story of William Conner provides an interesting example of shifting norms, complex social dynamics, and cross-cultural domestic relations of early nineteenth- century Indiana frontier life. In 1801, William and his brother John settled among the Delaware Indians to establish a trading post along the White River (near present-day Noblesville). Having immersed themselves in Indian culture and adopted Native customs, both brothers married Delaware women, William having several children with his wife Mekinges.1011 After nearly two decades as resident trader, Indian agent, interpreter, and cultural mediator, William Conner’s private life inevitably came into conflict with the public affairs of a growing settler state. Less than two years following the 1818 Treaty of St.                                                              1009 Ibid. 1010 Ibid. p. 43. 1011 John Lauritz Larson and David G. Vanderstel, “Agent of Empire: William Conner on the Indiana Frontier, 1800-1855,” Indiana Magazine of History, Vol. 80, No. 4 (Dec., 1984): pp. 306, 308.     304 Mary’s, which stipulated the terms of Delaware removal, Conner petitioned Congress for a tract of land where he resided “for the purpose of raising his family (half breeds).”1012 His request having been tabled in the House, Conner, intent on staying in Indiana, witnessed his family’s departure west in 1820. Although difficult to determine the reasons underlying his decision to remain behind, Conner nevertheless quickly adjusted to settler society. Within a year, he married Elizabeth Chapman, a young settler with whom he lived on their farm until his death. When Conner died intestate during the summer of 1855, he left a small fortune as well as two families. Upon receiving news of their father’s death, his children by Mekinges petitioned the Hamilton County Court for their share of their father’s assets. However, by refusing to acknowledge the marriage between William and Mekinges as legally valid, the Court rejected their claims of rightful inheritance.1013 In the decade leading to the Civil War, growing partisan controversy and regional conflict over the character of American civil institutions brought marriage to the forefront of political debate. When the Mormon Church in the Utah Territory publicly declared plural marriage as a Divine mandate in 1852, the practice quickly became a source of national embarrassment, compelling Congress to intervene.1014 In the debate over polygamy, the “peculiar institution” of slavery was never far from Congress’s attention.                                                              1012 Petition of William Conner to Congress as quoted in Ibid. p. 312. Article 1 of the Treaty of St. Mary’s stipulated that the Delaware were to “cede to the United States all their claim to land in the state of Indiana.” Contingent upon their removal, the U.S. agreed to provide the tribe with lands west of the Mississippi in addition to monetary compenstation and annuities; see “Treaty with the Delawares, 1818,” in Charles Joseph Kappler, ed., Indian Affairs: Laws and Treaties: Vol. 2, “Treaties,” Washington: Govt. Print. Office, 1903, pp. 170-171. 1013 Larson and Vanderstel, “Agent of Empire,” pp. 313, 328. 1014 Premised on the Congressional power to regulate marriage in the federal territories, the Morrill Bill, introduced in 1860, sought to criminalize polygamy in these jurisdictions. In 1862, President Abraham Lincoln signed the bill into law; see Act of 1 July 1862, 37th Cong., 2nd sess., ch. 126, Statutes at Large: pp. 501-502; also see Cott, Public Vows, pp. 72-75.     305 Adding to what had already become a highly divisive regional issue, northern Republicans disparaged southern slaveholders’ denial of legal marriage to slaves as a moral aberration of the sacred rite.1015 Without becoming the center of federal policy debate like polygamy and slavery, contemporary political rhetoric placed Indian marital customs in the same category of licentious practices that threatened the social, moral, and political integrity of the expanding nation. Reflecting the parlance of the day, both state and federal lawmakers likened plural marriages to “concubinage” and “barbarism,” while Mormon women became “bound slaves” or “Indian squaws.”1016 Consequently, when the state courts considered the issue of Indian marriages, judges often painted a picture of Native customs as “barbarous,” “repugnant,” or “immoral.”1017 However, to the extent that these views served as a basis for judicial abrogation, they were tempered by the early U.S. rejection of imperial conquest theory. Although occasionally referred to in obiter, the courts rarely invoked Lord Coke’s “infidel” exception to the continuity doctrine; to do so would have undermined the colonial-derived birthright theory of America as a settled territory.1018 To avoid these issues, judges typically grounded their opinions in the rhetoric of federalism and states’ rights, rather than the dicta of conquest and abrogation.                                                              1015 Cott, Public Vows, pp. 75-76. Drawing analogies to polygamy, Sen. Charles Sumner addressed Congress in 1860 on the “Barbarism of Slavery,” emphasizing the institution’s “complete abrogation of marriage.” See quotes in Ibid. p. 74. 1016 Selection of quotes from Ibid. pp. 76, 113. 1017 Many state courts recognized only those customs considered compatible with the prevailing moral standards or culturally dominant social mores of settler society. In Indiana, “proof [would] not be heard of a usage . . . contrary to . . . good morals.” See Van Camp Packing Co. v. Hartman, 126 Ind. 177 (1890). For an extended analysis of this rule in the United States, see John D. Lawson, The Law of Usages and Customs, with Illustrative Cases, St. Louis: F.H. Thomas & Co., 1881, pp. 58-62. 1018 An exception is the 1835 Tennessee case of State v. Foreman, in which Chief Justice John Catron held that the Cherokees were a conquered nation “and the rule [of abrogation] laid down in Calvin's case . . . applied to them.” State v. Foreman, 16 Tenn. 270.     306 In the November, 1862 term, the Supreme Court of Indiana held that “a marriage between two remaining members of the [Miami] tribe, according to the native customs, [was] . . . contrary to the laws of that State” and therefore invalid. The principle question before the Court was “[w]hether the Indian tribes within the United States [were] in any case independent civilized nations, so as to require their marriage laws or customs to be recognized in the State Courts.”1019 The case arose from a suit for partition of lands filed by Francis Washington against John Roche on 11 June 1858 in the Huntington County Circuit Court. Roche, an Irish immigrant who settled in Huntington County in 1834, had worked as a canal laborer, assistant surveyor, and county treasurer. In 1844, he took a clerical position with the Indian trading post located at the Forks of the Big and Little Wabash Rivers. Here the young pioneer established a working relationship with Francis Lafontaine, proprietor of the trading house and recently-appointed Chief of the Miami Tribe following the death of John Richardville in 1841. Nearly two years after their acquaintance, Lafontaine made Roche his business partner.1020 When Lafontaine died in 1847 during a return trip from the Kansas Territory, Roche served as administrator of the late Chief’s estate. In this capacity, Roche acted as guardian over Lafontaine’s six children, allocated treaty annuities to members of the Indiana Tribe, and helped to settle the trading debts of several individual Indians. “In effect,” historian Bert Anson observes, “John Roche was the acting chief of the Miami                                                              1019 “Supreme Court of Indiana, November Term, 1862, John Roche vs. Francis Washington,” American Law Register (1852-1891), Vol. 11, No. 3, New Series Volume 2, (Jan., 1863): p. 170. The published case citation, referred to infra, is Roche v. Washington, 19 Ind. 53 (1862). 1020 Bert Anson, “John Roche—Pioneer Businessman,” Indiana Magazine of History, Vol. 45, No. 1 (March, 1959): pp. 48-50; also see Anson, “Chief Francis Lafontaine and the Miami Emigration from Indiana,” Indiana Magazine of History, Vol. 60, No. 3 (Sept., 1964): p. 254.     307 Indians.”1021 During this time, Roche’s economic status rose exponentially. By 1852, as sole proprietor of the trading house, he had acquired nearly forty thousand dollars in financial assets. According to Anson’s research, Roche purchased over one thousand acres of land between 1850 and 1855.1022 Like other speculators in the region, Roche’s dealings in land inevitably led him to negotiate purchases directly from members of the Miami Tribe, which led to the litigation with Francis Washington during the summer of 1858. Washington—the grandson of John Richardville and nephew of Francis Lafontaine by the late Chief’s marriage to Richardville’s daughter, Catherine—claimed ownership by right of inheritance of an “undivided third part” of nearly three hundred acres of land, a portion of which included a tract from the Richardville Reserve, located “at the Forks of the Wabash.”1023 Roche owned the other two-thirds of the land in common with Washington. In his suit for partition, Washington “pray[ed] the Court to apart & set off to him by metes and bounds his interest . . . in said premises.” On 7 April 1859, Roche, “by his attorney filed his answer” to the petition, denying that Washington was the “owner of or [had] any legal title to any part of said real estate.” Court proceedings commenced the following morning with Judge John Brownlee presiding. The trial itself was brief, lasting only one day. According to the trial record, the lands in question were “the property of Sa-ka-ko-quah, alias Jane Richardville who died seised of the same in 1857 leaving no children nor father or mother but leaving her husband . . . George Washington, her sister Catharine Richardville, . . . her brother Snap                                                              1021 Anson, “Roche,” p. 51. 1022 Ibid. p. 52. 1023 Petition for Partition, dated 11 June 1858, Washington v. Roche, Transcript Proceedings of the Huntington Circuit Court, State Supreme Court Case Collection, Indiana State Archives, pp. 1-2.     308 Richardville and Francis Washington, the Plaintiff [and] only son of her sister Ah-Tah- pe-tah-neah[,] now deceased.”1024 George, Catharine, and Snap had conveyed to Roche the land in question “by Deed since the decease of [Jane] Richardville.” It was “further agreed that all the foregoing Persons except [Roche] . . . were Miami Indians and members of said tribe.”1025 The primary contention between the parties centered on the legal validity of the Miami Tribe’s marriage customs as they related to the descent and inheritance of the land in question. Because the legitimacy of Roche’s title relied on the recognition of George Washington’s marriage to Jane and the subsequent conveyance of those lands to Roche by George and Jane’s siblings, the defense counsel argued in favor of acknowledging the Tribe’s marriage practices. Ironically perhaps, Francis Washington—in claiming one- third of the estate through his deceased mother Ah-Tah-pe-tah-neah—rejected the validity of Roche’s title on the grounds that the marriage between Jane (his aunt) and George (his father), was legally invalid.1026 For purposes of determining legal title and rights of inheritance, the Court requested the parties to furnish documentary evidence tracing the family lineage. According to the agreed statement of facts, in 1844, “George Washington was according to the manner and custom of . . . [the] Miami tribe duly married to See-quah[,] a Miami Indian with whom he lived, residing in Huntington county Indiana.” Two years later, the                                                              1024 Bill of Exceptions, dated 8 April 1859, Transcript Proceedings, p. 8. The transcript varies slightly (mostly spelling and punctuation rather than substance) from the agreed statement of facts as published in the reported case. One notable difference is the spelling of names. In the published case report, Sa-ka-ko- quah and See-quah are referred to incorrectly as La-ka-ko-quah and Le-qua, respectively. 1025 Ibid. Ah-Tah-pe-tah-neah died in 1852. The circumstances of her death were not made clear. Marrying the sister of a deceased wife was not uncommon and had long been a part of Miami custom; see Rafert, Miami Indians, p. 135. 1026 See Appellant’s Brief, p. 1, Roche v. Washington, Supreme Court of Indiana, State Supreme Court Case Collection, Indiana State Archives.     309 couple separated “according to the manner and custom of divorce” of the Tribe.1027 Following his brief marriage to Ah- Tah-pe-tah-neah, with whom he had Francis Washington, George married Jane Richardville, or Sa-ka-ko-quah, “according to the manners and customs of . . . the Miami tribe.”1028 The statement of facts then turned to a summary analysis of Indian marital practices. “[T]he Indian custom of marriage,” the parties agreed, “requires no ceremony further than the agreement being consummated by living and cohabitating together as . . . Husband & Wife.”1029 Likewise, “the Indian custom of divorce requires no special form of proceeding more than the parties disagree and by consent separation takes place.” These practices, the statement concluded, were “the ancient immemorially continued . . . customs among . . . [the] tribe . . . and the Law thereof,” having existed as such “beyond the memory of man.”1030 “[H]aving heard all the Proofs & Obligations and being fully advised in the premises,” the Court found in favor of Washington. Roche immediately moved for a new trial, which Judge Brownlee overruled.1031 Roche then “pray[ed] an appeal to the Supreme Court[,] which [was] granted,” whereupon he proceeded to file his bill of exceptions.1032 The Indiana Supreme Court granted certiorari and docketed the cause for its forthcoming November term. In preparation for the hearing, Roche’s attorney John R. Coffroth filed his brief with the Indiana Supreme Court in July of 1862. Coffroth’s legal argument began with                                                              1027 Bill of Exceptions, p. 8. The reason for their separation, as the Court noted, resulted from See-quah’s removal “to Kansas territory with the larger portion of said tribe.” See Ibid. p. 9. 1028 Ibid. 1029 Ibid. 1030 Ibid. pp. 9-10. 1031 Ibid. pp. 3-4. 1032 Ibid.     310 “the question of the validity of Indian marriages and divorces amongst the members of the tribe.”1033 “If these [practices] are valid,” Coffroth argued, “then the appellant is the owner of the whole tract and the judgment of the [trial] Court is erroneous.”1034 The appellant’s attorney then addressed the second issue at bar, that is whether or not “the Miami tribe [was] a distinct nation, or sovereignty.”1035 “A brief reference to the history of the United States, its treaties, its legislation, as well as the legislation of our own State, with respect to the Indians,” he argued, “will answer this inquiry in the affirmative.”1036 Coffroth followed with a brief historical sketch of the treaties with the Miami, “[i]n all of which they are recognized as a distinct nation, having a separate but dependent sovereignty; regulated by their own customs and usages, and governed by their own Chiefs.”1037 Coffroth followed with a survey of relevant state and federal law and policy and then situated his argument upon international legal norms, invoking the doctrine of continuity as grounds for sustaining the validity of the Tribe’s marital customs. “[I]t is a principle well settled,” he asserted, citing Calvin’s Case, “that the laws of a conquered people remain in full force, until repealed by the conqueror.” The legislative abrogation of the lex loci, Coffroth held, had “never been done . . . either by the State, or the United States.”1038 Because “George’s marriage to and divorce from See-quah” was celebrated within the “foreign jurisdiction” of the Tribe, “his matrimonial status” was to “be determined by the laws of his domicile,” rather than those of Indiana. With the seat of                                                              1033 Appellant’s Brief, p. 1. Unfortunately, the case file in the state archives Supreme Court collection does not contain the appellee’s brief and subsequent research yielded no further leads. 1034 Ibid. 1035 Ibid. p. 2. 1036 Ibid. 1037 Ibid. p. 3. 1038 Ibid. p. 5.     311 Tribal government removed to the Kansas territory, those Miami who remained in the state after 1840 “came into [a] new jurisdiction.” Nevertheless, even “when the laws of Indiana overtook him, his status, . . . by the jus gentium,” was to “be respected in the new domicile.”1039 “A marriage valid in the country where celebrated,” Coffroth held, reciting the familiar legal maxim as well as numerous authorities is support of it, “is valid everywhere.”1040 Yet in order to legitimize tribal marriage practices, to give them normative meaning and value for the Court, Coffroth understood the necessity of analogy: “At Common Law a contract per verba de præsenti sine copula, or per verba de futuro cum copula, is a complete and valid marriage; the Miami custom is, therefore, simply a common law marriage; and a common law marriage is always good, unless some statute contains an express clause of nullity.”1041 Indiana, he pointed out, “never had such a statute.” “The law of divorce,” on the other hand, “is simply the law of nature, and has prevailed not only among savage and barbarous people but even, in some ages, among the polished and educated.” The laws of Indiana were “little, if any better.”1042 Coffroth placed particular emphasis on rebutting judicial presumptions related to non-Christian marriages. Quoting Wall v. Williamson, he questioned “the correctness of                                                              1039 Ibid. 1040 Ibid. p. 6. Coffroth citing Joel Prentiss Bishop, Commentaries on the Law of Marriage and Divorce, and Evidence in Matrimonial Suits, Boston: Little, Brown and Co., 1852, sec. 125, “and the numerous authorities referred to in note.” 1041 Ibid. 1042 Ibid. By mid-century, the proliferation of state code revisions typically expanded the grounds for divorce. But as Cott points out, divorce laws were far from uniform “and variations among states caused what was later called ‘migratory divorce’—a restless spouse’s move from one state to another to end a marriage legally.” “Forum shoppers” often ended up in Indiana, which by the 1850s had become well known as a “divorce mill.” Liberal residency requirements made the possibility of divorce quite easy for tenacious plaintiffs. See Cott, Public Vows, pp. 49, 51; Also see Norma Basch, “Relief in the Premises: Divorce as a Woman’s Remedy in New York and Indiana, 1815-1870,” Law & History Review, Vol. 8, No. 1 (Spring, 1990): pp. 1-24; and B.V.A., “Indiana Divorces,” American Law Register, Vol. 18, No. 12 (Dec., 1870): pp. 721-728.     312 the doctrine, that polygamy is an universal exception to” recognizing the validity of foreign marriages: “A parallel case to a Turkish, or other marriage, in an infidel country will probably be found among all the savage tribes; but can it be possible, that the children must be illegitimate if born of the second, or succeeding wife?”1043 But the Court was not to be misled. “[I]n defending the Miami custom of marriage and divorce,” Coffroth was “not defending polygamous marriages.” Whatever the Tribe’s inclination was toward a member’s plurality of wives, “George, at least, was not so amorphous—he had but one wife at one time.”1044 Perhaps the most imperative issue for Coffroth centered on the economic impact of recognition. Indian marriages, he reminded the Court, were contracted and dissolved in “a state of nature,” without the benefit of formal consummation or written documentation. “[A]t least two thirds of the whole [Miami] tribe are the issue of such marriages,” he concluded; “[m]ust it be said that all these are illegitimate?”1045 The stakes were certainly high, or at least Coffroth presented them as such. A significant portion of Indian lands in the state came into settler possession through private purchase. Should the validity of all Indian marriages be rejected, “[t]he title to millions of property in this State would be destroyed, and unsuspecting families now in affluence, reduced to beggary.”1046 The Court, on the other hand, would see things differently. Having weighed the statement of facts, reviewed the trial court transcript, and considered the opposing parties’ oral and written arguments, the Supreme Court of Indiana issued its decision in November of 1862. Per curiam, Judge Samuel Perkins                                                              1043 Appellant’s Brief, p. 6, quoting Wall v. Williamson, 8 Ala. Rep. 48. 1044 Appellant’s Brief, pp. 6-7. 1045 Ibid. pp. 7-8. 1046 Ibid.     313 composed an opinion a mere four pages in length but one nothing short of rewriting Indiana legal history.1047 Perkins’ judgment began with identifying the principal issue at bar: whether or not Indian marriages, as “sanctioned by the laws of the Miami tribe” were to be judicially recognized by the state.1048 By distinguishing public international law—“that which regulates the political intercourse of nations with each other”—from private international law—“that which regulates the comity of states in giving effect . . . to the municipal laws of another, relating to private persons, their contracts, &c.”—as a framework in which to situate his analysis, Perkins insisted that “[t]he first question to be decided” was whether a “tribe of North American Indians constitute[d] a State[.]”1049 Quite simply, he held, “[w]e think not.” Normally, the state courts were reluctant to apply law of nations principles to cases involving Indian claims, since this would have been seen as an explicit encroachment into the federal sphere. However, by divesting the Tribe of its sovereignty, a status in international law that existed “only among civilized States,” Perkins established what he considered a legitimate issue over which to exercise state jurisdiction.1050                                                              1047 Judge Perkins served two non-consecutive terms on the bench, from 1846 to 1865 and 1877 to 1879, authoring 1,573 majority opinions. During his time with the Supreme Court, Perkins—a Democrat and strict constructionist of constitutional provisions protecting personal liberties and private property— achieved a reputation for his staunch political views. As an avid writer and editorialist, he dedicated considerable time preparing legal materials for the study and practice of law in Indiana. For biographical details, see Minde C. Browning, Richard Humphrey, and Bruce Kleinschmidt, "Biographical Sketches of Indiana Supreme Court Justices," Indiana Law Review, Vol. 30, No. 1, (1997): p. 368; Emma Lou Thornbrough, “Judge Perkins, The Indiana Supreme Court, and the Civil War,” Indiana Magazine of History, Vol. 60, No. 1 (March 1964): p. 81; and Leander J. Monks, ed., Courts and Lawyers of Indiana, Vol. 1, Indianapolis: Federal Publishing Co., 1916, pp. 206-207. On the number of Perkin’s majority opinions, see Brent E. Dickson, “A Tribute to Richard M. Givan, 1921-2009 - Justice, Indiana Supreme Court, 1969-1994 - Chief Justice of Indiana, 1974-1987,” Indiana Law Review, Vol. 43, No. 1 (2009): p. 1, n. 4. 1048 Roche v. Washington, 19 Ind. 54 (1862). 1049 Ibid. p. 56. 1050 Ibid. p. 55.     314 Perkins’ deliberation over these questions began prior to his decision Roche. In his 1859 treatise on Indiana pleading and practice, Perkins used the concept of legal primitivism as a comparative means to emphasize the legal progress among “civilized” societies.1051 Stadial theory—a central feature of Enlightenment-era thought and colonial discourse—had come to play a powerful ideological role by the mid-nineteenth century, appearing prominently in the works of contemporary political theorists and legal scholars. “Society,” Perkins wrote, “in its normal or primitive state, is composed of independent individuals and families, controlled by no superior, and acting upon natural impulses and individual judgments.”1052 Progressing to the savage state, “the disorganized multitude, for aid in the protection of its members against mutual injuries, forms itself into clans and tribes under the lead of chieftains . . . whose commands constitute the laws to be obeyed and enforced.” Having “politically organized,” albeit “crudely,” Perkins continued, “society is susceptible of steady advancement [and] . . . contains within itself the elements of progress.”1053 Over time, “[l]aw and order begin to take the place of violence” and “[s]ecurity for person and property increases.” In the final stages of this evolutionary paradigm of the modern nation-state, “the sovereign is constituted the arbiter of the differences between individuals of the community, . . . the IDEA OF THE JUST is developed, and fixed rules for the action of the government and the conduct of the citizens are established.”1054                                                              1051 Samuel E. Perkins, Pleading and Practice, Under the Code of 1852: In Civil and Criminal Actions, In the Courts of Indiana; With References to the Latest Statutory Amendments and Judicial Decisions, Indianapolis: Merrill & Co., 1859. 1052 Ibid. p. 1. 1053 Ibid. p. 2. 1054 Ibid [quote in original].     315 Perkins’ decision in Roche, issued three years following the publication of his treatise, expressly situated these ideas. “A State,” properly defined, included: a people permanently occupying a fixed territory, bound together by common laws, habits, and customs (or by a constitution), into one body politic, exercising, through the medium of an organized government, independent sovereignty and control over all persons and things within its boundaries, capable of making war and peace, and of entering into international relations with other communities.1055 For society to have reached the advanced stages of civilization depended on: systematized labor, individual ownership of the soil . . . [and] accumulations of property, humane and somewhat cultivated manners and customs, the institution of the family, with well defined and respected domestic and social relations, institutions of learning, intellectual activity, &c.1056 In contrast, Perkins argued, “few of the particulars enumerated as constituting a State exist in a tribe of North American Indians.” Having taken notice, “as a matter of general historical knowledge” that the Indians were “not elevated above the condition of nomadic, pastoral tribes,” Perkins flatly rejected their status as “States or nations in the political or international sense of the term” and considered it “problematic [as to] whether they [were] susceptible of civilization.”1057 Even if the Miami Tribe of Indians had constituted a sovereign nation, Indiana, Perkins speculated rhetorically, was “not bound by international comity to give effect in her Courts to all the laws and customs of such State; but only to such as are not repugnant to her own laws and policy.”1058 The general rule “in private international law,” Perkins recounted, held “that an actual marriage, valid in the country where celebrated, will, not                                                              1055 Roche, p. 54, quoting George Ripley and Charles A. Dana, eds., The New American Cyclopædia: A Popular Dictionary of General Knowledge, Vol. 10, New York: D. Appleton and Company, 1871, p. 360. 1056 Roche, pp. 56-57. 1057 Ibid. p. 57. 1058 Ibid.     316 as upon a claim of right, but by courtesy, be given effect to in other States.” If, “in the case at bar, an actual marriage took place between Jane Richardville and George Washington,” Perkins argued, “there could be no objection to its being upheld in the Courts of this State, though celebrated among an uncivilized tribe of Indians.”1059 “What, then,” the larger question became, “constitutes the thing called marriage[;] what is it in the eye of the jus gentium?” “It is,” the judge replied, “the union of one man and one woman, ‘so long as they both shall live,’ to the exclusion of all others, by an obligation which, during that time, the parties can not, of their own volition and act dissolve, but which can be dissolved only by authority of the State.”1060 “The principle,” according to Perkins, citing a well-known legal treatise, “that foreign marriages are to be governed by the lex loci is subject to some exceptions,” notably “where such law is opposed to the religion, rules of morality, or institutions of this country.”1061 In contrast to and in derogation of Perkins’ definition, “the union between Jane and George . . . was not a marriage according to the law of any civilized nation, but simply . . . a contract and state of concubinage.”1062                                                              1059 Ibid. 1060 Ibid. 1061 Ibid; John E. Bright, A Treatise on the Law of Husband and Wife, As Respects Property, Vol. 1, New York: Banks, Gould & Co., 1850, p. 8. 1062 Ibid. pp. 57-58. Here, Perkins cited Thomas R. Cobb, An Inquiry into the Law of Negro Slavery in the United States of America, Vol. 1, T. & J. W. Johnson & Co., 1858, p. 245, n. 4. The note to which he referred and the case to which he cited in his opinion was a decision from the North Carolina Supreme Court, which held “that the recognition of this state of concubinage . . . does not legalize the marriage, so as to give any of the effects of the marriage relation thereto.” See State v. Samuel, 2 Dev. & Bat. 177 (1836). The case dealt specifically with the issue of court testimony between an enslaved husband and wife. The problem, however, is that Perkins detached this case from the context of Cobb’s analysis of the incidental rights of marriage afforded to the parties. Despite “[t]he contract of marriage not being recognized among [them],” Cobb wrote, “the fact of cohabitating, and living together as man and wife, is universal among slaves, and the privileges of parents over children . . . are universally acceded to them, . . . [as] these relations are recognized by the Courts, and the merciful extenuations of the law, to the conduct of husband and father, are extended to the slave standing in the same situation.” See Cobb, Law of Negro Slavery, p. 245.     317 Perkins then proceeded with an analysis of “the incidents, the legal rights and consequences” related thereto.1063 “Marriage in different countries,” he held, “is followed by different property rights.” Among the Miami, however, the institution “is not followed by a right in either party by the law of the tribe, to inherit real estate from the other,” for this was “a kind of property unknown to them.” Adhering to the myth of the Indian as incapable of possessing real property, yet ignoring the actual circumstances in which many of the Miami owned and often conveyed title in fee simple, Perkins asserted that “[t]hey simply hold vaguely defined territory for use in hunting, fishing, &c.”1064 At this point, Perkins had yet to contend with the doctrine of continuity, an issue that Coffroth had raised as a legitimate basis for recognizing the validity of Miami customary law. Perkins summarily dismissed these grounds, claiming instead that any residual sovereignty the Miami possessed “disappeared with the light of [their] council fires, and departed to the new seat of the tribe” following the Treaty of 1840. While the laws of a nation remained operative within the limits of its own jurisdiction, they did not, Perkins held, “as a general proposition, follow the individuals of such nation, into the jurisdictional limits of another.” Thus, for those Miami who remained within state boundaries following the Tribe’s removal, their marriage contracts, “to be valid, must [have] conform[ed] to the laws of Indiana.”1065 Having applied these rules to the case at bar, the Supreme Court affirmed the lower court’s ruling in favor of Washington. The significance of Roche centers on several factors. First, the case illustrates the extent to which the state, rather than the federal government, exercised jurisdiction over                                                              1063 Roche, p. 55. 1064 Ibid. 1065 Ibid. p. 56.     318 the Indian tribes. Despite the Miami’s federally recognized status, the court denied their standing as a self-governing, sovereign nation. To justify this view, Perkins employed a variety of discursive tactics: states’ rights rhetoric; positive international law theory; stadial theory; and the extra-legal authority of “general historical knowledge.” Having declared Miami marriage customs as “repugnant” to the laws of the state, the court’s decision rejected the normative force of an informal, community-based practice long recognized as valid throughout the region. Second, as an exercise in customary jurisprudence, the case is a unique example of Indiana legal culture grounded in the formative identities and characteristics of colonialism. By deliberating international law doctrine and common law principles of continuity, Perkins sought to convey a sense of fidelity toward precedent and the rule of law. However, in contrast to eighteenth-century British practice, Perkins’ theory of continuity held that the sustained force of local law and custom depended upon the territorial integrity of tribal jurisdiction, not the pre-modern paradigm of legal pluralism. Finally, Roche demonstrates the extent to which American Indians adapted to and even manipulated the effects of Anglo-American common law culture. With delicious irony, the case rejects the myth of colonialism as a unilateral, instrumental means of settler domination and turns the post-modern conquest narrative on its proverbial head. Had the factual circumstances of the case been reversed, Washington may have argued in favor of customary law recognition, claiming the jurisdictional integrity of his tribe. Yet regardless of where his intentions lay, Washington effectively used the law to defend and preserve what was his. Ultimately, the idea of Native “custom” as a construct of colonial     319 society holds true, but only so far as Native peoples themselves took a role in defining, shaping, applying, or rejecting the concept in practice.     320 CONCLUSION: THE ENDURING MYTH OF SETTLER SOVEREIGNTY With Roche v. Washington, a certain degree of closure comes to this story. As a landmark decision in perfecting settler sovereignty, the case fulfilled, or at least validated, what the state had set out to accomplish in the preceding decades. While the Miami would continue to govern themselves politically and would occasionally gain concessions from the state, Indiana lawmakers had redefined settler sovereignty in complete territorial terms, effectively purging the nineteenth-century anomaly of tribal jurisdiction. No longer would the ill-defined boundaries of a legally plural society challenge the legitimacy of the modern constitutional state. In telling the story of American Indian and settler sovereignty in Indiana, this study has sketched more than a century and a half of socio-economic, political, legal, and ideological change in the region. Covering from the colonial era to the late-nineteenth century, these pages document the shifting legal landscape from both a local and global perspective. The story traces imperial contests over and concessions to jurisdictional space; regional conflict between tribal, French, British, and American legal cultures; the search for and discovery of a common ground; and the eventual dissolution of a customary-based jurisprudence in western settler society. The American Revolution marked an ideological departure from pre-modern notions of sovereignty, helping redefine the concept by associating jurisdiction in absolute, territorial terms. In the newly-formed western territory, however, the Northwest Ordinance and various American Indian treaties expressly recognized the constitutional plurality of customs and self-governing polities. When Indiana entered the Union in 1816, the western legal terrain embodied a mixed system of Indigenous     321 customs, colonial transplants, popular norms, community usages, and federal territorial law. Legal pluralism continued to define jurisdictional practice. As the nineteenth century proceeded, territorial jurisdiction and legal uniformity became guiding principles and many western jurists viewed informal, customary-based regulatory structures with contempt. The ensuing conflict of legal traditions in Indiana characterized a struggle between “high” and “low” legal cultures, the outcome of which proved ill-fated not only for the Indians but for the early French settlers as well. Despite the shift to a leading federal presence in Indian affairs during the late nineteenth century—most evident in the Indian Appropriations Act of 3 March 1871, which terminated tribal treaty-making, the Major Crimes Act in 1885, and the passage of the Dawes Severalty Act in 1887—the states continued to exercise their jurisdictional authority over Native Americans.1066 In Indiana, the termination of the Miami Tribe’s federally recognized status in 1897 further encouraged this presumption of state sovereignty.1067 A case decided in 1901 illustrates the contemporary state of affairs. When the Miami County Board of Commissioners sought to collect taxes on tribal lands, Miami Chief Gabriel Godfroy filed suit, insisting such lands retained their tax-exempt                                                              1066 Act of 3 March 1871, 41st Cong., 2nd sess., ch. 120, Statutes at Large: p. 566; The Major Crimes Act extended federal jurisdiction over cases of murder and other serious offenses committed between Indians in Indian Country; see Act of 3 March 1885, 48th Cong., 3rd sess., ch. 120, Statutes at Large: p. 385; The Dawes Severalty Act terminated the collective tribal ownership of lands, allotted individual plots to male heads of household, and conferred citizenship status on those who abandoned their “savage” ways. In addition, the act mandated the federal government to hold Indian lands “in trust” for a twenty-five year period, or at which time the allottee was deemed “competent” to own property individually. Once released from trust status, however, poverty forced many allottees to sell their allotted parcels. Moreover, the measure provided for the sale of “surplus” lands to American settlers, the effects of which are felt today from enduring jurisdictional conflict on Indian reservations; see Act of 8 February 1887, 49th Cong., 2nd sess. ch. 119, Statutes at Large: pp. 388-391. 1067 See opinion of Assistant Attorney-General Willis Van Devanter, 23 November 1897, in U.S. Department of the Interior, Decisions of the Department of the Interior and General Land Office in Cases Relating to Public Lands, Vol. 25, Washington: Government Printing Office, 1898, pp. 426-432.     322 status by virtue of article three of the Northwest Ordinance.1068 Upon appeal, the Indiana Supreme Court rejected this claim, holding instead that “[an] Indian who continued in habits of civilized life after passage of [the Dawes] act had no claim to immunity” and, having become citizens under this law, “ceased to be Indians, within the meaning of the ordinance of 1787.” 1069 By examining in greater detail the diverse sources of state law, Indiana legal history cannot escape its plural origins. The very existence of a middle ground that this story attempts to convey, challenges the idea of incompatibility between legal cultures. Modern conflict of laws principles—a positivist construct designed to preserve the internal coherence and integrity of a particular legal system—merely obscures the multiplicity of traditions within that legal system. While cases of resistance and misunderstanding certainly mark the historical-legal record, conflict itself—as an inter- systemic encounter—always presented an opportunity (with varying degrees of success) for normative dialogue, adjustment, and reciprocity.1070 Yet perhaps the greatest myth of settler sovereignty lies in its enduring character. The story is never one of complete closure. Rather, the struggle for Indian sovereignty in Indiana marks a persistent search for recognition, one that continues today. The extent to which modern legal cultures recognize diversity depends upon the existence and vitality of an ongoing dialogue.                                                              1068 Board of Com’rs of Miami County v. Godfrey [sic], 60 N.E. 177 (1901). 1069 Ibid. pp. 177, 179. 1070 H. Patrick Glenn, “Are Legal Traditions Incommensurable?” American Journal of Comparative Law, Vol. 49, No. 1 (Winter 2001): pp. 141-142; and Glenn, “Mixing It Up,” Tulane Law Review, Vol. 78, Nos. 1 and 2 (December 2003): pp. 80-81, 83.     323 IN SEARCH OF RECOGNITION: NORMATIVE CONFLICT, HISTORICAL RECONCILIATION, AND MODERN CHALLENGES TO TRIBAL SOVEREIGNTY IN INDIANA; AN AFTERWORD “Once having been recognized by the Congress and government of this union, no one has the right to dissolve us and destroy us as a race, but they have been doing so, and are doing so, and through it all we have been reduced to a plight which is a reproach upon this nation. America owes us an obligation. We appeal to you now as its head.” –Letter of Miami Leader Camillus Bundy to President Calvin Coolidge, 8 June 1927.1071 To examine Native Americans in a strictly historical context perpetuates the myth of the Indian as a figure of the past. In the United States today, 565 Native American nations, as well as millions of individual Indians, actively participate in communities both on and off the reservation; they raise families, manage businesses and governmental affairs, teach, practice law and medicine, and face the complex realities of an increasingly globalized world. History plays a critical role in shaping modern Native American society. Whether looking to the past to educate younger generations, using traditional ecological knowledge to address climate change, or appealing to custom in modern tribal courts, Native Americans, while representing a variety of cultural heritages, possess a shared history that defines their path to sovereignty and self-determination.1072 The second half of the twentieth century marked a new and promising era for Native peoples in Indiana and throughout the world. The development of international                                                              1071 As quoted by Stewart Rafert, The Miami Indians of Indiana: A Persistent People, 1654-1994, Indianapolis: Indiana Historical Society Press, 1996, p. 205. 1072 Eric C. Henson, et al., eds., The State of the Native Nations: Conditions under U.S. Policies of Self- Determination: The Harvard Project on American Indian Economic Development, New York: Oxford University Press, 2008, pp. 1, 2. For updates and current news and events, see the Harvard Project’s website at http://hpaied.org/. On the pedagogical importance of history and oral tradition in tribal culture, see Peter Nabokov, A Forest of Time: American Indian Ways of History, Cambridge: Cambridge, University Press, 2002; on traditional ecological knowledge in environmental sustainability, see Jeannette Wolfley, “Ecological Risk Assessment and Management: Their Failure to Value Indigenous Traditional Ecological Knowledge and Protect Tribal Homelands,” American Indian Culture and Research Journal, Vol. 22, No. 2 (1998): pp. 151-169; on the role of custom in modern tribal courts, see Elizabeth E. Joh, “Custom, Tribal Court Practice, and Popular Justice,” American Indian Law Review, Vol. 25, No. 1 (2000/2001): pp. 117-132.     324 human rights law that emerged from the post-World War II political economy stimulated a global debate over how societies should deal with the atrocities and injustices of the past. These questions intensified with decolonization. Within two decades following the war, European imperial powers had liberated most of their colonial possessions, reshaping the terms of Indigenous-settler relations and revealing deep tensions in national histories.1073 With these changes at the global level, a modern concept of restitution emerged, one that emphasized public apology and forgiveness rather than coercion and vindication between perpetrators and their victims or victims’ families. The idea of historical justice and reconciliation—as a symbolic means of addressing the legacies of genocide, racial or ethnic discrimination, slavery, colonialism, and Indigenous removal and dispossession— provided a moral framework and political mechanism for nation-states to reclaim or confirm their identities while accepting responsibility for past wrongs. However, while societies have shown great willingness and ability to acknowledge and make amends for historical injustices, change has come slowly and continues to meet with varying degrees of success.1074                                                              1073 Elazar Barkan, The Guilt of Nations: Restitution and Negotiating Historical Injustices, New York: W.W. Norton & Co., 2000, pp. xvi, xxii-xxiii; and Manfred Berg and Bernd Schaefer, “Introduction,” in Berg and Schaefer, eds., Historical Justice in International Perspective: How Societies Are Trying to Right the Wrongs of the Past, Cambridge: Cambridge University Press, 2009, p. 1. 1074 The practice of historical reconciliation includes several possible methods. Restitution involves the repatriation or return of tangible objects, immovable property, assets, or personal belongings such as stolen artwork, ancestral remains, cultural artifacts, or land and natural resources. Reparations entail compensation, monetary or otherwise, for permanent or irreversible loss, such as human life, cultural identity, economic stability, or legal and political rights. Finally, formal apologies involve an admission of past guilt or wrongdoing and the recognition of its lasting effects; see Barkan, Guilt of Nations. pp. xviii- xix. On the “pros” and “cons” of historical justice and reconciliation, see Berg and Schaefer, “Introduction,” pp. 1-17; and Robert R. Weyeneth, “The Power of Apology and the Process of Historical Reconciliation,” Public Historian, Vol. 23, No. 3 (Summer, 2001): pp. 9-38.     325 Following World War II, United States policy toward American Indians reflected, in many ways, the progressive, liberal-democratic values of the new global order. Many Native Americans had faithfully served the U.S. overseas, and returning Indian veterans, like their African-American counterparts, expected recognition for their services. As a sign of the government’s good faith, one of the first congressional initiatives came with the passage of the Indian Claims Commission Act (ICCA) in 1946.1075 This measure established a commission to investigate and settle Indian land claims, treaty violations, and other grievances arising prior to the date of enactment and granted the tribes access to the U.S. Court of Claims to resolve future disputes. While the ICCA included reparative aspects in its design and implementation, the measure lacked any form of apology or acknowledgment of historical injustice. Moreover, the claims commission limited remedies to monetary compensation (rather than land redistribution) on a per capita basis, thus providing the tribes little potential for long-term structural or economic stability. Congress had also intended for the measure to function as an immediate and final solution to the Indian “problem.” Rather than cultivate the tribes’ special legal status, federal lawmakers sought to extend principles of “equality” by terminating the federal-tribal trustee relationship and incorporating Native Americans into mainstream society through full citizenship, allotment, urban relocation, and off-reservation employment.1076 The federal government’s “termination” policy had dire consequences for Native America. Assimilation struck forcefully at tribal culture and the loss of land and federal welfare services thrust many Indians into poverty. As a result, many Native American                                                              1075 Act of 13 August 1946, 79th Cong., 2nd sess. ch. 959, Statutes at Large: pp. 1049-1056. 1076 See Cohen, Handbook, pp. 90-94.     326 groups demanded reform in national policy. Although fraught with complexities and narrow in remedial scope, the ICCA and subsequent land claims cases opened the door for Indian tribes to seek further restitution for historical injustices.1077 The Civil Rights movement and Great Society initiatives of the 1960s stimulated even greater protests for change. By the early 1970s, the U.S. government had not only adopted a new policy of Indian self-determination and tribal self-government, but a growing international movement had also begun to identify these principles as fundamental human rights standards in relation to Indigenous peoples worldwide. Congress has since taken important steps to help reconcile the destructive historical legacy of assimilation policies, forced removal, collective property termination, and the related effects of cultural, political, and economic instability among Native American nations. Although not without controversy, federal legislative measures such as the Native American Graves Protection and Repatriation Act, Indian Self- Determination and Education Assistance Act, Indian Arts and Crafts Act, and American Indian Religious Freedom Act, provide Native peoples with a structural framework for helping them reclaim their sovereignty, identity, and cultural heritage.1078 For purposes of this study, the Indian Child Welfare Act (ICWA) serves as a unique example of these initiatives because of its emphasis on Indian-state relations.1079 Enacted by Congress in 1978, this measure gives jurisdictional preference to Native American tribal courts in cases involving Indian child adoption and custody proceedings                                                              1077 Sarah Krakoff and Kristen Carpenter, “Repairing Reparations in the American Indian Nation Context,” in Federico Lenzerini, ed., Reparations for Indigenous Peoples: International and Comparative Perspectives, Oxford: Oxford University Press, 2008, pp. 257, 262. 1078 For further discussion of the benefits and controversies surrounding these efforts, with a particular focus on the NAGPRA, see Barkan, Guilt of Nations, pp. 169-215. 1079 Act of 8 November 1978, 95th Cong., 2nd sess., Statutes at Large: pp. 3069-3078.     327 that would otherwise fall within the judicial or regulatory ambit of the states. Congress designed the legislation to repair the devastation wrought by a history of U.S. law and policy aimed at breaking up traditional Indian family structures. The nineteenth-century campaign to assimilate Native Americans into mainstream society found an impressionable target with Indian children. State and federal officials removed Indian children from their tribal families, sent them to Christian boarding schools, and placed them with non-Indian adoptive families or foster homes.1080 As one Congressman noted, “[t]he wholesale separation of Indian children from their families is perhaps the most tragic and destructive aspect of American Indian life today.”1081 While some states have supported the ICWA through codification measures, the Act has met with considerable resistance in others. Particularly notable is the “Existing Indian Family” (EIF) doctrine, which—pursuant to several state court decisions, including Indiana—holds that Indian children lack sufficient enough cultural or political ties to their tribe to merit special treatment.1082 Granted, many of these cases involve extremely difficult issues, and sensitivity becomes particularly acute when child welfare comes into play. Indian child removal often results because of parental neglect or maltreatment, problems exacerbated by poverty, alcoholism, or drug abuse on tribal reservations. However, the states have a unique opportunity to work with tribal                                                              1080 One of the few book length studies to address these issues at length is Marilyn Irvin Holt, Indian Orphanages, Lawrence: University of Kansas Press, 2001; for an example of Indian child displacement in Indiana, see Dominic B. Gerlach, “St. Joseph’s Indian Normal School, 1888-1896,” Indiana Magazine of History, Vol. 69, No. 1 (March, 1973): pp. 1-42. 1081 Lorie M. Graham, “The Past Never Vanishes: A Contextual Critique of the Existing Indian Family Doctrine,” American Indian Law Review, Vol. 23, No. 1 (1998): p. 10, quoting Rep. Stewart Udall’s remarks in H.R. Rep. 1386, 95th Congress (1978). 1082 Krakoff and Carpenter, “Repairing Reparations,” p. 264.     328 governments not only in addressing these social problems but also in helping them sustain their sovereignty and self-determination through jurisdictional comity.1083 In 1988, the Indiana Supreme Court addressed the ICWA at length in In re Adoption of T.R.M., a case involving the adoption of an Indian child from the Oglala Sioux Tribe (South Dakota) by a non-Indian couple residing in Indiana.1084 In reversing the Indiana Court of Appeals decision, the Supreme Court held that exclusive jurisdiction vested in the state rather than the tribal court.1085 Among several issues, the question of domicile played an important role in the Supreme Court’s decision. Because the child was “abandoned” shortly after birth, never resided on the reservation, and spent most of her young life in a non-Indian culture, the Court—in applying the EIF doctrine—rejected the adoption as constituting a breakup of the Indian family under the terms set forth under the ICWA.1086 Although the Act requires that all states “give full faith and credit to the public acts, records, and judicial proceedings of any Indian tribe applicable to Indian child custody proceedings,” the Indiana Supreme Court refused to interpret this provision as giving “absolute deference to a tribal court order.”1087 Citing Indiana law as the supreme authority, the Court held that “all foreign judgments are open to collateral attack for lack of jurisdiction.”1088                                                              1083 Ibid. p. 265. 1084 In the Matter of Adoption of T.R.M., an Indian Child, and J.Q., (Natural Mother), Appellant v. D.R.L. and E.M.L. (Adoptive Parents), Appellees, 525 N.E. 2d 298 (1988). 1085 For the Indiana Court of Appeals opinion, see Adoption of T.R.M. v. D.R.L., 489 N.E. 2d 156 (1986). 1086 In re Adoption of T.R.M., p. 303. The U.S. Supreme Court would not review the ICWA until the following year. In Mississippi Band of Choctaw Indians v. Holyfield, (490 U.S. 30 (1989)), the Court ruled that tribal jurisdiction prevailed regardless of the child’s residence or place of birth: “had Congress intended a state-law definition of domicile, it would have said so.” See Ibid. p. 47. 1087 As quoted in In re Adoption of T.R.M., p. 305. 1088 Ibid. p. 306. Based on the Court’s interpretation of the Uniform Child Custody Jurisdiction Act (UCCJA), which would otherwise have resolved an inter-state conflict over child custody disputes, “[n]either the Reservation nor the Oglala Sioux Tribal Court” fell within the scope of the Act’s definition of a “state.” See Ibid. p. 315.     329 Although In re Adoption of T.R.M. dealt with issues of an inter-state nature, at the time of the court’s decision the question of tribal sovereignty in Indiana had emerged with renewed vitality. With the 1897 Van Devanter opinion, the Miami Indians had become the last federally recognized tribe in the state.1089 Since then, the Miami have invested considerable time and resources in defending their legal rights and attempting to regain their purloined status.1090 With the passage of the ICCA in 1946, Miami tribal historian Carmen Ryan (Checomequah, or Spirit of the Lakes) dedicated her cause to securing monetary reparations for the Miami. In 1960, as a result of her efforts, as well as those of tribal leader Ira Sylvester “Ves” Godfroy and many others, the Indian Claims Commission (ICC) awarded the Miami nearly five million dollars in restitution for payments never received for lands ceded under the 1818 Treaty of St. Mary’s.1091 De facto recognition by the ICC gave the Miami an increased sense of tribal dignity. However, monetary settlements fell short of the Nation’s full aspirations of sovereignty and self- determination. During the mid-1960s, the Indiana Miami made several efforts to regain                                                              1089 This is accurate in part. Aside from the Miami, the Pokagon Band of Potawatomi Indians, located in Dowagiac, Michigan, gained federal recognition in 1994. Several of the Tribe’s members live in Northeastern Indiana. 1090 Tribal leader Camillus Bundy spearheaded these efforts during the late nineteenth and early twentieth centuries. In 1903, he founded the Miami reunion to as a way to preserve the tribal community. Until his death in 1935, Bundy advocated vociferously on behalf of the tribe, writing frequently to U.S. presidents, lobbying Congresss, and making regular visits to Washington, D.C. to meet with public officials. See Stewart Rafert, “Letter to the Editor,” Indiana Magazine of History, Vol. 102, No. 2 (June, 2006): p. 173. 1091 Ibid. p. 174. With Bundy’s death, Ryan continued much of her predecessor’s work. In 1937, she helped to incorporate the tribe as the Miami Nation of Indians of the State of Indiana. During the late 1930s, she joined the League of North American Indians (LONAI; also known as the League of Nations of North American Indians). Founded in 1935, the LONAI sought to protect tribal lands and publicize historical injustices. Although less well known than other organizations such as the American Indian Federation or National Congress of American Indians, the League was one of the first groups to propose Indian representation in the United Nations and, during the early 1940s, became a vocal advocate of federal Indian claims legislation; see Steven J. Crum, “Almost Invisible: The Brotherhood of North American Indians (1911) and the League of North American Indians (1935),” Wicazo Sa Review, Vol. 21, No. 1 (Spring, 2006): pp. 49-55. According to Rafert, “[t]he final Miami reward[,] . . . after attorneys’ fees and nineteenth-century annuities were deducted, amounted to $1,215 per person.” Congressional distribution of funds came in 1969; see Rafert, Miami Indians, p. 240.     330 federal recognition status through congressional lobbying and petitions to the U.S. Department of Justice. Unfortunately, these efforts fell largely on deaf ears.1092 In 1978, the Bureau of Indian Affairs (BIA) issued new regulations (which remain in effect today), requiring unrecognized tribes to meet several prerequisites to attain federal acknowledgement status. Specific criteria include: continuous identification as a tribal entity since 1900; uninterrupted existence as a distinct community; preservation of political authority over members as an autonomous entity; and membership consisting of descendants from an historical Indian tribe. In short, a tribe must demonstrate historical, social, and political continuity as a distinct, autonomous community despite over two centuries of state and federal efforts to eradicate these characteristics. The outcome of BIA decisions determines the extent to which tribes receive important federal services such as health clinics, education and job training programs, housing development, and other community services.1093 In March of 1979, the Indiana Miami notified the BIA of their intent to petition. In support of Miami efforts, the Indiana General Assembly adopted a joint resolution in 1980, which sought to expedite federal recognition of the tribe under the 1978 regulations. In their petition to Congress, Indiana legislators documented an extensive history of Indian-settler relations, underscoring the Miami’s continuous presence in the region and valorizing their traditional way of life as “worthy of emulation                                                              1092 Rafert, Miami Indians, pp. 248-249. 1093 As of early 2011, 17 Native American tribes have gained recognition status under the 1978 BIA guidelines, 28 have been denied, and 9 petitions await final review and determination by the Bureau’s Office of Federal Acknowledgement. The most extensive scholarly examination of the federal acknowledgment process is Mark Edwin Miller, Forgotten Tribes: Unrecognized Indians and the Federal Acknowledgment Process, Lincoln: University of Nebraska Press, 2004, esp. pp. 47-78; also see William W. Quinn, Jr., “Federal Acknowledgment of American Indian Tribes: The Historical Development of a Legal Concept,” American Journal of Legal History, Vol. 34, No. 4 (Oct., 1990): pp. 331-364; and Quinn, “Public Ethnohistory? Or, Writing Tribal Histories at the Bureau of Indian Affairs,” Public Historian, Vol. 10, No. 2 (Spring, 1988): pp. 71-76.     331 by all Americans today.”1094 The joint resolution clearly reflected Indiana’s efforts at historical reconciliation (albeit with blame directed at the federal rather than state government level): The nurturing and preservation of Indiana’s cultural and historical heritage can be substantially assisted by an early federal recognition of the Miami Indians of Indiana . . . as a properly qualified Indian tribe, thereby setting aright the disability imposed unfairly on said Indians by federal policy more than 130 years ago.1095 With this critical support from the state, the tribe spent the following years conducting extensive historical research before submitting their final petition on 10 July 1984. On 12 July 1990, the Interior Department issued a preliminary report that found the tribe had not met two of the criteria needed for recognition: continuous existence as a distinct community; and the maintenance of political authority over its members. Responding to these findings, the Miami conducted extensive research to satisfy any deficiency in evidence demonstrating tribal integrity. To help coordinate these efforts, the Miami employed academic historians (including Stewart Rafert) and anthropologists as well as tribal attorneys from the Native American Defense Fund. However, on 9 June 1992, the Assistant Secretary of the Interior issued the BIA’s final determination, which found that the Indiana Miami failed to satisfy the same criteria noted two years earlier.1096                                                              1094 Indiana, S. Res. 9, 101st General Assembly, short sess., House and Senate Concurrent and Joint Resolutions (1980). 1095 Ibid. “130 years ago” referring to the forced removal of several hundred Miami to the Kansas Territory in 1846. 1096 Rafert, Miami Indians, pp. 269, 276, 283-284. In 1991, U.S. Senator Richard Lugar introduced a bill that sought to extend federal recognition to the Miami. However, Lugar soon removed his support when tribal gaming became a controversial issue; see Miami Nation of Indiana Restoration Act, S. 538, 102nd Cong. 1st sess., Congressional Record, Vol. 137, No. 4 (5 March 1991): pp. S 2620-2621; also see Rafert, Miami Indians, p. 292.     332 In seeking further remedy, the Miami sued the Department of the Interior in federal court.1097 In July of 2000, following a series of initial rulings during the mid- to late-1990s, the U.S. District Court for the Northern District of Indiana upheld the BIA’s resolution, finding that the bureau had “sound support in the record” and that “its explanations for its decisions [were] clear and logical.”1098 On 15 June 2001, the U.S. Seventh Circuit Court of Appeals affirmed the federal district court’s decision, claiming dismissively that “[r]ecognition in such a case would merely confer windfalls on the members of a nonexistent entity.”1099 With the U.S. Supreme Court’s denial of certiorari the following year, the Miami had exhausted all potential judicial forums to reverse the BIA decision.1100 Despite these obstacles, the Indiana Miami continue to persevere as a distinct political community and, in recent decades, the State of Indiana has invariably shown its support in preserving tribal culture. In 1989, largely due to the lobbying efforts of Miami Chief Raymond White, the General Assembly amended the Indiana Historic Preservation and Archeology Act (IHPAA), making the destruction of historic burial sites and Native remains a criminal offense.1101 The Indiana courts have since interpreted the act broadly, applying its protective provisions to state owned lands as well as private property.1102 In                                                              1097 Judicial review of federal agency decisions is limited in scope. The courts typically involve themselves only when questions arise as to whether a decision was arbitrary, unsupported by significant evidence, or inconsistent with the law; see United States Code 5 (2010), Pt. 1, Ch. 7, Sec. 706(2)(A); also see Roberto Iraola, “The Administrative Tribal Recognition Process and the Courts,” Akron Law Review, Vol. 38, No. 4 (2005): pp. 883-886, for a discussion of the process of judicial review using the Miami Nation cases as examples. 1098 Miami Nation of Indians of Indiana v. Bruce Babbitt, 112 F. Supp. 2d 742, 763 (2000). 1099 Miami Nation of Indians of Indiana v. United States Department of the Interior, 255 F. 3d 342, 351 (2001). 1100 Miami Nation of Indians of Indiana v. Norton, 534 U.S. 1129 (2002). 1101 Indiana Historic Preservation and Archeology Act, Indiana Code. sec. 14-3-3.4-1 (1994) (current version at Indiana Code. sec. 14-21 (2011)). 1102 See Whitacre v. State of Indiana, 619 N.E.2d 605 (Ind. Ct. App. 1993); 629 N.E.2d 1236 (Ind. Sp. Ct. 1994). This case involved two amateur archeologists who had purchased farm land in Dearborn County,     333 2003, the General Assembly enacted Senate Bill 337, establishing the Native American Indian Affairs Commission.1103 The legislation authorizes the Commission to advise state officials on the final disposition of artifacts and human remains excavated from Indian burial sites. The measure also requires the Commission to study issues related to Native American employment, education, civil rights, health, and housing and to make recommendations to federal, state, and local government agencies accordingly.1104 In 2011, the Indiana Senate introduced a bill that would provide official state recognition of the Miami Nation.1105 Although limited in scope compared to federal acknowledgment, state recognition would facilitate inter-cultural cooperation between tribal and public officials. Moreover, the measure would protect the status of tribal artwork under the                                                                                                                                                                                   Indiana for purposes of conducting excavations on a Hopewell Indian site that contained artifacts and burial remains dating to 150 A.D. Having been informed by the Indiana Department of Natural Resources of the need for a permit to continue their work, the couple filed suit. The Indiana Court of Appeals ruled that the “legislature intended [for the statute] to mean any ground within the State of Indiana, whether owned by the state or privately owned.” The Court justified its reasoning by holding that the “information in these sites expands our knowledge of human history and prehistory and thus enriches us as a state, nation and as human beings.” See Whitacre, 619 N.E.2d 606, quoting Indiana Dept. of Natural Resources v. Indiana Coal Council, Inc., 542 N.E.2d 1000, 1005 (1989). The decision in Whitacre has received widespread (and often positive) commentary from legal scholars; see, for example, Sherry Hutt and C. Timothy McKeown, “Control of Cultural Property as Human Rights Law,” Arizona State Law Journal, Vol. 31, No. 2 (Summer, 1999): p. 376; James A. R. Nafziger, Robert K. Paterson, and Allison Dundes Renteln, Cultural Law: International, Comparative, and Indigenous, Cambridge: Cambridge University Press, 2010, pp. 281-284; and Pamela D'Innocenzo, “‘Not in My Backyard!’ Protecting Archaeological Sites on Private Lands,” American Indian Law Review, Vol. 21, No. 1 (1997): pp. 146-147. 1103 Senate Enrolled Act 337, 113th General Assembly, 1st reg. sess. (2003). 1104 While an important step in Indian-state relations, the Act prohibits the Commission from negotiating with state or federal officials over gaming and tribal sovereignty. On 8 May 2003, Governor Frank O’Bannon vetoed the enrolled act because it restricted participation to members of federally recognized tribes, thus excluding a majority of Native Americans residing in Indiana. O’Bannon encouraged the General Assembly to correct these problems; however, state legislators overrode his veto. While state code provisions retain the definition of a “Native American Indian” as promulgated under federal statutory law, Governor O’Bannon issued an executive order in December of 2003, which expands the definition to include a “person who has demonstrated membership in a tribe that is located in Indiana; and has established documented historical recognition.” See Executive Order 03-17, Indiana Register, Vol. 27, No. 3 (1 December 2003): pp. 984-986. 1105 Senate Bill 311, 117th General Assembly, 1st Reg. Sess. (2011).     334 Indian Arts and Crafts Act of 1990 and ensure the freedom to practice religious ceremonies under the American Indians Religious Freedom Act.1106 Today, the Miami Nation administers its affairs at the seat of tribal government in Peru, Indiana. Under the leadership of Chief Brian J. Buchanan (Akima Tandaksa), the Miami Nation conducts regular council meetings and operates a charitable gaming enterprise that supports cultural preservation, educational programs, a community food pantry, and the maintenance of tribal government. Their cultural committee works to preserve Miami language, tribal history, and cultural artifacts.                                                              1106 Miami Nation of Indiana, “Indiana Bill to Provide State Recogniton to Miami Nation of Indians of Indiana,” News, 3 March 2011, www.miamiindians.org (accessed 9 July 2011). Following the bill’s referral to the Committee on Public Policy, the Indiana General Assembly took no further action during the first regular session. The Indian Arts and Crafts Act covers “any Indian group that has been formally recognized as an Indian tribe by a State legislature or by a State commission or similar organization legislatively vested with State tribal recognition authority.” See Act of 29 November 1990, 101st Cong., 2nd sess., Statutes at Large: p. 4663. For the American Indians Religious Freedom Act, see Act of 11 August 1978, 95th Cong., 2nd sess., Statutes at Large: pp. 469-470; amended by Public Law 103-344, 103rd Cong., 2nd sess., Statutes at Large: pp. 3125-3127.     335 BIBLIOGRAPHY GOVERNMENT DOCUMENTS Cherokee Nation. Laws of the Cherokee Nation: Adopted by the Council at Various Periods: Printed for the Benefit of the Nation, Tahlequah, C.N.: Cherokee Advocate Office, 1852. Great Britain. 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Decisions of the Department of the Interior and General Land Office in Cases Relating to Public Lands. Vol. 25. Washington: Government Printing Office, 1898. United States. Department of the Interior. Bureau of Indian Affairs. “List of Petitioners by State (as of April, 29, 2011).” Basic Administrative and Regulatory Documents. Available at http://www.bia.gov/WhoWeAre/AS-IA/OFA/index.htm (accessed 27 October 2011). Virginia. Journal of the House of Delegates of the Commonwealth of Virginia. Richmond: Commonwealth of Virginia. October sess. 1778. Virginia. General Assembly. Statutes at Large. 13 Vols. Edited by William Hening. New York: Printed for the Editor, 1819-1823.     338 Wayne County (Indiana Territory), and U.S. Congress. Translation of a Memorial in the French Language, of Sundry Citizens of the County of Wayne, in the Indiana Territory: 17th of January 1805: Referred to the Committee Appointed the 7th Instant to “Enquire Whether Any, and If Any, What Alterations Are Necessary to Be Made in the Laws, for the Disposal of he Public Lands, North West of the Ohio.” Washington City: Printed by William Duane & Son, 1805. TABLE OF TREATIES Definitive Treaty of Peace and Friendship (10 February 1763). Definitive Treaty of Peace (3 September 1783). Treaty of Guadalupe Hidalgo (2 February 1848). Jay Treaty (19 November 1794). Treaty of Ghent (24 December 1814). Treaty of Greenville (3 August 1795). Treaty of Fontainebleau (3 November 1762). Treaty with Sauk and Foxes (3 November 1804) Treaty with the Delaware, etc. (30 September 1809) Treaty with the Delawares (3 October 1818) Treaty with the Miami (6 October 1818) Treaty with the Potawatomi (4 December 1834) Treaty with the Miami (23 October 1834) Treaty with the Miami (6 November 1838) Treaty with the Potawatomi (16 October 1826) Treaty with the Potawatomi (27 October 1832) Treaty with the Miami (28 November 1840) Treaty with the Potawatomi (5 August 1836) Treaty with the Potawatomi (20 October 1832) Louisiana Cession Treaty (30 April 1803) TABLE OF CASES Adoption of T.R.M. v. D.R.L. 489 N.E. 2d 156 (1986).     339 American Insurance Co. v. Canter. 26 U.S. 511 (1828). Armstrong v. Jackson on the Demise of Elliott. 1 Blackf. (Ind.) 374 (1825). Barkham’s Case (1622). Records of the Virginia Co. of London. Vol. II. Edited by Susan Myra Kingsbury. Washington: Gov’t Printing Office, 1906, pp. 94-96. Bateson v. Green. 101 Eng. Rep. 230 (1793). Blankard v. Galdy. 91 Eng. Rep. 356 (1693). Board of Com’rs of Miami County v. Godfrey. 60 N.E. 177 (1901). Buchanan v. Harvey. 35 Mo. 276 (1864). Caiserques v. Dujarreau. 1 Mart. (Orleans) 7 (1809). Calvin’s Case. 77 Eng. Rep. 377 (1608). Campbell v. Hall. 98 Eng. Rep. 1045 (1774). Carr v. McCampbell. 61 Ind. 97 (1878) Case of Anonymous. 24 Eng. Rep. 646 (1722). Case of Tanistry. 80 Eng. Rep. 516 (1608). Cherokee Nation v. Georgia. 30 U.S. 1. (1831). City of Indianapolis v. Indianapolis Water Co. 185 Ind. 277 (1916). Connolly v. Woolrich. 11 L.C. Jur. 197 (1867). Cottin v. Cottin. 5 Mart. (La.) 93 (1817). Cox v. O’Reiley. 4 Ind. 368 (1853). D’Aguilar v. D’Aguilar. 162 Eng. Rep. 748 (1794). Duley v. Purcell. Northwest Territory. Knox County Court of Common Pleas (1799). Elliott v. Ray. 2 Blackf. (Ind.) 31 (1826). Estate of Moses Henry, Northwest Territory, Knox County Probate Court (1792). Estate of John Toulon, Northwest Territory, Knox County Probate Court (1797). Estate of Lewis Chatellerault, Northwest Territory, Knox County Probate Court (1797). Fletcher v. Peck. 10 U.S. 87 (1810). Frakes v. Brown. 2 Blackf. (Ind.) 295 (1830).     340 Fraser v. Pouliot, 7 Q.L.R. 149 (1881). Frederickson v. Fowler. 5 Blackf. (Ind.) 409 (1840). Gateward’s Case. 77 Eng. Rep. 344 (1607). Godfroy v. Loveland. Miami Circuit Court, Order Book D (1859). Godfroy v. Poe. Miami Circuit Court, Order Book C (16 March 1855). Green v. Biddle. 21 U.S. 1 (1823). Hanna v. Board of Comm'rs of Allen County. 8 Blackf. (Ind.) 352 (1847). Harper v. Pound. 10 Ind. 32 (1857). Harris v. Doe on the Demise of Barnett. 4 Blackf. (Ind.) 369 (1837). Hawkins v. Barneys Lessee. 5 Peters (30 U.S.) 457 (1831). Hyde v. Hyde and Woodmansee. L.R. 1 P. & D. 130 (1866). In the Matter of Adoption of T.R.M., an Indian Child, and J.Q., (Natural Mother), Appellant v. D.R.L. and E.M.L. (Adoptive Parents), Appellees, 525 N.E. 2d 298 (1988). Johnson v. Chambers. 12 Ind. 102 (1859). Johnson v. 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Shepard, Rebecca A., et al., eds. A Biographical Directory of the Indiana General Assembly. Vol. 1: 1816-1899. Indianapolis: Select Committee on the Centennial History of the Indiana General Assembly; Indiana Historical Bureau, 1980.     CURRICULUM VITAE Ryan T. Schwier PROFESSIONAL EXPERIENCE Librarian 2006-Present Ruth Lilly Law Library IU-Indianapolis School of Law  Provide research instruction and reference services for faculty, student, and public patrons  Manage circulation and inter-library loan departments  Assist law review editors with source pulls and citation checks for forthcoming articles  Conduct faculty publication citation analyses  Prepare annotated legal bibliographies and resource guides  Compile monthly and annual statistics on library use and patron services for American Bar Association and other law school ranking publications Chief Operations Officer 2001-2006 Starkey Law Group, PC Indianapolis, Indiana  Legal research support in the areas of estate planning, probate and trust litigation, and medical malpractice  Legislative liaison services to Indiana Uniform Law Commissioners (ULC) and ULC National Legislative Services Director; Drafted ULC annual reports for the Indiana Governor and State Budget Agency  Managed firm administrative affairs including client billing, vendor accounts, inter-office budget, staff benefits, and marketing initiatives EDUCATION Master of Arts (M.A.), Public History 2011 Indiana University-Purdue University, Indianapolis Master of Library Science (M.L.S.) 2004 Indiana University-Purdue University, Indianapolis Bachelor of Arts (B.A.), History; Political Science 2001 Indiana University, Bloomington PUBLICATIONS “Debate Continues over Native American Land Rights,” in John R. McKivigan and Heather L. Kaufman, eds., Encyclopedia of American Reform Movements, New York, NY: Facts on File (forthcoming, 2012).     “Charles E. Cox,” in A Biographical Directory of Indiana Supreme Court Justices, Indiana Historical Society Press, 2011. “Cooperative Planning for Historical Consulting Internships: A Student Note,” Public History News, Vol. 28, No. 4 (September 2008): p. 9. “The Bricks and Mortar of Information: Preserving Indiana’s Historic Public Libraries,” Indiana Libraries, Vol. 27, No. 1 (Winter 2007-2008): pp. 63-68. TEACHING, RESEARCH, AND CONSULTING Legal Research Instruction Services, Ruth Lilly Law Library, IU-Indianapolis School of Law. Presentation: “Fundamentals of Legal Research,” Marian College, Legal Practice and Method (Pre-Law Program), Indianapolis, Indiana, 28 October 2010. Presentation: “Information Ethics and Creative Research Methods for Thesis Writing,” Universidad de Guadalajara, Centro Universitario de Ciencias Económinco Administrativas (CUCEA), Zapopan, Jalisco, Mexico, 12-13 June 2007. Research Historian, Historical Research Associates, Inc. (Missoula, Montana), Summer 2008. Feasibility Study for Proposed National Heritage Area in St. Augustine, Florida (2008). COMMUNITY ACTIVITY Volunteer ESL instruction for staff of Mexican Consulate of Indianapolis (Fall 2007). Indiana State Library-Volunteer reference services and database administration (Winter 2004). Spanish translation assistance with multiple community-focused publications. PROFESSIONAL MEMBERSHIPS National Council of Public History, 2007-present. Indiana Library Federation, 2007-present. LANGUAGES English (Native); Spanish (Conversational).