fVW

University Studies

Published by the University of Nebraska

COMMITTEE OF PUBLICATION

SAMUEL AVERY
C. E. BESSEY
F. M. FLING
DANIEL FORD

H. ALICE HOWELL
W. K. JEWETT
J. E. LEROSSIGNOL
L. A. SHERMAN

W. G. L. TAYLOR

CONTENTS

The First Revolutionary Step (June 17, 1789)
Carl Christophelsmeier ....

LINCOLN NEBRASKA

V

THE

University Studies

OF THE

UNIVERSITY OF NEBRASKA

VOLUME IX

LINCOLN

PUBLISHED BY THE UNIVERSITY

1909

CONTENTS

Alexander — The English Lyric : A Study in Psycho-Genesis 343

Christophelsmeier — The First Revolutionary Step (June 17, 1789) .... 1

LeRossignol and Stewart— Taxation in New Zealand 249

Moore — Separation of the Spectral Lines of Thorium in the Magnetic Field . 89

Taylor — Financial Legislation in Principle and in History 221

Tuckerman — Transmission of Light Through Doubly Refracting Plates with

Applications to Elliptic Analyzing Systems 157

Wallace— Three London Theatres of Shakespeare's Time 287

University Studies

Vol. IX JANUARY igog No. i

The First Revolutionary Step (June ij, 1789)

BY CARL CHRISTOPHELSMEIER
I

The success or failure of the reforms anticipated from the
meeting of the states general depended primarily upon the solu-
tion of two fundamental questions, namely, representation and
organization. The sum total of opinions as to their settlement
was as broad and as deep in content as was the volume of the
revolutionary spirit itself, and the extremes of opinion differed
widely. A large majority of the nobles, including the superior
clergy, demanded that each order should be given what seemed
to them the constitutional one-third representation, while the de-
mands of the tiers-ctat ranged from representation proportionate
to the relative population of the three estates — which would have
entitled the tiers-etat to at least ninety-six out of every hundred
deputies — to a representation equal to one-half of all the delegates
to the states general. The king in his council (December 2j,
1788) decided that the third estate should be given a representa-
tion equal in number to the combined representation of the clergy
and of the nobility. This decision, although most unsatisfactory
to large circles of individuals of each of the three orders, was,
nevertheless, accepted with a sufficient measure of grace. The
solution was truly a great victory for the tiers-etat provided the
states general should constitute itself as a single assembly.

University Studies, Vol. IX, No. 1, January 1909.

2 Carl Christophelsnwier

Thus, although the question of representation was settled, an-
other question of equal magnitude remained to be solved, namely,
how the states general should organize itself. The work of the
national assembly depended wholly upon its solution, for if the
deputies of the three orders should meet in three separate halls
the privileged classes could allow just such reforms as they
wished; but if, on the other hand, all the deputies should meet
in one assembly and vote by head, the tiers-ctat could control the
action of the assembly. The question of organization was thus a
vital one, for the fate of the states general and of the constitu-
tion and, therefore, the fate of France depended upon its
treatment.

It was, according to Rabaut de Saint-Etienne, on the evening
of May 5, the very day of the opening session, that "the deputies
of the commons, having assembled by provinces, agreed that they
would hold their sessions in the hall of the states general, that
they would consider this hall as the national hall, that they would
there await the other orders for the purpose of deliberating in
common, and that they would not swerve from this line of con-
duct." 1 They did, in fact, adhere to this policy until the deputies
of the other two orders joined them.

The states general was formally opened on May 5 at Versailles
in the Salic dcs Menus Plaisirs. We are concerned with this
stately and truly royal session only in so far as it touched the
solution of the question of vote by head or by order. The king
did not speak of the matter of organization at all. His anxiety
in regard to it is seen, however, in his appeal to the deputies to
work in harmony. Barentin, the keeper of the seals, announced
that the deputies were to meet the next day and verify their cre-
dentials as promptly as possible, while Necker, in a brief refer-
ence to the subject, seemed to favor three assemblies. The great
problem was left for solution, therefore, to the deputies of the
three orders themselves. The hope or fear on their part that the
king might decide this all-important question, or at least com-
promise it by showing his preference either in favor of the tiers-
etat or of the privileged aristocracy, was dispelled.

Rabaut de Saint-Etienne, Precis, 117.

The First Revolutionary Step 3

When the deputies of the tiers-etat assembled on the morning
of May 6, they learned that the deputies of the clergy and of the
nobles were meeting in separate halls and were even preparing
fo*r the verification of their credentials and for organization as
separate orders. The assembly was in great confusion and dis-
order, for it did not know how to begin its deliberations. And
this most embarrassing situation was made all the more difficult
by the fact that some deputies, who managed to make themselves
heard, wanted the assembly to remain idle and take no step to-
ward organization. They wished the deputies of the tiers-etat
to act, not as an assembly at all, but as individuals, a group of
men, "a club of friends," who were waiting for the absent depu-
ties in order to form themselves into an active assembly. But
some other deputies demanded the immediate organization of the
deputies of the tiers-etat as a national assembly ; while others,
more conservative, urged that before resorting to such an ex-
treme expedient all amicable and conciliatory means should first
be exhausted.

In these debates of the first day, we notice all the elements of
the policy which the tiers-etat followed up to June iy when it
constituted itself the national assembly. When the deputies had
separated after this first day's session, Gaultier de Biauzat wrote
to his constituents : "If my opinion becomes general, we shall
notify the clergy and the nobility tomorrow that the tiers-etat is
complete, and urge them to present themselves in the hall of the
commons." 1 He thought that any further action on the part of
the tiers-etat would depend upon the response which the clergy
and the nobles should make to the invitation; that a final invita-
tion would be sent, however, in case the orders should persist in
separation, and that subsequently those deputies who should be
present in the general hall should proceed as the states general
of the nation. The same and similar views are repeatedly ex-
pressed by the deputies previous to June 10, when this policy of
a last invitation and of the organization of the assembly of the
commons began to be actually carried out. But up to that time

'Gaultier de Biauzat, II, 31-37.

4 Carl Christ ophelsmeier

the deputies of the tiers-etat succeeded remarkably well in their
policy of inactivity.

While the commons avoided every appearance of organization,
they did, for temporary convenience, namely for the purpose of
intelligent deliberation, allow the senior deputy to act as presiding
officer and several other members, those just beneath him in age,
to assist him in his functions. This policy of inactivity was the
very best course for the assembly to follow, for the deputies of
the tiers-etat were not yet ready to take the decisive step of con-
stituting themselves which they later took. It was essential for
the members to move slowly until an esprit dc corps had been de-
veloped. The deputies became in time better acquainted with
each other and with each other's wishes and demands. They
learned the demands and weaknesses of the other orders and the
aimlessness of the government, and they were encouraged and
emboldened by the feeling of the solidarity of their own interests
and by the moral support which they constantly received both
within and without the assembly. 1 The public associated itself
with the discussions of the deputies assembled in the general hall
which was usually filled to overflowing with spectators. The
applause or hisses of over two thousand men and women helped,
at times, to excite the assembly to fever heat. Reports of the
deliberations were sent to Paris and to the provinces. Every-
where men gathered in groups to discuss the problems before the
states general. The strength of the third estate grew daily, while
that of the privileged orders decreased as steadily.

After a first unsuccessful attempt on the part of some of the
deputies of the tiers-etat to constitute their body as an active as-
sembly, another, more earnest and much more systematic effort
to organize was made on May 14. Learning that the deputies of
the tiers-etat were opposing verification of credentials by orders
and waiting for the deputies of the clergy and of the nobles to
join them and verify the credentials in common, the clergy had
suspended verification of their credentials on May 7. Moved by

'Gaultier de Biauzat, II, 32, 52. La revolution frangaise, XXIII, 357, 362,
471.

The First Revolutionary Step 5

an invitation received on that day from the commons, they be-
gan to consider plans that might conciliate the three orders,
or at least enable the clergy to withdraw from the struggle be-
tween the orders and thus assume a neutral attitude. 1 As the
deputies of the privileged orders refused to assemble in one
chamber in order to consider the question of organization, the
only way in which the matter could be discussed was through
conferences of commissioners appointed by each of the three
orders. The clergy, after debate, decided to elect such commis-
sioners and invited the nobles and the tiers-etat to do the same.
This action was extremely wise on the part of the clergy, espe-
cially on the part of the higher clergy, who, while remaining
neutral, could thus control a majority which sympathized with
the interests of the third estate. And was it not in keeping with
the self-chosen mission of the church to preach peace and har-
mony? In the meantime, the clergy could remain inactive and
need not take either side. It did not compromise its position to-
wards either order ; it put itself in a most favorable light with
the outside world; and, in the end, it could join the winning side
without any loss of prestige which might result from the con-
troversy. When the nobles resumed their session on May n the
deputation of the clergy presented its plan. After careful con-
sideration they decided, on May 12, to comply and elect com-
missioners. The following day they sent a deputation to the
other two orders to announce their decision. The Due de Praslin
as spokesman said to the commons that he would read the reso-
lutions passed by the order of the nobility which would show
them its desire to maintain the fraternal union. A resolution
of May 6 stated that the president and the twelve senior
members were appointed as a committee on credentials, another
of May 11 that those deputies whose credentials were verified
without being contested were constituted as "the chamber of the
nobility," and a third of May 12 that it accepted the proposition
of the clergy and would name commissioners to meet the com-

1 Rccit, 15-17, 18-19; Etats-generaux, 19-21; Biauzat, II, 59-60; Conrrier
de Provence, Lettre I.

6 Carl Christ ophelsmeier

missioners of the other two orders. 1 This information caused a
fiery discussion among the commons which ended only on May
1 8. Immediately after the deputation had left the hall, attention
was called to the gross inconsistencies on the part of the nobles ;
it was asked of what earthly use it was to adopt the plan of
appointing conciliatory commissioners when the nobles had al-
ready definitely constituted themselves as a separate and inde-
pendent order. And how revolting were the words of the Due
de Praslin when he spoke of the desire of the nobles for fraternal
union, when they had shown, by their very action of constituting
themselves, just the opposite desire. The debate was interrupted
by the arrival of a deputation of the clergy, which again pre-
sented the plan of May 7, giving as an explanation for this repeti-
tion that on the former day the tiers-etat had requested the prop-
osition in writing. 2 On May 7 the commons had neither ac-
cepted nor rejected the proposition of the clergy. But since the
nobility had now accepted it, the situation had changed. It was
at this time most essential for the deputies of the tiers-etat to
maintain the full confidence of their constituents and also not
openly to offend or defy the privileged classes, including the king
and the court. They could not afford to appear arbitrary and
irreconcilable in the eyes of the people. When the question
whether commissioners should be elected or not came up in the
commons on May 14, Rabaut de Saint-Etienne proposed that
sixteen deputies be selected to meet with the commissioners of
the clergy and of the nobility to hear their propositions ; that the
commissioners should occupy themselves, however, only with
plans favorable to the union of all the deputies of the states gen-
eral. "The commissioners elected must never abandon the prin-
ciple of vote by head and of the indivisibility of the states
general." 3

1 Recit, 15-17; Etats-generaux, 20, 28-29, 30-31; Duquesnoy, I, 14; Biau-
zat, II, 36, 59-60 ; Courrier de Provence, Lettre III, 2-4.

2 Recit, 17-19; Courrier de Provence, Lettre III, 2, 4-5; Biauzat, II, 56;
Duquesnoy, I, 17-19. The lofty and haughty manner in which the Due de
Praslin read the decrees of his order offended the commons even more
than the decrees themselves.

3 The Etats-generaux, 31-33, and the Journal des etats-generaux, I, 23-27,

The First Revolutionary Step 7

The motion was conservative. Le Chapelier immediately
proposed more radical action. 1 He said that the nobles had
shown that they would not join the commons, and a compromise
between vote by person and vote by order was impossible. He
proposed, therefore, that "the deputies of the commons of France
declare that they recognize for legal representatives only those
whose credentials shall have been examined by commissioners
named in the general assembly by all those who have been called
to compose it, because it pertains to the 'corps de la nation' as
well as to the 'corps privilegies' to know and to decide upon the
validity of the credentials of the deputies who present them-
selves ; every deputy is a member of the general assembly and can
therefore receive from it alone the sanction which constitutes him
a member of the states general. And since public opinion is the
first and chief care of the national assembly, and since it can only
be established by common deliberation, the deputies of the com-
mons can not allow that, by some special resolution of chambers
which remain isolated, the principle is assailed that each deputy
is, after the opening of the states general, no longer the deputy
of an order, but that all deputies alike are the representatives of

put the motions and speeches of Rabaut de Saint-Etienne and of Le Chap-
elier on May 13 by mistake. The commons did on May 13 begin to
discuss the mission of the nobles and got quite wrought up about it; the
deputation of the clergy ended the debate on that day, however, for, imme-
diately after it had left, the session was adjourned to nine o'clock the
following day. Perhaps the commons felt that this postponement of the
discussion was advantageous. All the other sources set the time for the
motions on May 14. Both Duquesnoy (I, 17-19) and Biauzat (II, 50-57),
writing the evening of May 13, fail to mention the motions when they
speak of the deputation of the clergy and of the nobility. And both, writ-
ing again on May 15 (I, 19-22 and II, 57-63), speak of them as having
been made the day before. Recit, 19 ; Revue dc la revolution, XI, Docu-
ments inedits, 12-14.

x Our sources of information for the debate on May 14th are, Recit,
19-22; Duquesnoy, I, 19-23; Biauzat, II, 57-59; La revolution frangaise,
XXIII, 365-67; Revue de la revolution, XI, Documents inedits, 12-16;
Courrier de Provence, Lettre III, 6-7, IV, 1-4; Etats-generaux, 31-33. It
is explained in the preceding note that the Etats-generaux, 31-33, and the
Journal des etats-generaux, I, 23-27, by mistake, put the two motions of
Rabaut de Saint-Etienne and Le Chapelier on May 13. Malouet made his
motion on May 15, however, so both of these works make the same mis-
take again. See Biauzat, II, 58; Courrier dc Provence, Lettre, IV, 4-7.
Duquesnoy, I, 23, puts Malouet's motion on May 16 even.

8 Carl Christ ophelsmeier

the nation — a principle which should be accepted with enthusiasm
even by the clergy and by the nobles themselves and which ought
to influence them in the determination to unite themselves with
the commons in the general hall, where they have been awaited
for the last ten days, and of forming themselves into the states
general in order to verify the credentials of all the representa-
tives of the nation. The deputies of the commons invite those
of the clergy and the nobles who have received special instruc-
tions to deliberate in common, and those who, free to follow this
patriotic impulse, have already manifested their willingness to
do the same, to give an example to their colleagues by coming
and taking the place destined for them.

"It is in this general assembly, it is in this union of all the sen-
timents, of all the wishes and of all the votes, that will be deter-
mined, upon the principles of reason and of equity, the rights of
all the citizens. . . . Those who will still delay the accom-
plishment of such important duties- — labors that will assure public
happiness and the splendor of the state — are responsible for their
actions to the nation.

"The deputies of the commons vote that the present delibera-
tion shall be sent to the deputies of the clergy and of the nobles,
in order to call their attention to the obligations which the role of
national representatives places upon them."

Le Chapelier had prepared his motion with great care. It con-
tained the essential points of the fundamental question of vote by
person or by order which had been discussed for months. It was
practically the same as that presented to the assembly by Sieves
on June 10. Between May 14 and June 10 more and more dep-
uties were prepared to carry it into immediate execution, so that
by the latter date the tiers-etat could, because of the unanimity
of its members, take the action outlined in this motion with a
high degree of success. But even on May 14 Le Chapelier did
not speak for himself only ; he was the appointed spokesman of
other deputies. The nucleus of the supporters of Le Chapelier's
motion was the Breton deputation, of which he was the most
prominent member.

Previous to the deputations of the nobles and of the clergy on

The First Revolutionary Step 9

May 13 the Breton deputies strongly favored the policy of in-
action, waiting for the deputies of the other orders. Delaville
Le Roulx writes to his constituents of Lorient on May 8 that he
tried to convince Malouet on the evening of May 6 that the plan
of sending a deputation to the other orders inviting them to join
the deputies of the tiers-ctat was unwise. Legendre writes on
May 13, most probably before the deputations of the nobles and
of the clergy, that the commons hesitated "still to constitute
themselves as representatives of the nation." 1 And Boulle writes
on May 15 that the commons had persisted in their policy of in-
action, waiting patiently for the appearance of the deputies of
the clergy and nobility ; that the deputation of the nobles on May
13 had changed the situation, however. "It was a little late when
this deputation was received ; we adjourned therefore at two
o'clock as usual without taking any action in regard to it. But
yesterday morning [May 14] it was said that the intentions of
the nobles were now known ; that the proper moment for action
had therefore arrived." He then gives a good analysis of the
two motions and of the debate that followed. He does not men-
tion the fact, however, that Le Chapelier had been appointed, nor
that his motion was supported by the Breton deputies, which he
does in his succeeding letter written on May 22. 2

Since the deputations of the nobles and of the clergy on May
13, the commons, wherever they met, discussed the plans they
should adopt in regard to the other orders. The more they talked
about the action of the nobles the more offended and excited they
became. During the last week their hopes in the eventual union
of the orders had steadily increased. They learned that they
would all stand together in case of danger ; but a peaceful ad-
justment was expected, for more and more deputies of the clergy,

1 La revolution frangaise, XXXIX, 521-22.

-Revue de la revolution, XI, Documents inedits, 11-20. "Cette seconde
motion venait de la Bretagne ; elle avoit ete convenue entre nous, et M.
Chapelier charge de la presenter l'avoit fait avec applaudissement," p. 16.

Kerviler, Rene : Etude biographique sur Baudouin de Maisonblanche,
16. ... L'autre, de M. Le Chapelier. combinee la veille dans une

assemblee particuliere des Bretons." University Studies, published by the
University of Nebraska, II, no. IV, 247, study by "Dr. Charles Kuhlmann.

io Carl Christ ophelsmeier

among them some of the superior prelates, and of the nobles,
among them men of the greatest influence, had expressed their
willingness to join them at the first favorable opportunity. But
this hope was now lost. Even some of the more moderate among
the tiers-etat interpreted the action of the nobles, not only as most
insulting but as a veritable declaration of war; the gauntlet had
been thrown into the arena; it was necessary to pick it up. It
was said that a hundred nobles had declared that they would shed
the last drop of their blood before they consent to vote by person.
It was for these reasons that many deputies of the commons
who up to that time had favored delay decided on the afternoon
and evening of May 13 that the proposition of the clergy should
not pass the following day. More delay was considered not only
useless but even dangerous ; the nobility would never be per-
suaded to join the commons, and the people were becoming rest-
less and demanded the organization of the states general ; the
commons would be compelled in the end to decide by their most
resolute action the controversy in favor of vote by head anyway.
They should decide it, therefore, at once, and then pursue an
active policy.

The commons decided immediately after the two opposing
motions were made that both should be considered together and
that every deputy should be given the opportunity of expressing
his opinions upon them before the roll should be called a second
time for the vote. We must not infer, however, that those who
clamored for a second speech were refused the floor.

The idea that the commons ought still to wait a short time
before organizing themselves was developed by various deputies
in their speeches. 1 Boissy d'Anglas counseled moderation and
delay. "You have, gentlemen," he said, "to struggle in this mo-
ment against the natural arrogance of a courageous nobility,
which believes that it must not take one step backward. In pre-
senting yourself before it in such a direct manner, you exasperate
it and arm it necessarily against you, while the voice of media-
tor the account of the sessions of May 15 and 16 see: Recit, 22-24;
Biauzat, II, 57-59, 63-65 ; Revue de la revolution, XI, Documents inedits,
13-14 ; La revolution frangaise, XXIII, 366 ; Duquesnoy, I, 19-25.

IO

The First Revolutionary Step n

tion may cause them to yield to persuasion. For these reasons,
gentlemen, I favor the proposition of Rabaut de Saint-Etienne,
but I do not reject the motion of Le Chapelier, which I only con-
sider premature at the time. It seems well that we proceed step
by step and advance slowly enough in order to be never forced
to retreat." 1

Another deputy favored Le Chapelier's motion, 2 but only after
the conferences had proved unsuccessful. He said : "Gentlemen,
the two motions presented yesterday appear to me equally judi-
cious ; but the first for the present, the second for the future ;
the one is an actual working plan, the other indicates to us what
we may do in several days. The honorable members who have
submitted these propositions to -the discussions of the representa-
tives of the nation merit at once our eulogy. . . . Without
doubt, gentlemen, it is indeed necessary to act alone if the two
privileged bodies, insensible to our patriotic invitations, wish to
consider the questions, which are already decided, of the union
of the orders and the vote by head." To the objection made that
the conferences would bring about no conciliation, he answered :
"Granted, but is it not a success to conquer our constituents, to
convince them that we have deliberated before we have acted?"
And to the argument of losing time, he replied that it was no ob-
jection at all. "Instead of to-day, we shall be fully as well situ-
ated in a week to give to Chapelier's motion every attention that
it merits ; in a week, I assure you, judging from the reception
that it has received, we shall find ourselves here with the same
principles, the same firmness, the same patriotism ; in a week,
reinforced by the deputation from the capital, we shall not ex-
pose ourselves to the reproaches of having taken a decision, so
infinitely important, without the cooperation of a portion, as con-
siderable as precious, of our colleagues."

During these days of debate, in the beginning of every session,
Rabaut de Saint-Etienne's motion seemed to be favored, but

1 Journal des etats-generaux, I, 32-36.

I Journal des etats-generaux, I, 36-43. This speech seems not to have
been given in the assembly. Our source says, p. 36, that "le temps ne
permet pas a l'un des deputes de [le] lire publiquement a l'assemblee."

IT

12 Carl Christophelsfneier

when the members were stirred up by the discussion they became
bolder and Le Chapelier's more resolute proposition gained sup-
port. 1 It was then that such revolutionary ideas as the following
were expressed : "the licrs-ctat is the nation, the privileged classes
are only small fractions thereof ; my opinion is that we ought to
go and declare it to them to-day, or tomorrow at the latest, and
that we act upon this principle" ; "a nation ought to exist
without privileged classes" ; "until today we have remained in-
active, but it is the slumber of the lion, which when it is awak-
ened rushes more ferociously upon its prey." Duquesnoy wrote
that the motion of Rabaut de Saint-Etienne would probably carry,
"but I doubt not that before the end of the month the tiers will
determine to declare that it is the nation, that it alone is the
nation. "-

Practically all the deputies of the tiers-etat agreed with Le
Chapelier that they should constitute themselves as a national
assembly with as many deputies of the clergy and of the nobles
as would join them. They disagreed only as to the most suitable
time for taking this action. This vacillation showed in itself
that the third estate was not yet ready to take the decisive step.
The leaders, such as Mirabeau, saw this, and, for this and other
reasons already mentioned, they counseled delay. Mirabeau pro-
posed a compromise between the two conflicting plans. He
showed the merits and demerits of the two motions. But the
motion of Rabaut, he considered weak, suppliant, and therefore
humiliating to the commons. He suggested therefore that they
invite the clergy, not the nobility, "because the nobility orders
while the clergy negotiates." He said that the nobility could not
be conciliated. 3

"Biauzat, II, 64-65.

2 Duquesnoy, I, 19-20, 22.

3 Courrier de Provence, Lettre IV, 8-17. Mirabeau spoke on May 15,
for on the evening of that day Duquesnoy (I, 22) writes: "Le comte de
Mirabeau a voulu parler moderement, mais il n'a pu faire taire son car-
actere longtemps ; il a perce bien vite. . . ." The Rccit, 22-23, gives
the import of it under the date of May 15. The secret agent to a minister
speaks of it on May 17 in a letter written at Paris (La revolution fran-
caisc, XXIII, 366). He writes for the first time about the motions of
"Rabaut de Saint-Etienne, Le Chapelier, and Malouet and says that Mira-

12

The First Revolutionary Step 13.

On May 16 Target appeared for the first time in the assembly
and strongly favored the election of commissioners. He had
been president of the electoral college of the tiers-etat of Paris,
was elected deputy of Paris (beyond the walls) and as such and
because of his ability and popularity had a great deal of influence. 1
Rabaut de Saint-Etienne, accepting various suggestions made in
the course of the long discussion, made two amendments to his
motion. Commissioners to meet those chosen by the other orders
should be elected, but with the understanding (1) "to limit the
conferences of the commissioners to the question of verification
of credentials in common" and (2) "to oblige these commission-
ers to render a written account of the conferences." Until the
end of the session these amendments were principally discussed. 2 '
On Sunday, May 17, the deputies took a holiday. Just as soon
as the first roll call was ended the next morning, the second call
was started. The motion of electing commissioners with the two
amendments was adopted by a very large majority. The com-
missioners elected were therefore not allowed to discuss the ques-
tion of a single or separate chambers. 3

The first two conferences of the conciliatory commissioners
were held on May 23 and May 25. Long arguments ensued.
The commissioners of the nobility attempted to prove historicallv
that the credentials of the deputies to the states general had been
verified in separate chambers, while the commissioners of the

beau, Volney, and Target discussed them. Mirabeau's journal itself states,
(p. 8) after having reproduced Malouet's motion, which it says was made
on May 15, that the debate was continued until May IS, but that it would
give only one discourse which in a sense was a resume of the whole dis-
cussion. The speech is without doubt that of Mirabeau ; his speeches were,
however, revised at times before they were printed.

1 Proces-verbal . . . des elect eurs de Paris, I, 4-54.

2 Accounts of the session of May 16 are found in the Recit, 23-24; Revue
de la revolution, XI, Documents incdits, 15-16; Duquesnoy, I, 23-25; Biau-
zat, II, 65; La revolution francaise, XXIII, 366.

3 Biauzat, II, 68, says that seven voted for the first motion, thirty-three
for the first motion with the first amendment, and three hundred and
twenty for the first motion with the two amendments, and sixty-six for
the second motion. Revue de la revolution, XI, Documents incdits, 16,
Boulle says that sixty-six voted for the second motion and that the first
with its two amendments had a plurality of three hundred and twenty
votes. Recit, 24 ; Etats-generaux, 44.

13

14 Carl Christophelsmeier

third estate, appealing to justice and reason, claimed that a na-
tional assembly was indivisible, that the credentials ought to be
verified in common. 1 The discussion turned, therefore, alto-
gether about the question of verification of credentials, for the
commissioners had been instructed to confine themselves to it
wholly. They were not permitted to touch the real question at
issue — vote by head or by order. This command, together with
the choice for commissioners of uncompromising deputies, shows
that nothing good was expected from the conferences as far as
the question under discussion was concerned. 2 The results of the
conferences were foreseen. Duquesnoy wrote: "It is very evi-
dent that these conferences can produce no other effect than to
cause greater irritation and antagonism." Again, "The nobility
will never adopt the vote by head, the tiers-etat never vote by
order, and the nobility will refuse the common verification of
credentials. The nation alone has the right to verify them; it is
therefore necessary for the tiers to declare itself the nation." 3
Another writer, a close observer, wrote: 4 "If this conciliatory

1 Recit, 36-37; Duquesnoy, I, 45-47; Courrier de Provence, Lett re VI, 2;
Biauzat, II, 80-82.

2 The commissioners of the commons were in order named: Rabaut de
Saint-Etienne, Target, Chapelier, Mounier, Dupont, D'Ailly, Thouret, Le
Grande, Milscent, Salomon, Volney, Redon, Viguier, Garat l'aine, Ber-
gasse, Barnave. See Recit, 25 ; Duquesnoy, I, 27-28 ; La revolution fran-
caise, XXIII, 443-44 ; Biauzat, II, 70-71. Those of the nobility : Bouthilier,
le due de Luxembourg, La Queuille (de), d'Antraigues, de Pouille, le due
de Mortemart, de Cazales, de Bressand. See Courrier de Provence, Lettre
IV, 19 ; Biauzat, II, 72. Those of the clergy : L'archeveque de Bourdeaux,
l'eveque de Langres, Coster, chanoine de Verdun, Dillon, cure, Richard,
Thibault, cure, Lecesve, l'archeveque de Vienne. See Courrier de Provence,
Lettre II, 10. Biauzat, II, 72.

3 Duquesnoy, I, 32, 33, 37. Bulletin written on May 22.

*La revolution frangaise, 367. Under the date of May IS. Also on May
23 (488), the writer expresses the same idea: "Tous les partis ne pensent
et ne s'occupent dans ce moment- que de la question qui divise les trois
ordres. Celui du tiers parait reunir la tres grande majorite des citoyens
et l'on pense generalement que les deux premiers ordres seront forces de se
reunir a lui. . . . En tout evenement, on assure que le tiers se con-
stituera en corps national et que la noblesse jouera un mauvais role. On
dispose les provinces d' apres ce principe et ceci merite l'attention la plus
serieuse." Herault de la nation, vol. for 1789, no. 46. In the Herault de la
nation of May 22, after the motion of Chapelier is discussed, the writer
says, "D' apres l'exposition de leur marche, et si la reunion desire n'a pas
lieu, les communes sont, a ce qu'on assure, determines a se declarer l'en-

14

The First Revolutionary Step 15

undertaking on the part of the tiers does not bring about the
union of the first two orders with the third, in order to verify
credentials and then vote by head upon all questions submitted
to the decision of the states general, it appears decided that the
tiers will constitute itself as a national assembly and act in this
capacity without the participation of the first two orders."

The report from the commissioners of the conferences was
taken up in the assemblies of the three orders on May 26, but the
third estate did not act upon it until May 27. It profited, there-
fore, by the action of the other orders on the report. 1 The no-
bility decreed again that the credentials should be verified sep-
arately. 2 This decree was read in the assembly of the commons
on the morning of May 27 and brought about another attempt
of the radical party to organize the assembly. 3 The deputies
were indignant that the nobility followed such a two-faced policy
as taking part in conciliatory conferences and declaring itself at
the same time constituted as a separate chamber, two diamet-
rically opposite plans. 4 Chapelier's motion of May 14 was in
substance often repeated and was gaining more supporters. An-
other step towards the realization of the principle of vote by
head was taken on May 27. Mirabeau's advice of May 18 was
accepted — the nobility was dropped out of consideration 5 — and

semble de la nation, a se constituer comme ses representants naturels et
legitimes, et en cette qualite, a s'occuper des affaires publiques, conjointe-
ment avec ceux de 1'eglise et de la noblesse qui voudront se joindre a
elles." Biauzat, II, 88.

l Recit, 37 ; La revolution frangaisc, XXIII, 451-52, 454.

^Recit, 38; Biauzat, II, 86; Duquesnoy, I, 48: "La noblesse a arrete
. . . qu'elle se tenait de nouveau pour bien constituted, les pouvoirs bien
verifies." La revolution frangaise, XXIII, 452. It was announced to the
commons by other commissioners that "l'ordre de la noblesse s'etait de-
cidement refuse a la reunion, demande la verification en commun des
pouvoirs des deputes de tous les ordres."

3 Recit, 38 : "Pour cette tenue d'etats-generaux, les pouvoirs seront
verifies separement, et que l'examen des avantages on des inconvenients qui
pourraient exister dans la forme actuelle sera remis a l'epoque ou les trois
ordres s'occuperont des formes a observer pour l'organisation des prochains
etats-generaux."

i Rccit, 3S ; La revolution frangaise, XXIII, 454-55: "Cette declaration
a faite une sensation incroyable dans l'esprit de tous les members; tin bruit
sourd annongait l'indignation."

5 Recit, 39 ; Duquesnoy, I, 48 : "Toute idee de reconciliation avec la

T5

1 6 Carl Christ ophelsmeier

since many of the cures expressed themselves as willing and even
desirous of joining the assembly of the commons, it was decided
to wait a short time longer and to bring the greatest pressure to
bear upon the clergy in order to persuade them to take the de-
cisive step, to join the assembly of the commons at once. 1 The
following summons was drawn up : "Gentlemen, the deputies
of the commons invite the gentlemen of the clergy, in the name
of the God of peace and of national interest, to unite themselves
with those deputies in the hall of the general assembly, in order
to consider plans which will bring about concord, that at present
is so necessary to public welfare/ 2 This proposition was ac-
cepted unanimously and was carried to the hall of the clergy by
a large number of deputies. 3 This invitation, couched in such
solemn language, together with the solemn and imposing depu-
tation, worked like a charm upon the clergy. A large number
wanted to accept the summons at once ; they did not care to de-
liberate upon the subject. Nevertheless a violent discussion
arose ; the cures forgot their clerical subordination. The ques-
tion did not come to a vote, for it was already late in the day
when the deputation appeared, and by the next day much of the
enthusiasm at first manifested had disappeared ; the higher clergy
had again control of the chamber. 4 The deputies of the third

noblesse a ete rejetee, et jamais la haine contre cet ordre, le mecontente-
ment qu'inspire sa resolution ne s'est si clairement manifeste."

1 Rccit, 38-39; Courrier de Provence, Lettre VI, 3: "Le 27, plusieurs
membres ayant declare qu'ils avaient regu, de la part des ecclesiastiques de
leurs baillages, de pressantes invitations pour que les communes fissent
aupres de leur ordre une demarche solennelle, qui deciderait infailliblement
le clerge, a une reunion dans la salle nationale."

2 Recit, 39 ; Courrier de Provence, Lettre VI, 7 ; Biauzat, II, 85 ; Duques-
noy, I, 48; La revolution francaise, XXIII, 454.

3 Ibid.

*Recit, 39 ; Duquesnoy, I, 50 : "II parait que la levee de la seance est
l'ouvrage du haut clerge, qui a craint que les cures ne prissent une deter-
mination favorable au tiers. Au reste, je suis convaincu qu'on exagere
beaucoup les dispositions des cures, parmi lesquels le plus grand nombre,
subjugues par les eveques ou maitrises par leurs interets personnels, ne se
preteront jamais a l'opinion par tete" ; Courrier de Provence, Lettre VI, 7;
Biauzat, II, 86-88, 91 : "Le haut clerge apergut sensiblement la disposi-
tion des cures a se rendre dans la salle de l'assemblee nationale. En con-
sequence, et n'ayant pu eluder cette deliberation par les delais proposes, il
chercha un moyen de rompre la deliberation meme" ; La revolution fran-

16

The First Revolutionary Step 17

estate were disappointed. They had considered this invitation
of such vast importance and they knew that in order to bring the
cures to the general hall it had to be done in the heat of enthusi-
asm, that some of them decided not to separate until they had
an answer from the clergy. But the attempt once more failed.
Had the clergy joined at this time, the outcome would probably
have been the same as later, namely the union of the three orders.
As it was, the invitation had the effect of stirring up more en-
thusiasm in favor of the cause of the third estate and also of
frightening the privileged classes, who appealed to the king for
assistance, and with some success, for the next day a letter
from him urged the three orders to renew the conciliatory con-
ferences in the presence of royal commissioners. 1 Thus while
the commons believed themselves on the point of escaping from
their embarrassments-^ nd of reaching a solution of the disputed
question, they saw themselves cast back into a series of inex-
tricable difficulties. Mirabeau wrote : "This letter has become
the object of the most important discussion which the commons
have had so far." 2 Some deputies favored the continuation of
the conferences, "but a great number of speakers, and especially
the Bretons," opposed further conferences. They gave two rea-

gaise, XXIII, 454-55 : "Le tiers a paru persuade que tous les cures et
meme quelques eveques etaient decides a l'adopter- sans reserve et sans
delai ; on attendait d'un moment a l'autre une reponse favorable du clerge
et Ton etait resolu de ne pas se separer sans l'avoir recue. . . . Le tiers
est persuade que le haut clerge a cru prudent et convenable a ses principes
de gagner du temps. Cette ruse ne parait pas l'alarmer. II compte
d'autant plus stir la fermete des cures, qu'on leur a insinue que, s'ils varia-
ient dans leurs principes, ils feraient sagement de ne plus paraitre dans
leurs benefices. On espere que dans la seance de demain (May 28) la
reunion du clerge et du tiers sera arretee. Que cette reunion ait lieu ou
non, le parti du tiers parait pris sans retour; il se constitue tout de suite
en corps national et s'adresse seulement au roi pour commencer la tenue
des etats-generaux."

^Recit, I, 42; Conrrier de Provence, Lettre VII, 2; Duquesnoy, I, 52-53;
Biauzat, II, 91. Biauzat says that during the night of May 27 to 28 from
twenty-five to thirty bishops met and agreed to ask the king to use his au-
thority or his influence in favor of the continuation of the conferences.

'Courrier de Provence, Lettre VII, 3 : "Cette lettre est devenue l'objet de
la plus importante deliberation qu'aient encore debattee les communes ;" Du-
quesnoy, I, 53 ; La revolution francaisc, XXIII, 455-57. When a commit-
tee of the clergy announced to the commons that the king had sent a letter,
the writer says : "Pour se faire une idee de la surprise du tiers-etat et des

VJ

1 8 Carl Christ ophclsmeier

sons : the uselessness of the conferences was well demonstrated,
and, secondly, they feared that the king, in taking up the matter,
might wish finally to decide the question which the representa-
tives of the nation alone should decide; they desired that the
assembly "constitute itself at once as national assembly." 1 Had
the leaders at this time championed the demand for action, they
might have been successful, but they saw more clearly than ever
the advantages of delay and the inconveniences that might result
from a refusal. The leaders feared to alienate at the same time
the government and public opinion, to compromise the future by
appearing too arbitrary. Even Chapelier counseled compliance
with the wishes of the king. His motion was a curious one. He,
as well as Mirabeau, saw that the king had to be reckoned with,
and they favored the sending of an address to the king in which
it should be assumed that he had convoked a national assembly
which was indivisible. 2 Mirabeau proposed : "The king has ad-
dressed to us a homage filled with goodness ; let us present to
him an address full of love, an address in which we consecrate

murmures que la deputation a excites dans la chambre, il faut en avoir ete
temoin. II n'y avait qu'une voix pour se plaindre de la conduite du clerge,
de ses ruses et de ses perfidies. Revenus de leur etonnement, quelques
membres ont fait des motions relatives a l'objet de la deputation."

1 Duquesnoy, I. 53: "Mais un grand nombre de vcix, et notablement les
Bretons, s'opposerent a ce qu'on assistat aux conferences: °1 a raison de
leur inutilite demontree; 2° dans la crainte que le roi ne prononcat sur une
question que la nation doit seule juger, et ils voulaient que Ton se con-
stituat a l'instant en asseniblee nationale" Archives parlementaires, VIII,
5S ; Courricr dc Provence, Lettre VII, 2; La revolution frangaise, XXIII,
456-57.

2 Recit, 46-4S : "II sera fait a Sa Majeste une tres humble adresse, pour
lui exprimer l'attachement inviolable de ses fideles communes a sa personne
sacree, a son auguste maison, et aux vrais principes de la monarchic ; pour
temoigner a Sa Majeste leur respectueuse reconnaissance de ce que, dans
sa sagesse et sa bcnte pour ses peuples, Sa Majeste a convoque, non trois
assemblies distinctes de trois ordres separes d'interets et de vues, mais
Vassemblee nationale, ... les communes du royaume ont autorise leurs
commissaires a assister a la conference a laquelle Sa Majeste a daigne les
inviter, et l'informer en meme temps qu'intimement convaincues que les
deputes des differents ordres sont deputes a une seule et meme assemblee,
Vassemblee nationale, la verification de leurs pouvoirs ne peut etre defin-
itivement faite et arretee que dans I'assemblcc nationale; et determinees,
comme elles y sont obligees par les ordres de leurs commettants, a ne re-
connaitre pour deputes a Vassemblee nationale que ceux dont les pouvoirs
auront ete verifies et approuves dans ladite assemblee. . ." Chapelier
favored the constitution of the conferences asking that the commissioners

i8

* The First Revolutionary Step 19

both our sentiments and our principles." 1 Some deputies made
mention of the fact that on that very day — in the morning ses-
sion of May 28 — the assembly of the nobility had formally de-
clared itself in favor of orders, and that it would persist in
upholding this principle. These deputies maintained that a con-
tinuation of the conference was entirely useless, that every attempt
to conciliate the nobility would fail. 2 The clergy, and the no-
bility too, accepted the king's request to continue the confer-
ences. 3 The commons did the same, though with great reluctance
and on the condition that "of each session a proces-verbal shall
be drawn up and signed by all those who have taken part in the
conferences, in order that the conferences may not be called into
question." 4 The deputies of the third estate accepted the king's
invitation because it was policy for them to do so; they did not
wish, nor could they afford, to be considered obstinate by the
public.

The conferences were renewed, the commissioners of the king
being present. 5 Seemingly trivial matters were discussed, such
as whether the minutes of the sessions should be kept. There
was disagreement in regard to having a secretary, and, after it
was decided that there should be one, a discussion ensued as to
whether he should be chosen from one of the commissioners

of the commons "feront tous leurs efforts pour que cette conference ait
lieu dans la salle commune . . . lorsqu'il s'agit des droits les plus
precieux des communes, elles ne peuvent prendre ni juges ni arbitres."
La revolution frangaise, XXIII, 458; Duquesnoy, I, 53-55; Courrier de
Provence, Lettre VII, 13.

1 Courrier de Provence, Lettre VII, 4; Duquesnoy, I, 56.

2 Recit, 44; La revolution frangaise, XXIII, 457: "Qu'a voulu dire le
roi en nous annongant ses intentions de vouloir contribuer directment a
une harmonie si desirable et si instante? Nous sommes les maitres des
moyens a employer et son intervention est prejudiciable a nos droits. Que
produiront de nouvelles conferences ? Le parti de la noblesse est pris et
la trahison du clerge est manifeste."

'Duquesnoy, I, 52; Biauzat, II, 96.

4 Recit, 48-49, 57-5S ; Courrier de Provence, Lettre VII, 14, 15; Biauzat,
I, 89-90, 93; La revolution frangaise, XXIII, 458-59; Duquesnoy, I, 56.

5 Recit, 56-59, 64-68, 68-74. The king's commissioners were: MM. le
garde-des sceaux, "le due de Nivernais, de la Michodiere, d'Ormesson,
Vidaud de la Tour, Chaumont de la Galaiziere, le comte de Montmorin,
Laurent de Villedeuil, le comte de la Luzerne, le comte de Puysegur, ie
comte de Saint-Priest, Necker et Delessart." Biauzat, II, 94-95.

19

20 Carl Christophelsmeier

or from outside the assembly. The deputies of the nobility-
most resolutely refused their signature to the proces-verbal, if
the commissioners of the third estate gave to their order the title
of communes. 1 Bailly wrote : 2 "To call themselves the com-
munes de France was, in the eyes of the nobility and of the clergy,
almost the same as to call themselves la nation." The deputies
of the third estate from the very opening of the states general
had assumed the name of commons ; they did not wish to appear
the deputies of the third estate and they opposed the idea, that
the nation consisted of three estates. France was a nation, one
estate, and they claimed that all the deputies to the states general,
or the national assembly, equally represented this nation. The
fact that the deputies of the third estate called themselves the
commons is very significant; it shows how and what they con-
sidered themselves, and it helps to explain their purpose in this
struggle with the other orders. 3

After the commissioners of the nobility had wearied the other
commissioners by raising objections to their requests, the real
question was considered. The old arguments in regard to the
verification of credentials were repeated until all the commission-
ers became utterly impatient with the discussion. 4 Finally on

1 Recit, 64, 89-93; La revolution frangaisc, XXIII, 522-23, 471; Du-
quesnoy, I, 69-70; Biauzat, II, 95; Bailly, I, 95, 97-99, 104-7.

2 Bailly, I, 95.

3 The Breton deputies, being organized, had perhaps the most advanced
ideas ; they had a great influence upon the assembly. In the cahicr of the
Sencchaussee de Raines, {Archives parlcmcntaircs, V, 538) article two,
we read : "C'est par une erreur funeste que ce qu'on appelle le tiers-etat.
ce qui compose plus des quatre-vingt-dix-neuf centiemes de la nation, a
ete qualifie d'ordre et mis en balance avec deux classes de privilegies !-
Cette erreur doit cesser, et ce qu'on a jusqu'ici nomme le tiers-etat dans le
royaume, sera compris avec ou sans les privilegies sous la meme denomi-
nation et appele peuple ou nation, seuls noms qui soient veritables et qui
puissent convenir a la dignite du peuple; cette dignite sera toujours pre-
sente aux yeux de ceux qui auront l'honneur de la representer ; ils ne
souffriront pas qu'il regoive nulle part dans leur personne ou autrement
aucune humiliation . . ." Article four : "Toutes deliberations defin-
itives seront prises dans l'assemblee generale, et par tete, la deliberation
par classe des privilegies ne pouvant qu'aneantir I'esprit public, faire dom-
iner I'esprit de corps, multiplier des querelles, mettre un obstacle eternel
aux lois et aux reformes les plus necessaires ; enfin soumettre vingt-cinq
millions d'hommes aux despotiques volontes de quelques milliers d'individus."

See also Archives parte mentaires, IV, 94, the Sencchaussee de Nantes.

*Rcc,'t, 93-94; Bailly, I, 107: "La noblesse disputait le terrain pied a

20

The First Revolutionary Step 21

June 5, Necker proposed a project which he thought would con-
ciliate the three orders. 1 But this plan, that he called an ouver-
ture, was really to the . disadvantage of the third estate, and in-
stead of conciliating the commons it aroused them to action. It
really favored separate verification of the credentials. A stormy
debate arose in the hall of the third estate as to whether Necker's
plan of conciliation should be considered before or after the clos-
ing of the proces-vcrbal of the conferences, and it was decided
by a vast majority that it should be taken up for discussion only
after the conferences were terminated. 2 It was expected that
they would last but a few days. This postponement meant that
Necker's plan should not be considered at all, for how could a
subject of the conferences be considered after their close? The
commons did not grant the government any opportunity to in-
terfere in the affair of the verification of credentials and of the
vote by head or by order. They were ready to organize and were
only waiting for the end of the conferences and the signing of
the proces-verbal by the commissioners in order to act. They
thought that the minutes signed by all the commissioners would
justify their action in the eyes of the public and that it was, there-
fore, important to wait. The clergy adopted the ouverture, but
the nobility accepted it only conditionally, which was in fact a
refusal. 3

The third estate saw this subterfuge. They considered the
ouverture as an interference on the part of the government in a
question that pertained strictly to the deputies of the states gen-
eral and they became alarmed, because there were rumors of a
royal session in which the king would dictate his wishes to the
three orders. 4 On the morning of June 6, the commons began
the discussion of measures preparatory to organization, so that

pied, et c'est ce qui fatiguait les communes, c'est ce qui semait l'aigreur et
preparait tous les maux . . ." Courtier de Provence, Lettre IX, 2-11.
Mirabeau analyses the project and gives the king's purpose.

1 Recit, 74-78; La revolution frangaise, XXIII, 469-70; Duquesnoy, I, 71.

2 Recit, 78-79; La revolution frangaise, XXIII, 470-71; Duquesnoy, I,
72-73 ; Courtier de Provence, Lettre IX, 2 ; Biauzat, II, 93.

3 Recit, 81, S6; Duquesnoy, I, 71, 74; Biauzat, II, 96; La revolution fran-
gaise, XXIII, 520.

''Ford, P. L. : The Writings of Thomas Jefferson, V, 99-101; Letter

21

22 Carl Chrisiophelsmeier

in case of an emergency they could constitute themselves and act
instantly. 1 A deputy proposed rules of order for the government
of the assembly and rules which should regulate the manner of
presenting the motions, the debates, and the voting. But the as-
sembly was interrupted in this work by the appearance of a dep-
utation from the clergy which announced that the king's ouver-
ture was accepted by their order. 2 Various other questions
presented themselves so that the matter of organization had to
be set aside. Later in the day the same committee of the clergy
presented itself with a proposition which called forth from many
members of the third estate expressions of disgust against the
clergy. 3 It convinced many deputies, who heretofore had be-
lieved in the coming union of the deputies of the third estate and
of the clergy, that it was necessary for the commons to organize
and to constitute themselves alone, that they could no more de-
pend on the clergy than on the nobility. 4 This committee an-
nounced that the clergy was "profoundly touched by the misery
of the people and by the high price of grain which afflicted the
provinces," and they proposed that the three orders should ap-
point committees who together should consider plans for the
alleviation of that evil. 5 "A general murmur" and "the most
profound silence succeeded" this proposition. The note was read
once more when the committee had left the hall. Then various
motions were made, such as to ignore the proposition or to con-
sider it only after the assembly was constituted; again, that it

written on June 3, 1789; La revolution franqaisc, XXIII, 363. Troops
were assembled in the neighborhood of Paris.

1 Recit, 81; Courrier de Provence, Lettre X, 1.

-Recit, 81; La revolution franqaisc, XXIII, 520.

3 Recit, 84 ; the commons were already discontented, because of the king's
ouverture , and, furthermore, they had been humiliated by the king. La
revolution franqaise, XXIII, 469; Duquesnoy, I, 65, 70.

4 Duquesnoy, I, 76-77: "Le clerge a cherche a tendre un piege dans
lequel il est tombe lui-meme. . ." La revolution franqaise, XXIII, 521,
523 : "L'effet de cette deputation a ete de soulever tous les membres du
tiers-etat. La commotion a ete generale et tenait de l'effervescence, du
delire. Jamais, non jamais, la chambre n'a ete dans une telle agitation.
Les motions faites a ce subjet sont extremes."

5 Recit, 84; Courrier de Provence, Lettre IX, 16; Biauzat, II, 96; Du-
quesnoy, I, 76; La revolution franqaise, XXIII, 521.

22

The First Revolutionary Step 23

was necessary to answer it at once ; but a third party saw the in-
tentions of the framers of the clergy's plan, namely to entrap the
deputies of the third estate. A deputy explained the evident pur-
pose of the proposition : to accept the plan would cause delay in
constituting the assembly, and delay would have its evil and irrep-
arable consequences. But rejection would drawn down the dis-
favor of the king upon the assembly, and the public would accuse
the commons of being the cause of the misfortunes and of being
insensible to the public misery : "they will lose the confidence of
the people, and with it the means to help them." 1

Invectives against the clergy were not spared. It was pro-
posed to denounce their resolution to the king and to the nation
as seditious. 2 "Complaints against their wiles "were heard, and
against their perfidies, against their enormous riches and against
the scandal which was produced by the employment of their
wealth. It was said that the property of the clergy belonged to
the poor and that it ought to go to them." 3 This violence must
have spurred the higher clergy to greater opposition to the cause
of the third estate. The expressions used against the clergy in
this heated discussion pointed already to the abolition of the feu-
dal rights of the famous night of the 4th of August. But the
deputies of the third estate soon saw the advantage of calmer
deliberation and, artful as was the device of the clergy, the as-
sembly of the commons contained men who could meet the emer-
gency. It was suggested that before the consideration of the
proposition of the clergy, the commons should summon the depu-
ties of the clergy to present themselves in the hall of the states
general and unite themselves with the commons in order to con-
sider plans which might result in relieving the poor. It was
argued that, in case the clergy did not accept the invitation, their

1 Rccit, 84-86; La revolution francaise, XXIII, 521; Biauzat, II, 96: "On
croyait les deux parties egalement dangereuses pour le tiers-etat . . .
s'occupant d'affaires d'administration et y travaillant par commissaires
nommes separement par les chambers, on entrait en exercise d'etats-gen-
eraux; . . . et Ton entrait en exercise en chambres distinctes, ce que
le tiers-etat voudrait eviter, parce qu'il il craint de consacrer des abus."

-Recit, 85.

3 La revolution francaise, XXIII. 521; Recit, 85; Dumont, 63, 64; Moni-
teur, I, 56-57.

23

24 Carl Christophelsmeier

true disposition in this matter would be discovered and their res-
olution would seduce nobody; and if, on the other hand, they
should accept the invitation, the assembly of the commons would
accomplish its end. 1 The dean read a project to be sent to the
clergy. It was received by the commons with lively and repeated
applause 2 and was carried to the hall of the clergy by a solemn
deputation, but the attempt was again unsuccessful. 3 There was
left now no hope whatever of bringing all the deputies together
in the assembly by peaceful means ; the third estate could only
wait for the conclusion of the conferences in order to organize
as an active assembly. The conferences were closed on June 9.

But in the meantime preparations for the final step were
made. Some members were restless and wanted to organize at
once. Malouet proposed that the assembly should begin to verify
the credentials of its members and constitute itself immediately
thereafter. 4 But the most of the deputies considered Malouet's
motion premature and were wise enough to wait. They occupied
themselves with rules of order and formed themselves into twenty
committees, so that the organization, once begun, could be car-
ried on expeditiously. 5

When the dean at the opening of the session of June 9 asked if
there was any business, all were silent. No one ventured to
speak. It was the calm before the storm. But it was necessary
to kill time, as the conciliatory conferences closed that day, and
so the records of the last conferences were read a second time.
The details in the arrangement of the committees were fixed. 6

^Recit, 85; Biauzat, II, 97; Courrier de Provence, Lettre IX, 17.

2 Recit, 87; Biauzat, II, 97.

'Recti, 87.

*Recit, 96-97; Courrier dc Provence, Lettre X, 2; Biauzat, II, 99; Du-
quesnoy, I, 79-80 ; La revolution frangaise, XXIII, 523-24.

*Recit, 96, 97, 99; Biauzat, II, 99; Courrier de Provence, Lettre X, 1, 2;
Duquesnoy, I, 79, 80; La revolution frangaise, XXIII, 523, 524.

"Biauzat, II, 101: "II n'est pas meme leve un seul depute. L'on ne
sera par surpris de ce silence lorsque Ton saura que nous etions tous tenus
dans un etat d'indecision par des demi-ouvertures que Ton se faisait comme
secretement de quelques trames qui s'ourdissent pour la dissolution des
etats-generaux. L'importance de l'objet et l'incertitude des annonces for-
maient un embarras dans les bonnes tetes, et personne n'osait parler.
Cependant il faillait tuer le temps."

24

The First Revolutionary Step 25

On the evening of this day, the committees met and considered
the question of constituting the assembly, and five-sixths of them
agreed that the proper time for action had come. 1

After the bureaux had adjourned, many of the deputies and
deputations met in order to still further discuss the all-important
subject. The Breton meeting especially was largely attended.
Boulle writes on June 10 that at nine o'clock the evening before,
after he left his bureau, he "went to the hall of the Breton depu-
ties ; it was truly the temple of patriotism this evening ; all the
good citizens of all the provinces were assembled there. The
means of constituting ourselves as an active assembly were ex-
amined and discussed, and it appears that the plan of M. l'abbe
Sieves is almost generally approved." 2 Sieyes' plan had been
considered in the hall of the Breton deputies, which had become
the rallying place for a large number of deputies of other prov-
inces as well, on the evening of June 8. During the following
day and evening most of the deputies of the tiers-etat were in-
formed of it. 3 Those who up to this time had remained unde-
cided were now convinced that organization was necessary and
that further delay was dangerous, for it was widely believed that
a roval session was to be held in the near future. The commons

^iauzat, II, 102: "On a indique un local pour la tenue de chacun de
ces bureaux. Les deputes se sont rendus chacun en son bureau, sur les 5
a 6 heures du soir, pour y conferer sur le projet de reglement dresse par
les commissaires. . . II a ete question, dans plusieurs bureaux et dans
presque tous, de la necessite de nous constituer. Les cinq-sixiemes au
moins pensent que le moment est venu de faire cette demarche." La revo-
lution frangaise, XXIII, 528. The bureaus were to meet on the evening of
June 8: "L'assemblee s'est separee et les bureaux se sont ajournes pour
ce soir. Plusieurs etaient indiques dans l'hotel du grande-maitre. Quel-
ques deputes s'y sont presentes : ils ont ete econduits par les Suisses, qui
les ont assures n'avoir aucun ordre pour les recevoir. Trois bureaux seule-
ment se sont reunis dans l'enceinte de la salle generate. On y a parte de
constitution et nous avons appris de bonne part que le resultat des con-
ferences sur cette matiere n'etait pas de se constituer en chambre nationale,
mais simplement en chambre des communes faisant les fonctions des etats-
generaux, jusqu'a la reunion des deux premiers ordres ; c'est la modifica-
tion qu'on se propose de presenter a l'assemblee ; c'est deja quelque chose,
le temps achevera le reste." La revolution frangaise, XXIII, 525.

-Revue de la revolution, XII, Documents inedits, 49.

3 Ibid, 40.

2K

26 Carl Chrisiophelsmeier

were therefore, on the morning of June 10, almost unanimously
in favor of constituting themselves. 1

II

At the opening of the morning session of the commons on June
10, the dean announced that the proces-verbal of the conferences
had been closed and signed by the eight commissioners of the
clergy, by those of the commons, and by the secretary, and that
it had been recorded in the minutes that the commissioners of the
nobility had declared the proces-verbal exact in all its parts. The
assembly by acclamation ordered the printing of these minutes.
The dean stated further that, according to a previous decision of
the assembly, the ouvertnre of conciliation, made by the king's
commissioners, was to be considered after the termination of the
peace conferences and the closing of the proces-verbal, and that
the deliberation on the conciliatory plan was, therefore, now in
order. He advised, however, that the discussion be postponed
until the following day. He alleged as a reason for delay that
the proces-verbal of the conferences of the preceding evening
had not yet been laid before the assembly. But why did he not
call for the report of the commissioners at once? The deputies
favorable to the motion of Sieves had requested and obtained
from the dean this omission that the additional time might be
given to the consideration of the proposed plan. 2

1 Biauzat, II, 102 : "Des conferences qui ont succede aux bureaux et qui
ont dure jusqu' apres onze heures, ont range a cet avis le plus grand nom-
bre de ceux qui etaient demeures indecis jusqu'alors. Pour donner plus
de poids a la motion qui doit conduire a ce but, on doit la faire presenter
par M. l'abbe Sies (Sieves)"; Larevolntion frangaise, XXIII, 525: ''On
s'en occupera demain, si le proces-verbal des conferences est definitivement
signe dans la reunion de ce soir. Plusieurs membres ont prepare des mo-
tions a ce subjet. On sait que M. l'abbe Sieves' doit en faire une et l'avis
qu'on en a rendra l'assemblee plus nombreuse qu'a l'ordinaire. . . ."
Duquesnoy. I, 83 : Duquesnoy wrote in the morning of June 10, "C'est
aujourd'hui qu'on doit deliberer sur la constitution." Sieyes, soon after
his arrival at Versailles, associated with the Breton deputies who knew of
him because of his monograph : Qu'cst-ce que le tiers-etat? See Zinkeisen,
I. 62 ; Cherest, III, 119-22, 1337 note, and 145 ; Aulard : La societe des
Jacobins, I, Introduction, II.

-Recit, 79, 100, 101; Biauzat, II, 102; La revolution frangaise, XXIII,

26

The First Revolutionary Step 27

The whole assembly was eager to hear what Sieyes had to say.
But, now that the time had come, Sieyes seemed to hesitate. He
should have taken the floor immediately after the dean's first
statement. When he let the opportune moments slip by, Mirabeau
became impatient, and when Sieyes kept the assembly in suspense
after the dean's second remarks, which really were a suggestion
to Sieyes, Mirabeau, to give him courage, called upon him, and
stated 1 that the commons, in order not to expose themselves to
the greatest dangers, must hesitate no longer; they must take a
decisive step ; and he concluded with the announcement that a
deputy from Paris wished to propose a motion which was of the
greatest importance.- The assembly expressed its desire to hear
the motion, and the dean called upon Sieyes.

It was in the midst of a profound silence that the famous dep-
uty from Paris began his discourse. The session was well at-
tended by the public, for it was known that the conference had
been closed and that important business would be considered. 2
Like Chapelier and others who had made similar motions before,
Sieyes reviewed the action of the deputies of the third estate since
the opening of the states general, and their relations with the
clergy and with the nobility. 3 ' He described the circumstances
that had prevented the organization of the states general, the
proofs of good-will given by the commons, the obstinate resist-
ance which they had encountered on the part of the other orders,
the uselessness of the conferences, and the obstacles placed by
the nobility in the way of every attempt at conciliation. He con-
cluded that the commons could no longer remain in inactivity
without neglecting their duties and without betraying the inter-
ests of their constituents. It was necessary to begin work. But
it was impossible to form an active assembly, to constitute them-

526; Revue dc la revolution, XII, Documents incdits, 50, 51; Journal des
etats-generaux, I, 53.

1 Recit, 101.

2 La revolution frangaise, XXIII, 525, 526; Duquesnoy, I, 83; Biauzat, II,
102; Revue dc la revolution, XII, Documents incdits, 39, 40, 49.

3 Recit, 101-3; Journal, des etats-gencraux, I, 53-56 (paging for the
month of June) ; La revolution frangaise, XXIII, 526 ; Duquesnoy, I, 83 ;
Biauzat, II, 102, 103, 105-7; Courricr dc Provence, Lettre X, 3-7; Revue
de la revolution, XII, Documents inedits, 51, 52.

28 Carl Christ ophelsmeier

selves, until they knew who should compose the assembly. The
assembly had proved that the credentials could be submitted to
no other judgment than that of the representatives of the nation
collectively, and this principle, the truth of which was so well
demonstrated in every page of the proces-verbal of the confer-
ences, should not be abandoned. The nobility had refused the
ouverture of conciliation, and by this act the commons were ab-
solved from considering it, because the rejection of one party to
a conciliatory plan annulled the plan. The assembly was there-
fore forced to act, and it could do nothing else than "summon
the members of the two privileged chambers to present them-
selves in the hall of the states, in order to assist in, to concur
in, and to submit themselves to the common verification of
credentials."

After this brief exposition of the motives for action, Sieves
read the motion which has remained inseparably linked with his
name. It explained the reasons for action and the objections
against delay. The nation demanded from its deputies the best
employment of their time. "The assembly considers it a press-
ing duty for all the representatives of the nation, no matter to
what class of citizens they belong, to constitute themselves, with-
out further delay, an active assembly in order to fulfil the object
of their mission." The conciliatory commissioners were charged
to draw up "an account of the long and vain efforts of the depu-
ties of the commons for the purpose of converting the privileged
classes to the true principles," to explain the reasons which forced
the commons to action, and then to publish the account "as an
introduction to the present resolution."

"But since it is impossible to form an assembly without a pre-
liminary recognition of those who have the right to compose it,
that is to say, those who are empowered to vote as representa-
tives of the nation, the same deputies of the commons believe that
they ought to make a final appeal to the deputies of the clergy
and of the nobility who claim to possess the same powers, and
who nevertheless have refused, so far, to allow themselves to be
recognized.

"Furthermore, it is in the interest of the assemblv to fix the

2S

The First Revolutionary Step 29

responsibility by putting- on record the refusal of these two classes
of deputies, in case they persist in the desire to remain unrecog-
nized ; the assembly thinks it indispensable to send a last invita-
tion, which shall be presented to them by deputies who shall be
charged to read it to them and to leave them a copy which is as
follows :

' 'Gentlemen, we are charged by the deputies of the commons
of France to inform you that they can not longer postpone the
discharge of the obligations thrust upon all the representatives
of the nation. It is certainly time that those who claim to be
representatives should be recognized by a common verification
of their credentials, and should begin at last to occupy them-
selves with the interests of the nation, which alone, and to the
exclusion of particular interests, present themselves as the great
end for which all the deputies ought to strive with a common
effort. Consequently, and since it is necessary for the repre-
sentatives of the nation to constitute themselves and act without
further delay, the deputies of the commons invite you, gentle-
men, anew, and their duty forces them to extend to you, individ-
ually as well as collectively, a last summons to come into the
hall of the states in order to assist in, to concur in, and to submit
yourselves like the commons to the common verification of cre-
dentials. We are also charged to inform you that the general
call of all the bailliages convoked will be made in an hour; that
immediately after the roll-call the credentials will be verified
and default pronounced against those who do not present them-
selves.' V1

Immediately after reading the motion and the summons-
Sieyes explained that he had presented only the first part of his
plan. The question at that moment was not how and with what
powers the commons should constitute themselves. Such active
resolutions were impossible until it had been determined what
men were legally elected to the states general and had a right to
take part in the organization. As soon as the preliminary step

1 Courricr de Provence, Lcttrc IV, 58. When Mirabeau on May 15 com-
pared the motions of Rabaut and Chapelier, he brought out the idea of de-
fault against the orders; La revolution francaise, XXIII, 452-53. This-
same idea was expressed May 26, 1789, in the Bulletins d'un agent secret

29

3° Carl Christ ophelsmeier

to organization had been taken, that is, as soon as the credentials
had been verified, he would present the second part of his plan.
Furthermore, to enter default against those who would not pre-
sent their credentials would neither establish nor announce a
schism between the orders ; that the clergy and the nobility could
at any time raise the ban by uniting themselves with the com-
mons, who would always gladly receive them. 1

Sieyes was enthusiastically applauded. 2 The motion answered
to the general wish ; it soothed the feeling of impatience that had
seized upon even the calmest spirits. All the members of the
assembly were familiar with the question, for it was the subject
that had been most widely discussed, and, since the opening of
the states general, had received the most serious consideration.
Being thus prepared and having expected it, many members rose
instantly in support of the motion. 3 With much force and ability
they developed the reasons which should determine the commons
to follow the course suggested by Sieyes. The rational modera-
tion which had so wisely guided the actions of the third estate
in this long and fierce struggle with the privileged classes up to
June 10 did not forsake the assembly in the discussion of this
revolutionary step. The equable and judicious Target suggested
that, since the assembly was not yet constituted, 4 not derniere
sommation, but derniere invitation; not donne defaut contre les
non-comparaiits, but that it will proceed to the verification, as
much en presence qu'cn Yabsence des deputes des classes privi-
legies, not dans une hcure, but dans le jour would be a more

x Recit, 104; Biauzat, II, 102-3: "II y a ajoute un developpement verbal
pour faire apercevoir qu'il n'entendait pas nous proposer de nous constituer
a l'instant ou de nous constituer dans la suite, en assemblee national dont
les deputes ecclesiatiques et nobles seraient exclus, ni en assemblee des
communes qui sont 1'assemblee nationale, moins les ecclesiastiques et les
nobles, ni enfin en ordre distinct et separe, mais en deputes des bailliages et
representants de nos commettants, pour le nombre qu'ils forment dans 1'as-
semblee de tous les Frangais."

-Rccit, 104; La revolution frangaise, XXIII, 526; Revue de la revolution,
XII; Documents inedits, 52, 53.

s Duquesnoy, I, 83.

* Rccit, 104; Biauzat, II, 103. Biauzat says that he himself made the
suggestion of the changes. Duquesnoy, I, 84 ; Monitcur, I, 64, Target's
speech; Cherest, III, 335.

30

The First Revolutionary Step 31

fitting phaseology. Sieves readily consented to these rational
changes. 1

But the assembly of the commons was not even yet a complete
unit on this question of organization. There were opponents,
though but few, who caused more or less agitation. At first they
had kept silent; then they attempted to impede the action of the
assembly by keeping up the debate. But they made themselves
obnoxious ; they exhausted the patience of the deputies ; they
were violently and systematically attacked, hissed, and their voices
even drowned by the clamor of the vast majority. 2 The opposi-
tion began by the declaration of a member that the motion was
dangerous. He advised the adoption of the king's ouverture de
conciliation, but this opinion found no support; it met with an
organized attack. A Breton deputy said that it was a question
of the very greatest importance to depart from a laisscz fairc
policy, and it was folly to propose a course which must come
to nothing since the nobility had rejected the ouverture. The
request that the ouverture should be considered by the assembly
was answered from all parts of the hall by the assertion that the
discussion could lead to nothing, that it was entirely useless.

A deputy from Artois said 3 that he favored Sieyes' motion,
but added that it should contain the refutation of some of the
principles expressed in the preamble of the ouverture against
which an express protest seemed indispensable. He was an-
swered that such objections were unnecessary as the proces-verbal
of the conferences had taken account of those principles in the
most satisfactory manner. But the deputy from Artois insisted ;
his amendment was supported by several members. Two other
deputies urged that the assembly should wait until the clergy
made reply to the last invitation of the commons. 4 But the

1 Recit, 104, 108; Journal des etats-generaux, I, 58-60; Biauzat (II, 103)
says that he suggested the changes and the Recit that it was "un depute
de Bourgogne." See motion as adopted, Recit, 110-12.

"Courrier de Provence, Lettre X, 11; La revolution franqaise, XXIII,
526; Duquesnoy, I, 84; Recit, 104-9; Revue de la revolution, XII, Docu-
ments incdits, 53, 54.

3 Rccit, 105, 106; Biauzat says (II, 103) that M. Camus, a deputy from
Paris, made this amendment.

*Recit, I, 84-87. The invitation of June 6, that was called out by the
clergy's deputation in regard to the relief of the poor.

32 Carl Christophelsmeier

answer to such a proposal was that it was altogether too indefinite.
Again it was suggested that, since the policy of the clergy to-
wards the commons had always been different from that of the
nobility, the invitation to them should be worded differently.
Mirabeau, who on former occasions had advised that the attitude
of the commons toward the clergy should be different because of
the different attitude of the clergy towards the commons, opposed
this policy now. He agreed that the methods employed by the
two orders in dealing with the commons were not the same, but
that there was no difference really in their pretensions and in the
result of their conduct. Both orders had remained apart from
the commons ; the last invitation to both orders was therefore
equally indispensable. The phraseology in which the invitation
was couched presented the motives upon which it was founded
and the efforts which it was expected to produce. The motives
for, and the effects of, the invitation were the same in regard to
the clergy and to the nobility. The invitations, therefore, should
be absolutely the same. If a different course were followed some
inconveniences would certainly result from it. Mirabeau silenced
the opposition. But now another member proposed that, together
with the resolution of Sieyes, an address should be prepared and
presented to the king. 1 This address should deal with the king's
ouvcrturc de conciliation and explain the course which the com-
mons had been forced to follow. This amendment was well re-
ceived. However, a deputy remarked that the king was per-
fectly well informed, that he knew of the refusal of his plan by
the nobility and that, therefore, the address was useless. Further-
more, it would delay the action on Sieyes' proposition, which was
indeed very urgent. The author of the amendment now hastened
to state that Sieves' motion ought to be adopted at once, but that
it was also in the interest of the assembly to present an account
of its policy to the king and to inform him of the motives that had
determined the decision of the commons.

When, at last, the debates seemed terminated, another member

1 Recit, 106-7; Journal des etats-gencraux, I, 62; Courrier de Provence,
Lettre X, 8; Duquesnoy, I, 84; Revue de la revolution, XII, Documents
incdits, 53 ; Biauzat, II, 103. Biauzat says Laveniie de Bazas.

32

The First Revolutionary Step 33

asked that the motion be printed and that a copy be given to each
representative, or at least that a copy should be sent to each of
the twenty bureaus, where it could be examined and discussed
anew. But the assembly was irritated by these repeated inter-
ruptions and delays ; a general murmur of indignation arose
against this proposition. A deputy from Metz 1 answered that
the commons had tried all the means that the most ardent love
of peace could dictate, and in spite of that they had met and still
met with nothing but obstinate resistance to a demand founded
upon the first principles of equity and reason ; that, after five
weeks of waiting, it was at last time to abandon a policy of in-
activity ; that Sieves' motion embodied the only proper and legal
course which the assembly could take ; and that he was astonished
that this motion could still meet with opposition, that it had given
occasion to such debate ; and a further demand for delay was
certainly revolting in the extreme. 2

The dean, encouraged by the almost universal and spirited
applause which followed these remarks, declared the discussion
closed. 3 He was, however, interrupted by a deputy who demanded
a double roll-call. 4 It had been the custom of the assembly
to give all members on a first roll-call an opportunity to speak and
on a second roll-call to collect the votes. 5 This plan had been
followed, of course, only when important questions were con-
sidered ; and the assembly up to this time had acted Upon the
principle that it had a great deal of time. But a unanimous ob-
jection might deprive a speaker of the floor. The assembly ex-
pressed anew its impatience ; the speaker could not make himself
heard. The dean put the motion with the changes consented to
by its author. He added two amendments: 6 (1) to express to

^Rccit, 107-S; Cherest, III, 137-3S. Cherest thinks that this deputy from
Metz was M. Emmery.

2 Ibid., 108: "Et que des lors la proposition de l'impression et du renvoi
de la motion dans les bureaux etait revoltante sous tous les points de vue."

'Ibid.

*Ibid.

5 Ibid., 22-24, 44-45; Duquesnoy, I, 57.

G Recit, 108: "1. Exposer au roi les motifs de la deliberation. 2. Re-
clamer contre les principes du preambule de l'ouverture de conciliation" ;

33

34 Carl Christ ophelsmeier

the king the motives for the action taken, and (2) to record
objections against the principles expressed in the preamble of
the ouverture de conciliation. According to Camus, 247 votes
were in favor of the motion without any amendment, 246 votes
for the motion with the first amendment. The remaining fifty-
one votes were distributed among the rejection of the motion,
its adoption with both of the amendments, and the reference of
the motion to the bureaus. 1 The vote was therefore not decisive.
It was felt that a majority vote was absolutely necessary to the
adoption of such an important plan. The dean put an end to
further debate by announcing another session at five o'clock in
the evening, at which time the question should be decided.

In the evening session, a Breton deputy stated 2 that he had
voted for the motion, pure and simple, for the reason that the
matter of the address to the king could be considered after the
passing of the motion, but he thought that those who had voted
as he had done would vote for the address also. The question
was put to the assembly and was almost unanimously accepted.
In order to make the vote as decisive as possible and to render
the general wish more evident, the dean asked that all those who
had voted for the unamended motion and opposed the first amend-
ment should rise. Only three members rose, so that in this man-
ner the motion, together with the first amendment, was almost
unanin%usly adopted. 3 "In this manner," says Bailly, "was ter-
minated, to the satisfaction of the assembly, the first of the most
important deliberations ; it is the first step which the assembly
has taken towards its lofty destinies ; the resolution contains the
germs of all the great achievements of the month, and in it may

Courrier de Provence, I, 175 ; Biauzat, II, 103-4 ; Duquesnoy, I, 84 ; Revue
de la revolution, XII, Documents inedits, 54.

1 Recit, 108-9, has the figures given in the text. Courrier de Provence,
Lettre X, 10; Biauzat, II, 104. Biauzat doubts the truth of this count and
gives it together with another count by M. Populus : "De cinq cent vingt-
cinq, il y en a eu cent quatre-vingt-quatorze pour admettre la motion pure
et simple, deux cent quatre-vingt-dix pour admettre la motion avec le pre-
mier amendement, une seule pour rejeter la motion." Revue de la revolu-
tion, XII, Documents inedits, 54.

■Recit, 110.

z Recti, 110; Courrier de Provence, Lettre X, 11; Revue de la revolu-
tion, X, Documents inedits, 54.

34

The First Revolutionary Step 35

be discovered the essential principle which is the basis of the
constitution." 1 It was agreed that the resolution and invitation
as finally adopted should be drawn up at once and signed by the
dean and his assistants. The assistants were instructed to carry
the invitation and resolution to the two privileged orders at the
opening of the next session, June 12. The conciliatory commis-
sioners and Sieves were charged to prepare the address to the
king. 2

June 1 1 was Ascension Day and no session was held. This was
a great disadvantage to the commons, for the enthusiasm with
which their resolution would have been received by the lower
clergy was checked by the delay. Duquesnoy, writing on June
11, complained of the long discussions on June 10 in the hall of
the third estate, and he did so with reason. 3 Had the invitation
been sent during the morning session of that very day, the prob-
abilities are that a large proportion of the clergy would have
united at once with the commons. The assembly of the clergy
was divided into two groups, the higher and the lower clergy.
The higher clergy favored the nobility ; the lower clergy, or cures,
the commons. 4

On June 12, the ten, going to each chamber, delivered their
message. 5 The assembly of the nobility, through its president,
answered the deputation of the commons that it would consider
the invitation and send its answer. 6 The deputies of the commons,
while waiting for an answer to the invitation, considered the ad-
dress to the king. A heated discussion arose upon the question
as to whether the address should be read in the open assembly.
But the debate was interrupted by a deputy from Paris, who
called attention to the fact that it was now more than ever in
the interest of the assembly to constitute itself and to begin work

'Bailly, I, 134.

2 Recit, 110-13.

3 Duquesnoy, I, S4.

*Memoires du marquis de Ferricres, I, 48; La revolution francaise,
XXIII, 448.

: 'Rccit, 114-16; Duquesnoy, I, 86; Courrier de Provence, Lettre X, 12;
Biauzat, II, 107-8; La revolution francaise, XXIII, 528; Journal des etats-
gencraux, I, 65, 66 ; Revue dc la revolution, XII, Documents inedits, 55, 56.

"Ibid.

35

3b Carl Christophelsmeier

as quickly as possible. A scheme should be devised for the most
expeditious verification of credentials, and he proposed that the
delegations, of which there were 172, of the three orders of all
the bailliages should be called ; that the deputations that were
present should, as they were called, pass to the dean's desk and
deposit there their credentials for registration ; this done the
credentials should be distributed among the twenty bureaus for
examination, and that the results of this examination should be
reported to the general assembly. This plan was well received
and adopted in all its details. 1

The commons waited all day for the deputies of the other two
orders. During the day, it was proposed to have the roll called
at once, some members being impatient to begin the verification
of credentials ; but the dean promised that it should begin promptly
at seven o'clock in the evening. 2 At five o'clock commissioners
of the nobility appeared and reported that the invitation was be-
ing considered, but that no decision could be reached until the
following session. 3 The commons did not expect compliance from
this order. The clergy sent no reply at all.

Now that the assembly of the third estate was on the point of
constituting itself, before the roll-call began, it was decided that
a proces-vcrbal should be kept of sessions. 4 Heretofore the min-
utes of the assembly had not been kept by secretaries ; the dean's
assistants had taken a few notes. 5 An official record of the as-
sembly meant, it was thought, organization, and organization at
this time meant three separate assemblies. But now that the
commons had decided to form themselves into an active assembly
and to do this independently of the other orders, if their invita-
tion should not be heeded, an official record was necessary. This
proces-vcrbal should be kept by secretaries and signed by them
and the dean. Bailly was again chosen temporarv dean and

"■Recti, 116, 117; Courrier de Provence, Lcttre X, 12-24 ; Bailly, I, 138.
Bailly says that this deputy from Paris was M. Sieyes.

■Recti, 117.

3 Ibid., 118; La revolution frangaise, XXIII, 528.

4 From this point on, my main source is the Proces-vcrbal instead of
the Recti, which includes only the period from May 5 to June 12, 1789.

5 As a result, we have the Recti. See Bibliography.

3*

The First Revolutionary Step 37

Camus and Pison du Galland temporary secretaries. They were
to serve until the constituting process was completed and then
they were to be superseded by regularly elected officers. 1

It was in the early evening of June 12 that the roll-call began. 2
As the secretaries read the names of the deputations of the prov-
inces, dioceses, bailliages, senechausees, and cities in alphabetical
order, following the printed list, beginning with the senechausee
of Agen, the deputations, one after the other, advanced to the
desk, and the first deputy of each delegation presented the cre-
dentials. 3 After an all-day's session, the assembly adjourned 4 to
meet at nine o'clock the following morning. 5

During the continuation of the roll-call on June 13, an incident
occurred which gladdened the hearts of all the commons. Three
deputies of the clergy, cures from Poitou, entered the hall. One.
of them, M. Jallet, described the scene as follows : T "We were
agreeably surprised to find the assembly so numerous, the colon-
nades, the galleries, all the standing room, were absolutely filled.
On our arrival we were greeted with general applause, not only
by the spectators, but also by the deputies of the commons. .
. . The enthusiasm was very great. . . . The applause was
renewed" when Lecesve, one of the cures, presented their cre-

1 Proces-verbal, I, 2; Journal des etats-generaux, I, 73; Duquesnoy, I,
87; Biauzat, II, 108.

a Proces-verbal, I, 3. Seven o'clock. Boulle says that it was six o'clock;
Revue de la revolution, XII, Documents inedits, 57; Duquesnoy, I, 87-88;
Biauzat, II, 108; La revolution franqaise, 528.

3 The senechaussee d'Agen may serve to show the manner of the roll-
call : "MM. du clerge, nul ne s'est presente. MM. de la noblesse, nul ne
s'est presente. MM. des communes, se sont presentes MM. Frangois et
Renault, et ont remis leurs pouvoirs." Proces-verbal, I, 3 ; Revue de la
revolution, XII, Documents inedits, 57; Biauzat, II, 108, 109.

4 Proces-verbal, I, 19: "A neuf heures du soir;" Duquesnoy (I, 88)
says ten o'clock; La revolution franqaise, 528, says that the assembly ad-
journed at half past ten to eight o'clock the following morning. Boulle
states, Revue de la revolution, XII, Documents inedits, 57, half past nine
o'clock.

5 Proces-verbal, I, 19.

6 Ibid., 28; Duquesnoy, I, 91; Biauzat, II, 109; Revue de la revolution,
XII, Documents inedits, 57-58.

''Journal inedit de Jallet, cure de Chcrigne, depute du clerge de Poitou
aux etat-gencraux de 1789, precede d'une notice historique par Brcthe
(Fontenay-le-Comte, 1871), 86.

37

38 Carl Christophelsmeier

dentials. "The dean, M. Bailly, having with much difficulty ob-
tained silence, I delivered the following discourse." M. Jallet
spoke in favor of common deliberation. "We come, gentlemen,"
he said, 1 "led by the torch of reason, urged by love for the public
welfare, to unite ourselves with you, our fellow citizens and
brothers. We hasten to respond to the call of our fatherland,
which urges us to establish between the orders peace and good
will, upon which depends the success of the states general and
the safety of the state. May this course be received, by the
chamber of commons, in the same spirit that is influencing us !
May this course, and this spirit, be generally imitated ! May
this, as a result, win for us the esteem of the entire French people."
This speech was again followed by loud applause. 2 An established
rule prohibiting applause was on this occasion conspicuously vio-
lated. Some deputies and some spectators, especially the women,
were moved to tears. A member of the commons, Biauzat, wrote:
"Although I pride myself on being a rigorist, I clapped my hands
with a violence which makes plain to me that the heart adds force
to our undertaking. Some persons have at this moment felt the
sweetness of tears."

The deputies and the partisans of the third estate had reason
to be elated. A first victory had been won, the barriers between
the orders broken. These three cures had set the example for
their companions. Their hearty reception on the part of the
commons was the best argument that could be found to convince
the other cures that they would not only be safe, but that they
were highly regarded, and that the best project of conciliation
was that all the deputies of the three orders constitute themselves
in one assembly. 3 The step found imitators, for even on the next
day, June 14, six other cures presented themselves with their cre-

1 Proces-verbal, I, 28-29; Biauzat, II, 110; Journal des etats-generaux,
I, 74, 75.

2 Biauzat, II, 110. See also note. Duquesnoy, I, 91: "Ces cures ont ete
applaudis avec transport. Ces trois hommes ont surement une grande
force de caractere." Revue de la revolution, XII, Documents inedits, 57,
58.

3 Duquesnoy, I, 91; Journal des etats-generaux, I, 75. One of the cures
was even asked to assist in the verification of credentials.

3«

The First Revolutionary Step 39

dentials 1 and were equally well received. One of the new comers,
Dillon, spoke in behalf of all. He said that he regretted much
that they had not come with their three colleagues, whose inten-
tions they had not known. "Being convinced," he continued,
"that our credentials ought to be verified by all the representa-
tives of the nation, we come, gentlemen, in the hope of seeing at
last the termination of our unhappy situation," division and in-
activity. "Convinced that the union of the three orders alone
can bring about the happy results which the nation awaits with
the greatest impatience, we announce to you, gentlemen, that it
was this most ardent desire of establishing union that brought us
here." On June 15, three more cures presented their credentials.
Two of them spoke. Marolles said : 2 "Gentlemen, since the
opening of the states general, my heart has been with you. In a
chamber that has remained isolated, I have fought for your in-
terests, interests which are also ours and those of the whole na-
tion. I come here, gentlemen, to announce this truth boldly and
to give recognition by my action to the indispensable necessity of
common verification of credentials in a national assembly. I sub-
mit my credentials to your examination. It is in this document
that you will find the evidence of the right of your co-laborer to
assist in the important work of the regeneration of the state ; in
my conduct you will find the principles and the tender affection of
a brother. If my example is not followed by a great many, you
will certainly allow me to return to the chamber of the clergy,
where the defense of your cause will demand my presence."

Such words and such action as those of the twelve cures dur-
ing these three days cheered and animated the commons in their
forward course. They certainly inspirited the. debates of June
15 and June 16 and gave additional force to the bold decrees of
June 17. The news of the union of the cures with the deputies
of the third estate spread at once among the public, and the ad-
mirable effect that was produced in favor of the commons reacted
in turn upon the assembly. The decisive step, together with this

1 Proces-vcrbal, I, 80-82 ; Journal des ctats-gencraux, I, 83-84; Duques-
noy, I, 95 ; Biauzat, II, 116 ; Revue de la revolution, XII, Documents in-
edits, 110.

-Proces-verbal, I. 84, 85, 87-89; Journal des ctats-gencraux, I, 87.

39

4° Carl Christ ophelsmeier

partial conquest, stirred up Paris, which at once reinforced and
encouraged the commons in their course of constituting them-
selves. 1

The roll-call of the deputation was finished on June 13. A
general request was made for all those who had been omitted to
present their credentials. 2

The credentials and the proces-verbaux of the various elective
assemblies that had been received were distributed among the
twenty bureaus. The bureaus were instructed to meet at four
o'clock in the afternoon of June 13. 3 Now, since the commons
had commenced to organize themselves, everyone worked with
greatest speed, for by eight o'clock in the evening the bureaus
announced that they were ready to report to the general assembly.
The report was terminated on June 14 and the verification of
credentials was thus, in a general way, achieved. 4 The commons,
fearing they might be stopped in the work of organizing them-
selves, accepted almost all the credentials without raising the
question of their validity. A committee was to be appointed,
after the organization of the assembly, to examine contested cre-
dentials. 5 All the steps preliminary to organization had now been
taken and the commons were ready to constitute themselves. True,
with the exception of the few cures, the deputies of the clergy
and of the nobility had not joined them and had not presented
their credentials for common verification, but the commons were
now in a position to apply the principle that those deputies whose
credentials were verified in the general hall represented the na-

'Biauzat, II, 111. Young (entry of June 13) says that the three cures
from Poitou "were received with a kind of madness of applause ; and this
evening at Paris nothing else is talked of." See also entries on June 14
and 15. La revolution frangaise, XXIII, 529, 532-35.

2 Proces-verbal, I, 38-40.

3 Proces-verbal, I, 54; Duquesnoy, I, 92; Biauzat, II, 111, 112; Revue
de la revolution, XII, Documents inedits, 58.

4 Duquesnoy, I, 92: "II n'y a qu'un petit nombre de difficultes, chacun
ayant le hon esprit de sentir que ce n'est pas la le moment d'etre minutieux
et qu'il faut accelerer la marche." Proces-verbal, I, 55-83; Revue de la
revolution, XII, Documents inedits, 109, 110.

5 For the verification of credentials, see the study of M. Brette, La veri-
fication des fouvoirs a I'assemblee nationale," in La revolution frangaise,
XXV, 413-36, 504-26; XXVI, 26-52.

40

The First Revolutionary Step 41

tion and they should therefore constitute themselves as a national
assembly. Biauzat proposed a resolution to this effect, not to be
passed in that session, but for the purpose of allowing the mem-
bers to consider the subject until the next day. 1 He suggested
that the deputies whose credentials were just verified should de-
clare themselves " Assemble c legitime des representanis eoiuius
de la nation; and the assembly orders that all other persons who
pronounce themselves deputies, whether of the clergy, of the no-
bility, or of the commons, and who wish to be recognized as rep-
resentatives and to obtain a seat in the assembly, must first submit
their credentials for common verification."

The debate on the subject of the constitution of the assembly
did not begin, however, until the following morning, June 15.
It was then that Sieves presented the second part of the plan that
he had announced on June 10. It had been carefully discussed
outside the assembly for at least a week, not only by the Breton
deputies and their friends, but also by the other deputies of all
three orders and by the general public. 2

Ill

In the evening of June 15, Arthur Young wrote: "This has
been a rich day, and such an one as ten years ago none could be-
lieve would ever arrive in France ; a very important debate being
expected on what, in our house of commons, would be termed the
state of the nation. ... At Versailles by eight in the morn-
ing, we went immediately to the hall of the states to secure good
seats in the gallery ; we found some deputies already there, and a
pretty numerous audience collected. The room is too large ; none

'Biauzat, II, 116.

"Duquesnoy, I, 98. Duquesnoy quotes an extract from the speech of
Crenieres, who, as well as Mirabeau, mentions the fact that Sieyes' mo-
tion was known beforehand. See also the explanation of Sieyes at the end
of his motion of June 10. Recit, 104 ; Biauzat, II, 102-3 ; Journal des
ctats-generaux, I, 86, 87 ; Revue de la revolution, XII, Documents inedits,
111. The Courrier de Provence (Lettre X, 4) says that Sieyes' motion
and speech made a deep impression, "particulierement sur les deputations
de diverses provinces, qui avaient deja, depuis plusieurs jours, connais-
sance de la motion meme, et y avaient donne d'avance la plus haute et la
plus entiere approbation."

41

4 2 Carl Christophelsmeier

but stentorian lungs or the finest, clearest voices can be heard;
however, the very size of the apartment, which admits two thou-
sand people, gave a dignity to the scene. It was, indeed, an in-
teresting one. The spectacle of the representatives of twenty-five
millions of people, just emerging from the evils of two hundred
years of arbitrary power and rising to the blessings of a freer
constitution, assembled with open doors under the eye of the
public, was framed to call into animated feelings every latent
spark, every emotion of a liberal bosom." 1

It was again Sieyes who opened the discussion. He proposed
that the assembly constitute itself as the assembly of the repre-
sentatives known and verified of the French nation. While the
title was somewhat ambiguous, the wording of Sieyes' speech and
motion was clear and direct. In the introductory remarks, he
reviewed the events which had followed the resolution of June
io. 2 The assembly had decided to constitute itself. To this end
it had invited the deputies of the clergy and of the nobility to
unite with them and to take part in the organization. The invita-
tion had not been accepted. The credentials of the deputies of
the commons had subsequently been verified, and it was therefore
now necessary for the assembly to constitvite itself as an active
assembly. Sieyes laid down certain principles and drew inferences
from them. He enumerated various titles, but found inconve-
niences in all of them. After deciding in favor of Assemble dcs
representants connus ct verifies de la nation francaise, he pre-
sented his motion, or rather series of motions :

"It has been proved by the result of the verification of creden-
tials that this assembly is already composed of the representa-
tives sent directly by at least ninety-six hundredths of the nation.

"Such a number of deputies must not and can not remain idle
because of the absence of deputies from several bailliages, or from
several classes of citizens ; for those absent ones who have been
invited to come into the national hall can not have the right to

1 Young, 163; Biauzat, II, 120: "Remarquez qu' heureusement nous
admettons 8 a 1200 ouvriers a entendre le developpement de nos vues pour
le bien public." Duquesnoy, I, 65-66, 101, 104 ; Journal des ctats-generaux,
I, 86, 87.

-Courrier de Provence, Lettre II.

42

The First Revolutionary Step 43

prevent those who are present from exercising - the whole of their
powers, especially when the exercise of these powers is an im-
perious and pressing duty.

"Moreover, since it pertains only to those representatives whose
credentials are verified to concur in and to express the national
wish, and since such representatives are all in this assembly, it
is furthermore indispensable to conclude that it is the business
and duty of this assembly, and of this assembly alone, to interpret
and to carry out the general wish of the nation. No other cham-
ber of deputies, by mere presumption, can take away any of this
power of deliberation. Lastly, between the throne and this as-
sembly no veto, no negative power, can exist.

"The assembly declared, therefore, that the common work of
the national restoration ought to, and necessarily must, be com-
menced without any delay by the deputies present and that they
must and shall follow this work without any interruption and
without any interference.

"The title, Assemblee des representcmts connus et verifies de
la nation frangaise, is the only title which is appropriate for the
assembly in the actual state of affairs, the only title which it wishes
to adopt, inasmuch as it will never give up the hope of bringing
into its midst all the deputies now absent. It will not cease to
invite them, individually as well as collectively, to fulfil the ob-
ligation which is laid upon them, to take part in the holding of
the states general. At whatever moment the absent deputies may
present themselves during the session which is now beginning,
the assembly declares in advance that it will receive them with
joy and that it will urge them, after the verification of their cre-
dentials, to share with them in the great work which shall result
in the regeneration of France." 1

This motion made a great impression upon the assembly. 2 It

1 Proces-verbal, I, 89; Journal des ctats-gcneraux , I, 8S-90; Courrier dc
Provence, Lcttre XI, 3-6; Duquesnoy, I, 95, 96; Biauzat, II, 116, 117;
Revue dc la revolution, XII, 111, 112. In the first paragraph of the motion,
L'asseinblcc deliberant apres la verification des pouvoirs, rcconnait was
substituted for 77 est constant par le resultat de la verification des pouvoirs.
With this exception the first four paragraphs of the motion agree verbally
with the resolution. The last or fifth paragraph is expanded somewhat.

"Ibid.

43

44 Carl Christophelsmeier

embodied principles for which the third estate had so eagerly
striven, and expressed, therefore, a natural, logical, and necessary
step in advance of the previous progressive movement of the as-
sembly. Sieyes' motions of June 10 and of June 15, linked to-
gether, formulated an important event in the movement towards
the realization of the idea of popular sovereignty. They expressed
the theory of the rule of the majority as against the privileges of
classes ; vote should be by head and not by order. Although it
was the great desire of the commons to have the deputies of the
clergy and of the nobility meet with them in the general assembly,
yet since this object had so far not been obtained because those
deputies refused to present themselves in the common hall, and
since further waiting and delay was regarded as hazardous to the
nation and as nullifying the performance of the duties of the
deputies of the third estate, the assembly decreed that it alone
would begin the work of national regeneration and restoration.
First and chief of this work was the making of a constitution.
By this motion, the assembly declared that it would still continue
to work for the union of the three orders, but if the two orders
should persist in their demand for separate assemblies, their
powers should be null. The assembly alone should represent the
nation ; between the throne and the assembly there should be no
veto power nor any right of interference ; the king and the as-
sembly should govern France. If the deputies of the clergy and
of the nobility wished to exercise any power at all and take part
in the work of the states general, they must come into the general
assembly, the decisions of which should be controlled by the wish
of the majority.

This motion proposed by Sieyes, and generally accepted by the
assembly, was an arbitrary one, though from the point of view of
the third estate such a resolute and even arbitrary step was nec-
essary. By this time, urged on by opponents and partisans alike,
and especially by their own patriotism, the desires of the commons
had grown into imperious public demands. The states general
was composed of the representatives of the three orders of France,
but during these eventful days, the assembly reached such a point
in the growth of its interpretation of its powers and duties, that

44

The First Revolutionary Step . 45

it alone assumed the authority of deciding the powers and the
organization of the national assembly ; it decreed that instead of
a states general there should be a national assembly in which the
orders would be fused. And the statement that the assembly
should not allow any interference in its work nor any veto power
which was now directed against the deputies of the other orders,
was a few days later made absolute. It was expanded so that it
included the king himself. Thus the assembly considered itself
as possessing the sovereign power in France. Henceforth there
should not be a government by divine right of kings, but a gov-
ernment by divine right of the people.

Certain deputies developed in their speeches these ideas of na-
tional sovereignty which were soon after put into practice. But
what was, it may well be asked, the meaning and the significance
of such a lengthy discussion? At least two problems confronted
the commons in this act of constituting themselves, namely to de-
termine and set forth the powers, the principles, and the policy,
which they should assume as an assembly and to discover how far
public opinion would follow and support the assembly in its de-
crees. Sieves answered the first question by proposing that the
assembly should assume all the representative power, all the
power of the states general, that the privileged classes should
have no independent existence, but that they should be swallowed
up in this newly created nation. In dealing with the second ques-
tion the use of diplomacy was thought more expedient. The mo-
tion defined the existence and the powers of the assembly, and
the title, to which the public would chiefly look, could be easily
modified as the principle for which the assembly stood, namely, a
national assembly, was in the eyes of the public realized. What
but that hindered Sieves from proposing the title, national as-
sembly, which public opinion had already consecrated? This
formula had repeatedly been used before, and even by the king
and the ministry. Sieyes had already proposed it in the con-
clusion of his famous monograph, Qu'est-ce que le tiers ctaif
Mirabeau had used the expression continuously both in his private
and public letters and in his speeches, and other deputies had em-
ployed it in their writings. Since the opening of the states gen-

45

46 Carl Christ ophelsmeier

eral various deputies had made use of it in their writings and
their speeches. Assemblee naiionalc had appeared even in the
king's own letter to the three orders on May 28. The conciliatory
commissioners of the three orders had repeatedly used the des-
ignation in their discussions, and the commissioners of the clergy
and the nobility had raised no objection to its frequent appear-
ance in the proces-verbal des conferences. True, the phrase had
been used in the sense of the states general, but did not the motion
declare that the assembly should exercise the whole of the powers
of the states general?

The title which the assembly was to adopt in constituting itself
was considered a sort of written constitution for the assembly.
The title ought, in the fewest words possible, to express and cir-
cumscribe the composition as well as the powers of the assembly.
It was the phrase, connns et verifies, of the title, Assemblee des
representants connus et verifies de la nation frangaise, that was
the descriptive and limiting feature of this title. It was also this
phrase that, from the standpoint of the assembly, did not give any
independent legal existence to the deputies of the clergy and of
the nobility. And since these deputies could have no separate
existence as orders — the majority, the commons, had decided
against it — it was thought that they would finally join the as-
sembly and take part in the work of the states general. The union
of all the deputies of the three orders in one assembly wouid de-
stroy the significance of the phrase, connus et verifies. And to
expunge these words would leave the title entirely synonymous
with that of national assembly. Again, the credentials had been
verified by the deputies of the tiers-etat, so nation Frangaise stood
for the assembly of the deputies of the tiers-etat, or, expressed in
the language of Sieves' resolution adopted on June 10, U as-
semblee des communes. This included, of course, all the deputies
of the clergy and of the nobility who had already presented or
who would yet present their credentials to the assembly. And
nation frangaise stood for assemblee de la nation frangaise. or
assemblee des deputes, or des representants de la nation fran-
gaise. To have substituted any one of these phrases for nation
frangaise would have made the title different only in expression

46

The First Revolutionary Step 47

but not in meaning. And with the omission of the words, connus
et verifies, the title would have expressed nothing more nor less
than the name national assembly.

And why should the assembly accept the entire proposition of
Sieyes as favorably as it did, when so many radical members were
present? Why was the short, the suggestive, the well-known
title, national assembly, not proposed immediately after Sieyes
left the floor, and why should it be passed over as unnoticed when
it was proposed after a whole day's discussion? The leaders evi-
dently avoided it, and the great majority of the members had
complete confidence in Sieyes and his tactics. For several days
previous to June 15, a large number of the deputies had known
of the plan of Sieyes, and they had given, in advance, their hearty
support to it. 1 The projects of Sieyes were prepared before June
10, for after the reading of his, motion on that day, he had re-
ferred to them. He had explained to the assembly that the ques-
tion of constituting itself could only be taken up after the com-
pletion of the verification of credentials. Also the personality and
popularity of Sieyes gave weight to the proposed title. He was,
for the moment, the acknowledged leader of the assembly; 2 his
ability and great devotion to the cause of the third estate were
well known; his motion of June 10, which had so entirely met
with the desires of the commons, had given him, already famous,
still greater prestige. The vast majority of the deputies, includ-
ing those from Brittany, favored both his motion and his title.
The assembly was forced to be arbitrary in its decision. It had
no legal nor customary right to constitute itself as the only as-
sembly and to declare against the veto power of the other orders,
but in taking such a resolute step, Sieyes desired to give as little

1 Courrier de Provence, Lettre XI, 4; Duquesnoy, I, 98: "Si favorable
a ceux a qui les motions ont ete communiquees d'avance, et si cruel pour
ceux qui, etrangers a tous les partis, a toutes les coalitions, ne connaissent
de projets que ceux qui se forment dans cette assemblee." Duquesnoy took
this extract from Creniere's speech made on lune 16. Journal dcs _ ctats-
gencraux, I, S6-87. All the deputies awaited the moment of constituting
themselves and "s'y etaient prepares, et depuis quelques jours les motions
etaient deja fortes, et ce fut a les lire que Ton employa cette seance" of
lune 15.

2 Dumont, 52-54.

47

48 Carl Christophelsmeier

affront to the other orders and to cause as little public opposition
as possible. A longer title did express better the actual position
of the assembly and was therefore preferable to a bolder title
which would cause more antagonism. Not only the king and the
court, not only the privileged classes, especially the deputies of
the clergy and of the nobility, not only the public even, but the
deputies of the commons themselves had to be reckoned with.
Some of the deputies were still more or less timid and hesitating.
It is true that most of the timid ones had been won over by the
evening of June 14, but it was still a question just how steadfast
they would be in action. In order to be successful, all the depu-
ties of the assembly had to stand together and be ready for the
worst consequences. Sieves, as well as other leaders, realized
the seriousness of this step. But the moral strength of the as-
sembly had been fully tested during the sessions of June 15, 16,
and 17, and the commons had been sufficiently supported by en-
couragements from the outside to justify it in the course that it
followed. 1 The lengthy and even violent debates that arose were
due not to any fundamental difference in opinion among the
deputies, not to any enmity among the members, but rather to
the many plans prepared beforehand. The debates showed the
interest and the strength of the assembly in this question of con-
stituting itself rather than division and weakness. The deputies
had their hearts set on success, and their enthusiasm inflamed the
public.

Concerning the animated debate which followed the reading of
Sieves' motion. Mirabeau wrote : 2 "The session of the fifteenth
has up to the present been one of the most remarkable, both be-
cause of the gravity of the subject and for the extent of the dis-
cussion and the number of persons who have taken part." Many
spoke in favor of Sieves' motion ; others presented motions and
titles which they had prepared. It was thought by some that
the assembly did not represent the entire nation and all its in-
terests, and a motion was presented to constitute itself as an

1 La revolution frangaise, XXIII, 533, 534.
-Courrier de Provence, Lettre XI, 3.

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The First Revolutionary Step 49

assemblee de represeiitants dc vingt-cinq millions de Frangais. 1
Le point du jour of June 19, 1789, 2 says: "M. Barrere de
Vieusac, depute de Bigorre, proposed represeiitants de la tres-
majeure partie des Frangais dans I' assemblee nationale, and Che-
rest quotes Barrere as proposing reprcscntants legitimes de la
majeure partie des frangais on de vingt-quatre millions d'hommes
dans Vasscmblee nationale." 3

The speech of the day was delivered by Mirabeau. 4 Arthur
Young, who heard him, says : "Mons. de Mirabeau spoke without
notes for near an hour, with a warmth, animation, and eloquence
that entitle him to the reputation of an undoubted orator." 5
Mirabeau advocated the title, "Representatives of the French
people." We learn from his journal and from his tremendous
exertion during the debate that Mirabeau considered the matter
of the title of the very highest importance. He began by saying
that he had been afflicted for several days with a very disagreeable
fever, which was attacking him at that very moment and weak-
ened him greatly. He begged his audience, therefore, to be very
quiet and attentive ; their sympathy would furnish him strength
during his discourse; he wished to present a number of resolu-
tions upon which he had meditated a long time and which he had
drawn up when he was not suffering as he was at present. 6 By
way of introduction, he spoke of the advantages to the commons
of having waited so long before constituting themselves. Time

^Courrier de Provence, Lcttre XI, 7; Duquesnoy, I, 96: "Representants
de 26 millions d'hommes, idee vague, abstraite, dont le resultant serait de
nous laisser ce que nous sommes et ne nous donnerait aucun droit a la
legislation." Biauzat, II, 117.

~Le point du jour, no. I, 1.

3 Cherest, III, 151; Cherest, III, 148, 150, 151, 152, states that the "Pro-
ces-verbal des seances de I'ass. nationale, in - 4°, t. I, 3 e partie, Annexes,
p. 13 et suiv." contains the motions of Sieves. Barrere, Mirabeau, and
Mounier. The original octavo edition of the Proces-verbal has only the
motion as finally carried on June 17 (I, 2-4).

*Courrier de Provence, Lettre XI, 7-30. For Mirabeau's speech and
motion, see also Biauzat, II, 117 ; Duquesnoy, I, 96 ; Journal des etats-
generaux, I, 90, 91 ; Revue dc la revolution, XIII, Documents inedits, II ;
Dumont, 61, 62.

5 Young, 164.

a Courrier de Provence, Lettre XI, 7-8; Journal des etats-generaux, I,
90-91 : "M. de Mirabeau presented another plan which is perhaps more

49

50 Carl Christophclsmeier

had been given for the spirits to calm themselves and for the
friends of the public welfare to come to the support of justice
and reason. The deputies had shown great moderation and cour-
age. "However, time is gliding away, the pretensions, the
usurpations of the two orders have increased ; your wise modera-
tion has been taken for weakness; one (the opposite party) has
conceived the hope that ennui, anxiety, public misfortunes, con-
stantly increased by almost unheard of circumstances, would
force you to some pusillanimous or rash step. Behold, this is the
moment for reassuring yourselves, and for inspiring your adver-
saries with discretion, with fear, I almost said, with terror, in
showing from your first operations foresight and ability joined
with the gentle firmness of reason."

Continuing, Mirabeau indicated how easy it was just now to
take very radical resolutions, especially if urged on by a passion-
ate speech. He flattered the assembly and reproached the upper
orders. 1 The private interests of the orders were opposing the
general interests. The orders wished to keep the nation divided
into two classes, "oppressors and oppressed ; they exert them-
selves to perpetuate a sham constitution according to which a
single word pronounced by one hundred and fifty-one individuals
can check the king and twenty-four million men; 2 a constitution
according to which two orders that are neither the people nor
the prince will make use of the second (the king) in order to op-
press the first, of the first (the people) in order to frighten the
second, and of circumstances in order to reduce everything which
is not they to nothingness." But all these truths teach them "the

noble and great" than the one of Sieyes, "not more prudent and wise,
however." "II parla pendant pres d'une heure ; le patriotisme qui l'animait
ne lui permit pas de penser a la fievre qui le travaillait dans ce moment,
ou plutot il triompha de son mal pour ne s'occuper que des maux de la
patrie. Jamais il ne parla avec tant de feu, tant d'eloquence; jamais il ne
dit des verites aussi dures, aussi energiques a la noblesse et au clerge."
See also Lettres de Mirabeau au Major dc MauviUon, 467.

1 Courrier de Provence, Lettre XI, 9: "Vos droits sont si evidents, vos
reclamations si simples, et les precedes des deux ordres si manifestement
irreguliers, leurs principes tellement insoutenables, que le parallele en
serait au-dessus de l'attente publique."

2 By one hundred and fifty-one, Mirabeau means the majority of the
deputies in any one of the chambers of the clergy and of the nobility.

50

The First Revolutionary Step 51

necessity of wisdom and perseverance in order to arrive at a con-
stitution which shall draw us from so deplorable a state of things,
and of proportioning our emulation and our efforts to the diffi-
culties of this enterprise, sublime, no doubt, but simple, and which
demands only the cooperation of statesmen 1 and the support of
their wishes ; for it is to the development of reason that nature
has intrusted the eternal destiny of societies ; and it is reason alone
which is able to make laws that are binding and durable f and it
is reason and law alone that can govern man in society."

Mirabeau's wise guidance is seen in this address. The assem-
bly should advance, but towards a goal that it could reach, that
could not escape it. It was forced to take a firm forward step
now. All peaceful means were exhausted, the conferences were
closed. "It is necessary to constitute ourselves ; we all agree as
to that; but how? with what powers, with what title?'' 3 States
general was improper "for it supposes three orders, three estates,
and certainly these three orders are not here. But who will pro-
pose to us to constitute ourselves with some title synonymous
after all with that of states general ? I shall always ask : will you
have the sanction of the king? And how can you dispense with
his sanction? May the authority of the monarch be in abeyance
for a moment? Is it not necessary that he should concur in your
decree were it only that he should be bound thereby ? And when
it is denied, against all principles, that his sanction is necessary
in order to make binding every act outside of this assembly, will
he accord to subsequent decrees his sanction?" 4

1 "Lumieres."

2 Conrrier de Provence, Lettre XI, 12. "Obligatoires et durables."

3 Ibid., 199. "II faut nous constituer, nous en sommes tous d'accord;
mais comment? Sous quelle forme, sous quelle denomination?"

*Courrier de Provence, Lettre XI, 13: ''Nous proposerait-on de nous
constituer sous quelqu'autre denomination synonime apres tout de celle
d'etats-generaux ? Je demanderai toujours : aurez-vous la sanction du roi?
Et pouvez vous vous en passer? L'autorite du monarque peut-elle som-
meiller tin instant? Ne faut-il pas qu'il concoure a votre decret, ne fut-ce
que pour en etre lie? Et quand on nierait, contre tous les principes, que la
sanction fut necessaire pour rendre obligatoire tout acte exterieur de cette
assemblee, accordera-t-il aux decrets subsequents une sanction dont on
avoue qu'il est impossible de se passer, lorsqu'ils emaneront d'un mode de
constitution qu'il ne voudra pas reconnaitre?" La revolution francaise,
XXIII, 533.

51

52 Carl Christ ophelsmeier

This part of the speech was a criticism of the motion of Sieves.
Mirabeau continued : "Are you sure that you have the support
of your constituents ?" The people did not care for metaphysical
discussions. They must be considered more than they had been
because they were of the greatest importance. "They are the de-
velopment and the consequence of the principle of national rep-
resentation, the basis of every constitution." The people did not
care for a system of rights and theory of liberty, but they wanted
relief from present oppressions. The people in time would de-
mand more, but it was necessary for the assembly to adapt itself
to circumstances. The assembly needed for its support the irre-
sistible power of public opinion, public confidence, the unlimited
devotion of the people. But public opinion was unstable, it was
very easy to persuade it to sell the constitution for bread. "We
are all here," he said, "under the form of convocation which the
king has given us. Without doubt you can and ought to change
it, when you become an active assembly ; but can you do it today ?
Can you do it before being constituted ? Can you do it in the act
of constituting yourselves ? By what right do you today pass the
limits of your instructions? Are you not called as estates? Has
the provisional legislator not supposed three orders, although he
has called them in one single assembly ? Your mandates, your
cahiers, do they authorize you to declare yourselves assemblee
des sculs represcntants connus et verifies! And you can not say
that the case in which you find yourselves has not been foreseen.
It has been only too clearly, for some of your mandates instructed
you to withdraw, if it should be impossible to arrive at a deliber-
ation in common, but there is not one which authorized you to
call yourselves les seitls represcntants connus et verifies.

"And if you do run aground, if the king refuses you his sanc-
tion, if the two orders protest, if you are without his authority,
what then? Dissolution or prorogation. . . The evident con-
sequence of which will be the unbridling of all the vengeances,
the coalition of all the aristocracies, and hideous anarchy which
always leads to despotism. You will have pillages, you will have
massacres ; and you will not even have the execrable honor of a
civil war." Sieves' title was unintelligible and not dignified and

52

The First Revolutionary Step 53

would need to be changed after the union of the orders. "Do not
take a title which frightens. Choose one which no one can con-
test with you, which, more agreeable, and not less imposing in its
plenitude, is suitable at all times, is susceptible of all the devel-
opment which events will permit, and which may, if necessary,
serve as a lever, as it were, which will assist in establishing the
national rights and principles.

"Such is, in my opinion, the following formula: Represent-
ants du peuple frangais."

No one could dispute this title with them and it was capable of
the greatest development. The other orders would be forced to
adhere to it. If they should refuse, "we will pronounce default
against them, and then all the world will be able to judge between
us." But to constitute the assembly, to give to it a title, was not
enough. "It is necessary to establish our principles ; the rational
and intelligent principles, which up to the present have directed
us. . . It is necessary to show why and how we are going to
enter upon our active career;" that the orders were the cause of
division, that the orders had no veto, no right to take separate
resolutions from that of the assembly. "It is necessary to an-
nounce our intentions and our views ; it is necessary to assure, by
a course equally wise, legal, and progressive, the soundness of
our measures, to maintain the resources of the government, in
so far as they may be made to serve the national welfare, and to
present to the creditors of the state the hope of this security
which they desire, which the national honor requires us to offer
to them, which is the great and first object of our convocation
and of our wishes.

"It is to this end that have been drawn up the resolutions which
I shall have the honor to read to you." After an introduction in
which he presented a resume of the events since June 10, Mira-
beau read eight resolutions. 1 In these resolutions the words, na-
tional assembly, occurred again and again. The national assem-
bly convoked by the king was composed of the deputies of the
three orders ; the deputies, of whatever order they were, had an
individual and common right to sit together in the national as-

1 Courrier de Provence, Lettre XI, 15.

53

54 Carl Christophelsmeier

sembly. After the refusal of the upper orders to meet with them,
those deputies whose credentials had been verified on June 13
and 14 should declare that the other deputies could receive legal
authority only by presenting their credentials to the national as-
sembly and by their confirmation in the national assembly. The
deputies whose credentials were verified were authorized to or-
ganize and constitute themselves, "and they do so by the present
resolution, with the powers and the title of assemblee des repre-
sentants du pen pie de France; they enter at once into activity as
such and proceed consequently to the election of a president and
other necessary officers. . . . Resolved that by constituting
themselves as an active assembly and with the powers of assem-
blee des representants du peuple de France, the assembly does not
intend to put any obstacles in the way of the much-desired union
of the other deputies with the representants du peuple dans V as-
semblee national/' 1 "Resolved that the assemblee des represen-
tants du peuple de France will occupy itself, without any relaxa-
tion and with all the speed of which it is capable, with plans in
order to aid the great and noble efforts of the king and to satisfy
the expectation of his people for the welfare of the kingdom, by
communicating directly to his majesty various measures which
he shall esteem most proper to fill this end ; but it shall never
recognize in the deputies of the privileged classes, no matter how
many there are, any veto, that is, any right of opposition by sep-
arate deliberation taken outside of the national assembly to any-
thing that shall be judged necessary for the general well-being of
France."

"Whereas any taxes, that is to say, any levy of funds for the
public needs, under whatever form or name the levy may be es-
tablished, may not legally exist without the express consent of
the people by its representatives in the states general and only

x Courtier de Provence, Lettre XI. Resolution four reads: "R'esolu
qu'en se constituant en la forme et qualite d'assemblee des representants
du peuple de France, l'assemblee n'entend point mettre d'obstacles a la
reunion si desiree des autres deputes avec les representants du peuple dans
l'assemblee nationale, qu'elle sera tou jours prete a les regevoir aussi-tot
qu'ils temoigneront le desir de se joindre a eux dans l'unique qualite que
leur assigne la raison et l'interet national, et de se faire legalement recon-
naitre en l'assemblee nationale, par la verification de leurs pouvoirs."

54

The First Revolutionary Step 55

for such time as they shall judge it proper; whereas, again, this
principle, sacred in every constitution in which the people is
counted for something, has been acknowledged even by his maj-
esty himself, by the sovereign courts, and by the unanimous wish
of the people, as one of the essential bases of the monarchy ; and
whereas, finally, not one of the existing taxes is legal, either be-
cause of its origin or because of its extension since its origin, the
assemblee des representants du peuple declares them all null and
legally suppressed." The people had not given their consent to
the taxes, but since the public credit had to be maintained, since
money was needed, and since it would take time to establish a
new order of things, "the assembly consents, provisionally, in the
name of its constituents," to the existing taxes ; but they should
be legally collected only during the time of that session of the
states general. 1

''Resolved that as soon as the principles, according to which
the regeneration of the kingdom shall be effected, are legally de-
termined and established, the rights of the people assured, the
basis of a rational and satisfactory constitution laid down and
established and secured by the protection of the legislative power
of the king and of the national assembly, the representants du
peuple de France will take all the necessary steps toward secur-
ing the creditors of the state ; that the debt of the king, which
will then become that of the nation, may have henceforth for se-
curity even the honor and trust of this nation and the surveil-
lance of its representatives, the organ and depository of the sacred
treasure of public credit."

The eighth resolution provided that the above resolutions, to-
gether with an address expressing the motives for the measures
taken since the former address, 2 be presented to the king. Mira-
beau then continued : "You have heard, gentlemen, the series of

1 One of the main motives in calling the states general was to establish
order in the finances. This resolution was therefore an important one. It
expressed an innovation. It is referred to by the deputies who informed
their constituents in regard to the doings of the assembly. We shall see
that although Mirabeau's title was rejected his resolutions were in sub-
stance adopted on June 17. Biauzat, II, 117; Duquesnoy, I, 96; Young,
164.

2 Proccs-verbal, I, 41-48. The address of June 13.

55

56 Carl Christ ophclsmeier

resolutions by which I think it necessary to support the title under
which I propose to you to constitute our assembly." He made a
final plea for his title and showed its advantages over that of
Sieyes.

Mirabeau's speech was listened to with sustained attention. 1 It
was well heard all over the hall and was much applauded. A
little later, however, it was violently attacked.

Another motion of which record has been made was that of
Mounier. He proposed that the assembly constitute itself as an
assemblee legitime des representants de la majeure partie de la
nation, agissant en I' absence de la mineure partie. 2 Mounier op-
posed the other titles as being dangerous and inexact. He sup-
ported in his turn several of the principles laid down by Sieyes
and Mirabeau. His motion at first gained some favor; Barnave
was one of the principal supporters of it. 3 He "defended this
motion with much art, much ingenuity, in trying to show that it
was conciliatory and similar to that of the Abbe Sieyes. He com-
batted ingeniously the title of representants du peuple."

Rabaut de Saint-Etienne favored Mirabeau's title, "assemblee
des representants du peuple de France."* His motion contains
such expressions as the assembly "ought to be one because the
nation is one" ; consequently "all the operations and measures of
the assembly, both preliminary and subsequent ones, ought to be
one also" ; all the "deputies have an interest and a right to know
one another" ; "no one ought to be considered deputy of a bail-
liage, of a senechaussee, of a city, nor of a particular class of the
French people." Only those whose credentials were verified in
common were deputies. In a series of resolutions which he pre-

1 Courrier de Provence, Lettre XI, 30; Young, 164.

*Courrier de Provence, Lettre XI, 31-32; Journal des etats-generaux,

I, 91-92. Both give the motion in the same words. Young, 164, says,
"the legitimate representatives of the majority of the nation." Biauzat,

II, 117, says that a fourth motion was made, "tendante a nous faire de-
clarer representants de la plus grande partie de la nation." He thinks this
motion was made by Le Meunier (Demeunier"). He ascribes to Mounier
the title, "Representants de la nation."

3 Ibid.; Oeuvres de Barnave, I, p. XLI.

4 Journal des etats-generaux, I, 92-95 ; Coarrier de Provence, Lettre XI,
32.

56

The First Revolutionary Step 57

sented and in which the above ideas are embodied, separate veri-
fication of credentials and separate assemblies of deputies were
declared invalid and the measures of the assembly of the repre-
sentatives of the French people made subject to the king's veto
power only. In five further resolutions which he wished passed
as decrees, Rabaut proposed that the assembly "declare all the
existing taxes suppressed" for they had been established without
the consent of the nation; "it creates them anew," however, only
for the period of the present session of the states general. In
case the present states general be dissolved without having freely
consented to the taxes, "the taxes shall remain suppressed." The
resolutions promised that as soon as the assembly should be prop-
erly constituted provision should be made for the national debt;
that a loan should be made to provide for the current expenses
of the state; that the present decision be taken to the king, that
the motives of the action of the assembly be explained to him, and
that he be asked for his sanction. He advised further that Necker
be asked to make an estimate of the financial needs of the gov-
ernment. Young says that all propositions "were well approved,
except the loan, which was not at all to the feeling of the assem-
bly." 1 Biauzat states that Rabaut explained that he understood
by this word (peuple) all Frenchmen, with the exception of the
nobility and of the clergy. M. de Mirabeau, on the contrary,
claims to comprehend in this word (peuple) all the French in
general. 2

Biauzat developed his motion of the day before. 3 According
to him, Treilhard proposed that in order to deliberate prudently

1 Young, 165; Journal des etats-generaux, I, 95-96; Duquesnoy, I, 97:
"Rabaut de Saint-Etienne, en adoptant la motion de Mirabeau, n'a pas
rougi de voter un emprunt." Many cahiers had contained instructions
that no taxes or loans should be voted until after the constitution had
been put into practice.

2 Biauzat, II, 117; Journal des etats-generaux, I, 95.

3 Biauzat, II, 117: "Etant a mon tour de parler, car nous sommes ap-
peles sur le role fait a mesure des demandes de la parole, j'ai developpe
ma motion d'hier." Thus far the order of the principal speakers at least
may be ascertained. But after the motion of Rabaut de Saint-Etienne the
order can not be established with the sources of information at my com-
mand. Gaultier de Biauzat states that he himself was followed by Mounier
who presented a sixth motion, while our other sources place Mounier im-
mediately after Mirabeau.

57

58 Carl Christophelsmeier

in every important matter, an interval of twenty-four hours
should intervene between the motion and the discussion, and pre-
paratory observations should be first listened to in the bureaus. 1
And according to the Journal des etats- gene rait. r, Tronchet read
an article from the cahiers of Paris in support of -his demand for
two considerations of every really important question before its
adoption. 2 The object of such demands as these was always
either to postpone action altogether or else to give every member
an opportunity to speak upon all motions after each reading and
thus prevent the assembly from passing any precipitous or dan-
gerous measures.

Judging from the order of the speakers, so far as it may be de-
termined, it seems that this speech closed the morning session.
But there was another session in the evening of June 15 in which
the discussion was continued. More than thirty persons spoke
during the sessions of June 15 on the various motions. 3 Young
says : "More than once today there were more than one hundred
members on their legs at a time, and Mon. Bailly absolutely with-
out power to keep order." 4 Because of this confusion, an im-
perfect and incomplete account was kept. There occurred a
great deal of repetition in the debates ; men's minds tired of keep-
ing a record. 5

During the evening session both Mirabeau and Sieyes spoke
again. Each developed his motion, each attempted to explain
away the objections made to it and to show the fallacies of the

^iauzat, II, 117: "M. Treilhard, avocat au parlement."

2 1, 96.

3 Courrier de Provence, Lettre XI, 33: "Le debat de ces trois motions
(the motions of Mirabeau, Sieyes and Mounier), attaquees ou def endues
par plus de trente personnes, dans le premier jour, a prouve que notre na-
tion, quoique si long-temps etrangere aux deliberations publiques, est tres-
capable de saisir ce genre particulier, qui ne permet ni la precision de
l'ecrivain, ni la loquacite du barreau."

4 Young, 165, 166. Young continues : "This arises very much from
complex motions being admitted ; to move a declaration relative to their
title, to their powers, to taxes, to a loan, etc., etc., all in one proposition,
appears to English ears preposterous."

5 While we have a rather satisfactory account of the discussion of the
morning's session held on June 15, the record of the evening session and
the two sessions of the following day is very imperfect. Men either tired
of taking notes or few new ideas were presented.

58

The First Revolutionary Step 59-

other motions. 1 Target spoke also: "It is certainly necessary to
constitute ourselves, but when? Today. In what manner? As
Sieyes has explained. The word peuple does not answer to our
idea. Does it signify the commons? Then it says not enough.
Does it signify the entire nation? That is too much. Choose a
mean which, placed between the two extremes, will neither com-
promise our rights nor our principles. 2 We are the known rep-
resentatives of the nation." 3 Chapelier spoke also and again
showed his boldness. He proposed that the phrase connus et
verifies be dropped and that the title presented by Sieyes be
changed to representants dc la nation frangaise legalement veri-
fies. This change indicated a step in advance ; it brought Sieyes'
title nearer the goal, national assembly. "This amendment was
supported by several members and generally approved" by the
assembly. 4

Bergasse favored the motion of Sieyes, but accepted Chapelier's
recommended change in the title. 5 He explained the purpose of
Sieyes in inserting connus et verifies, viz., "in order to calm our'
fears, also to inform the other two orders that, in taking the title
which is proposed to us, we do not pretend to deprive them in
any way of the power of representatives of the nation, and that
we wish only to remain faithful to our principles, to the system
which we have adopted in the common verification of creden-
tials, the system which permits us to recognize as deputies of the
nation only those who shall have consented to have their creden-
tials verified in common with us." Bergasse thought that such
fears were not well founded and that, therefore, the phrase connus
et verifies was not necessary. The title assemblee des communes,
even the title representants du peuple, was not a proper one.

1 Biauzat, II, 118; Duquesnoy, I, 97; Journal des etats-gencraux, I, 103;
Courrier dc Provence, Lettre XI, 37, note.

2 Biauzat, II, 118; Journal des ctats-generaux, I, 98, 99; Duquesnoy, I, 97.

^Journal des etats-gencraux. I, 98, 99. Target emphasizes the impor-
tance of the question under discussion : "II faut decider avec prudence,
mais avec celerite; et ce n'est qu'avec effroi que j'arrive a la discussion."

4 Journal des ctats-generaux, I, 102.

5 Journal des ctats-generaux, I, 100-2 ; Duquesnoy, I, 97. The Archives
parte mentaires, VIII, 114-18, claims to possess the entire speech of Ber-
gasse. The extracts given in the Journal des etats-gencraux agree w'th it.

59

60 Carl Christophelsmeier

True, the deputies of the assembly were elected by the commons
or the people and they had also to deal with this class very largely
in their business as an assembly, but they were instructed by their
constituents to prepare a constitution, and they had to take into
consideration, therefore, all the interests of the nation, and Ber-
gasse maintained that the most fitting title for such an assembly
was assemble e des representants de la nation. "Elected by the
nation in order to organize the political system of the nation,
your assembly can not constitute itself otherwise than as assem-
ble des representants de la nation." Bergasse said that the ob-
jection found to this title was that it would wound the privileged
classes and that it would end in alienating them, when the assem-
bly had announced that it would never give up the hope of the
union of all the deputies elected to the states general. "I answer,
first, that even though such consideration were well founded, yet
the principles which I have just developed are not less true, and
when the making of a constitution is in question, it is not deter-
mined by considerations, but it is based upon principles.

"In the second place, I answer that it is wrong for you to fear
that you wound the deputies of the privileged classes. They cer-
tainly agree with you in principle ; surely no one but a deputy of
the nation can work in the interest of the nation; they certainly
agree with you, for if they would consider themselves only as
deputies of the clergy, or only as deputies of the nobility, they
would have no right to occupy themselves with the totality of the
interests of the nation, for example with the making of the
constitution." 1

Bergasse proposed another amendment to the motion of Sieyes,
namely : that as soon as the assemblee des representants de la na-
tion was constituted, a committee ought to be appointed for the
purpose of setting forth the motives of the assembly in consti-
tuting itself in the manner that it had, and also of showing the
necessity of vote by head, and the indivisibility of the states gen-
eral. This statement should be presented to the king and should
be made public. 2

1 Bergasse, like the other principal speakers, repeated some of the ideas
expressed by Chapelier in his motion of May 14.

2 Archives parlementaires, VIII, 118; Journal des etats-generaux, I, 101,
102.

6o

The First Revolutionary Step 61.

Thouret favored Mounier's motion and spoke against the titles
presented by Mirabeau and by Sieves. 1 He said that if pcuple
stood for plebs the title admitted distinction of orders, but if for
populus, "you increase the rights and the claims of the commons
too much." He maintained that "it is necessary to constitute
ourselves in such a manner that, when the clergy and the nobility
have united with us, change in the constitution will be found
unnecessary." 2

"M. Malouet expressed himself with much force. He main-
tained with sound arguments that the assembly could take no
other title than that of represcntants du peuplc." z In supporting
Mirabeau's title, Malouet made use of some of Mirabeau's argu-
ments. 4 He said : "I adhere to the proposition which proclaims
us exactly what we are, represcntants de la majeure partie de la-
nation, or representants du peupie. . . To constitute ourselves
a national assembly without reference to the clergy and to the
nobility, will cause a disastrous schism which will produce the
dissolution of the states general." The assembly should never
recognize the separation of the orders, nor their pretensions of
possessing a veto power. He favored, also, the proposal that an

'■Journal des etats-generaux, I, 103. Biauzat (II, 118) states that the
speech of Thouret influenced him to withdraw his motion. Courrier de
Provence, Lettre XI, 36, 46, 47.

2 After the union of the three orders, the phrase representants de la
majeure partie de la nation would certainly be no more applicable than the
titles proposed by Sieyes and Mirabeau.

3 Courrier de Provence, Lettre XI, 32-34. The motion of Malouet is
given in a note on page 215. His speech as given in the Moniteur (I, 76-
78) is found in the Point du jour, introductory volume, 384-90. The Jour-
nal des etats-generaux, I, 104, 105, does not reproduce the speech or mo-
tion. It says that the deputies did not listen to his reading and Biauzat
states (II, 118) that he was interrupted several times. The Courrier de
Provence and the Moniteur do not agree.

*The speech of Malouet shows that he was a man of great ability. He
was yet young and very ambitious. His forwardness and his readiness to
take part in the discussions had made him many enemies. His seat had
been contested. He was thought by some deputies to be in league with the
court. He had on May 15 advised that, in order to persuade the deputies
of the clergy and of the nobility to common verification of credentials,
their property and social prerogatives should be guaranteed and that com-
mon verification should not prejudice the question of a single or separate
chambers. See Biauzat. II, 33, 38, 39, 48, 63, 114, 115; Duquesnoy, I, 9, 10;.
12, 23, 24 ; Proces-vcrbal, I, 73 ; Journal des etats-generaux, I, 27-29.

6i

62 Carl Christophelsmeier

address be presented to the king and to the public. The king's
veto power was necessary. "May our assertion [of the right of
the majority] become a law? Yesterday, today, we are still the
deputies of the commons. May a simple expression of our will
transform us into a national assembly? In this manner he fur-
ther criticised the motion and title proposed by Sieyes, modified
to asscmblee des represenlants de la nation. "What does the or-
ganization as representants de la nation signify? What law au-
thorizes it? Where is the sovereign will that has expressed this
just and useful intention? Are we alone the legislative power?
Are we able to supply it? Has the general will authorized you
to act thus ? Have your constituents instructed you to constitute
yourselves in this manner? It is true, gentlemen, that you are
more essentially the representatives of the nation than are the
deputies of the clergy and the nobility ; for the first elements of
the social and political power consist in the national body which
has appointed us. But instead of annihilating them [the orders]
you put them into action against you, if you go beyond your pow-
ers." Sieyes' title was a direct criticism on the other orders.
"This attack provokes instantly a defense, a resistance, a schism."
The eloquence and good sense of this speech did not influence
the assembly. Its effect was negative ; it even hurt Mirabeau's
motion. Dumont says, speaking of Mirabeau's motion : "This
motion, not very well understood at first, was not strongly op-
posed, but when Malouet, who passed for a ministerial, was seen
to support it and was bringing the moderates to his way of think-
ing, the popular party in alarm commenced a violent attack on
Mirabeau. The word pcuple, at first thought synonymous with
the word nation, was now placed in another light, as having been
invented to form opposition with the nobility and clergy who
were not the people and pretended to be above them. Invectives
were not spared. Mirabeau was termed an aristocrat in disguise
who had insidiously endeavored, by this title, to vilify the true
representatives of the French nation. The tempest, increasing
by degrees, seemed to burst with tenfold fury. 1 Mirabeau's mo-

1 Dumont, 73. Mirabeau was not trusted and was often accused of being
sold to the court. See especially the letters of Duquesnoy.

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The First Revolutionary Step 63

tion was doomed, while that of Sieyes gained correspondingly in
popularity. Young says : "All conversation on the motion of
l'abbe Sieyes being accepted, yet that of Mirabeau better rel-
ished." Mirabeau's "character is a dead weight upon him." 1

The question was not decided during the sessions of June 15.
"In all probability," wrote Young, "it will be unfinished even
tomorrow, as the number that will speak on it is very great." 2
At ten o'clock in the evening, the assembly adjourned to nine
o'clock the following morning. 3

The leaders of the assembly had spoken during the sessions of
June 15; several of them spoke again on June 16, but on this
second day, for the most part, second-rate speakers discussed
the question of organization. 4 Camus favored Sieyes' motion
and title as amended; he maintained that by constituting them-
selves as the representants de la nation francaise legalement veri-
fies, they were expressing "a simple fact, an authentic truth. You
are the only verified representatives ; why not publish it therefore
in the face of the nation? And why speak to us of the sanction
of the king, of his veto? Can his veto prevent that the fact which
we shall proclaim, that the truth which we shall publish is always
one and always unchangeable? Can his veto prevent us from

'Young, 168.

'Ibid., 166.

3 Proces-verbal, I, 96; Journal des etats-generaux, I, 106, states, "II etait
pres de onze heures." Biauzat wrote (II, 118) at nine o'clock the next
morning: "L'assemblee n'a pas encore commence, j'ai entrevu, dans les
difrerentes groupes qui raisonnent en attendant, que la motion de M. l'abbe
Sieyes passera, et sans restriction. Les Bretons, les Dauphinois, les An-
gevins et leurs adherents, qui font capable depths pres d'un mois sur toute
matiere, epaulent ce systeme qui pourrait bien n'etre pas generalement ap-
.prouve hors de chez nous. Cependant faudrat-il bien se referer a la ma-
jorite des voix, que Ton recueillera infailliblement dans aujourd'hui."
Coitrricr de Provence, Lettre XI, 36: "L'assemblee ne se separa qu'a dix
heures et s'ajourna le [au] lendemain a huit." Revue de la revolution,
XII, Documents inedits, 112 : "Les discussions . . . se sont prolongees
jusqu'a environ onze heures."

i Courrier de Provence, Lettre XI, 36, 37: "Moins de nouveaute dans
les discours des opinants de cette seance, et par consequent moins de com-
plaisance attentive dans l'assemblee." For the two sessions held on June
16 we have an account by Hardy, printed in La revolution frangaisc, XVI,
536-39. A study of the speeches delivered before June 15 and of the com-
mittees appointed by the commons shows that the deputies who spoke on
June 15 were the chief men of the assembly.

63

64 Carl Christ ophelsmeier

being what we are and what we must be ? Can the royal sanction
change the order of things, alter their nature? We are the rep-
resentants verifies de la nation, the king can not change us to
something which we are not; he can force us not to exercise the
rights which this title gives us, but is it not necessary that this
title should extricate us?" Camus, in these words, practically
expressed the sovereignty of the people or of the commons. The
assembly could and should constitute itself in such a manner and
with such powers as it saw fit. He also severely criticised Ra-
baut's proposition of making a loan. 1

Crenieres proposed that the assembly should constitute itself
as representants de nos commettants. He, as several others had
done, advised that a certain time should elapse between the pro-
posal of a project and the voting on it. The custom of voting at
once upon important matters he thought unsatisfactory : "This
custom, so convenient for those who speak, so painful for those
who think, so favorable for those to whom the motions have been
communicated in advance, and so cruel for those who, strangers
to all parties, to all conspiracies, know only those projects which
are forming in the assembly.''" 2

Regnier and Prugnon supported Mounier's motion. The latter
wanted to substitute for the phrase en V absence de la minorite,
the expression en attendant la minorite* Both Sieyes and Mira-
beau rose in support of their motions and attempted to refute the
objections made to them. 4 Le Grand, a deputy from Berry, made
a new motion. 5 It was he who first proposed during these de-

1 Duquesnoy, I, 98; Courrier de Provence, Lettre XI, 36; Journal des
etats-generaux, I, 107-9.

2 Duquesnoy, I, 98; Biauzat, II, 119.

3 Duquesnoy (I, 98, 99) quotes Prugnon: "Les pontiles elevent les autels
de la religion contre les autels de la patrie ; ils ont consigne l'esprit public
a la porte de leur salle, pour l'empecher d'entrer. Les droits de la noblesse
sont anciens, les notres sont eternels ; les siens se perdent dans la nuit des
temps, les notres remontent jusqu'a. l'origine des societes. Si la justice
cessait d'etre sur le trone, elle se refugierait dans les communes. Les abus
sont comme ces tours antiques qu'on ne peut detruire qu'on otant pierre
par pierre et qu'il faut quelquefois laisser au temps le soin de demolir."
Journal des etats-generaux, I, 110; Biauzat, II, 119.

* Courrier de Provence, Lettre XI, 37; Biauzat, II, 119.

5 Courrier de Provence, Lettre XI, 34-36; Biauzat, II, 119; Journal des

64

The First Revolutionary Step 65

bates the title, national assembly. The two privileged classes, he
asserted, were a part, but only a small part, of the nation; they
were in the nation, but they could not have a separate existence
as chambers ; the deputies had to come to the general assembly
if they wanted to take part in the national business. The motion
declared for the indivisibility of the national assembly and against
interference in its deliberations by any right of veto. This mo-
tion was overlooked ; the hearers were tired and waiting for the
midday rest. Pison du Galland made another motion similar to
that of Le Grand. He proposed that the assembly constitute
itself as a national assembly. 1 These speakers were followed by
various deputies who for the most part favored Sieyes' motion. 2
According to Duquesnoy, 3 a Lorrain proposed the title, national
assembly. "All the speakers who followed appeared to adopt
this advice, with the exception of Mounier, who delivered a long
discourse in order to bring his motion again into favor." 4

At about two o'clock, the assembly adjourned to five that same
afternoon. 5 Almost the whole evening session was taken up,
either directly or indirectly, with the question of constituting the
assembly. 6 Mirabeau spoke in favor of his title and in opposi-
tion to the other titles. He had been angered by the reception
of the word peuple. He knew the great superiority of his title,
yet, because of his unpopularity and the great popularity of
Sieyes, it was rejected. The assembly was led by men and not
by ideas. He disliked Sieyes, according to Dumont, because he
did not flatter him. 7 He feared a revolution and saw the assem-

etats-generaux, I, 111, 112 ; Proces-verbal, I, 98 : "La discussion com-
menced hier a ete reprise. II a ete propose une nouvelle motion a l'assem-
blee sur la forme de sa constitution." This must have reference to the
motion of either Le Grand or of Pison du Galland.

1 Courrier de Provence, Lettre XI, 34, 54, 55; Biauzat, II, 119.

2 Biauzat, II, 119; Duquesnoy, I, 99. Andrieu, Robespierre, Durand, de
Maillane, Girot de Pouzols, Roussillon de Toulouse, Regnaud, Rewbell,
Bouchotte.

3 Duquesnoy, I, 99. Possibly Duquesnoy himself.

* Duquesnoy, I, 100. According to Biauzat (II, 120) and the Journal
des etats-generaux (I, 116), Mounier spoke in the evening session.

5 Proces-verbal, I, 99-104; Journal des etats-generaux, I, 113.

^Journal des etats-generaux, I, 113, 114.

7 Dumont, 70: "II etait peu content de Sieyes et des Bretons, qui ne le
flattaient point."

65

66 Carl ChristopheUmeier

bly becoming more and more radical and presumptuous. "As-
sembly of the French people" was an unassuming title and could
not cause any great antagonism and opposition. According to
Dumont, 1 Duroverai 2 and Dumont helped him to prepare a speech
that showed the strength of his title and motion and the weakness
of the others. It was difficult for Mirabeau to obtain the floor,
"but the galleries were so fond of listening to him that the assem-
bly durst not persist in a refusal."' 3

3Jirabeau expressed his surprise that, after he had repeatedly
formulated his views in favor of the indivisibility of the states
general, especially in the series of resolutions in which he had
asserted the rights and the dignity of the people, he had been ac-
cused of wanting the isolation of the orders. 4 "I speak here the
language of liberty and I take for a foundation the example of
the English and the Americans, who revere the word people." 5
He did not attempt to degrade the people. In regard to the royal
sanction, he said : "And I, gentlemen, I believe the veto of the
king so necessary that I should much more prefer to live at Con-
stantinople than in France without it. Yes, I proclaim it, I know
nothing more terrible than the sovereign authority of six hun-
dred persons, who, tomorrow, would provide for their life-long
tenure, the day after tomorrow make themselves hereditary, and
finish, like the aristocrats of all the countries of the world, in
making themselves absolute."

Mirabeau then made a comparison of his motion with those of
Sieves and Mounier. 6 He showed their similarities and dissimi-

1 Dumont, 74.

2 A Genevese; a friend to the popular cause in France. Both Dumont
and Duroverai aided Mirabeau in the editing of his paper and the writing
of his speeches.

3 Dumont, 74; Journal des etats-generaux, I, 115; La revolution fran-
caise, XVI, 537.

4 III the Courrier de Provence (Lettre XI, 37-54), Mirabeau wrote:
"L'auteur de la seconde motion reprit la parole a son tour, et Ton trouvera
dans son discours la substance de toutes les objections, de toutes les diffi-
cultes qui avaient ete faites jusqu'a ce moment. En un mot, on peut con-
siderer ce discours comme un precis de la deliberation entiere." Journal
des etats-generaux, I, 115-19.

3 Courrier de Provence, I. 219. The elder Pitt used the expression,
majesty of the people: the United States, the natural rights of the people.

6 Both Sieves and Mounier had spoken at least three times and this was

66

The First Revolutionary Step 67

larities, and the advantages to the deputies of constituting them-
selves the representants du peuple. The three motions agreed on
the four cardinal points: the necessity of constituting promptly
an active assembly ; "the declaration that our assembly is not and
may not be the states general" ; the advantage of another title,
under which the assembly might be constituted ; the necessity of
preventing an}' vote by chambers, any schism of the national as-
sembly, any veto of the privileged orders. And Mirabeau's mo-
tion was more emphatic upon this last point than were the other
motions. But what, he questioned, was the difference? What
justified the deputies in being so violent in the debates? "Why
is it that my motion, so clearly based upon principles which put
it above every criticism, so explicit, so satisfactory for every man
that detests, as I do, every kind of aristocracy, why should this
motion be pictured as so inapplicable, so little worthy of an as-
sembly of friends, of servants of this people which has charged
us to defend it?" The other titles were too lengthy and were un-
intelligible to their constituents. Connus and verifies had no sig-
nificance ; these words did not distinguish the assembly from the
other orders. The title and motion of Sieves did not agree ; a
logical conclusion of the motion would be to constitute themselves
as a national assembly, as states general. The title of Sieves was
based upon arguments and not upon positive law ; "mine rests
upon a fact, an authentic, undeniable fact, which is that we are
the representants du peuple frangais." The title of Sieyes is
weak, for "the deputies of the clergy and the nobility may decide
to come into our hall for the purpose of verifying their creden-
tials, and return afterward into their respective chambers in or-
der to vote there by order."' This action would destroy the
significance of Sieves' title. Not so with the title of Mirabeau
himself, for it would apply equally well after the union of the
orders.

After defending his title against all criticism, he delivered a
peroration "in a ringing voice." 1 He said : "I persevere in my

Mirabeau's third speech. Courrier de Provence, Lettre XI, 37 ; Lettres de

Mirabeau au major de Mauvillon, 467 ; Bianzat, II, 120 ; Duquesnoy, I, 100.

1 Courrier de Provence. Lettre XI, 37. Dumont. 74: Dumont wrote (74) :

"L'exorde que j'avais fait concilia passablement l'attention ; la partie argu-

67

68 Carl Christophelsmeier

motion and in the only expression which has called forth so much
criticism, I mean the phrase, peuple fraricais. I adopt it, I de-
fend it, I herald it abroad for the very reason that has been urged
against it. Yes, it is because the word peuple is not enough re-
spected in France, that it is made obscure, covered with the rust
of prejudice; because it presents an idea alarming to our pride
and revolting to our vanity; because it is pronounced with con-
tempt in the chambers of the aristocrats. It is for these very
reasons that I wish it ; it is for these very reasons that we ought
to assume it, not only to elevate, but to enoble the name and ren-
der it thus henceforth respectable to ministers and dear to every
heart. If this title were not already ours, it should be selected
from among all others, and we should insist upon its adoption
as the most precious method of serving that people, which is
everything, from whom we derive our authority, that people
whose representatives we are, whose rights we defend, and yet
the assumption of whose name and title seems to raise the blush
of shame on our cheeks. Ah ! how I should exult, if by the choice
of such a title, firmness and courage were restored to the down-
trodden people! My mind is elevated by the contemplation of
futurity, of the happy results which may proceed from the use,
the adoption, of this name! The people will look up to us, and
we will look up to the people; and our title will remind us of
our duties and our strength. Under the shelter of a name which
neither startles nor causes alarm, we can sow and cultivate the
seeds of liberty. . . Representatives of the people! vouchsafe
to answer me! Will you go and tell your constituents that you
have rejected this name of people? That if you are not ashamed
of them, yet you have endeavored to elude this name as appear-
ing not a sufficiently flattering title? That you wanted a more
fastidious title than that which they could confer upon you?
Gentlemen, do you not perceive that the title of representants du

mentative passa entre des applaudissements et des murmures ; mais cette
peroraison, qu'il prononca d'une voix tonnante, et qu'il fit ecouter par une
sorte de terreur, de quel effet elle fut suivie! Ce ne furent -pas des ens,
mais des convulsions de rage; l'agitation fut generate, une tempete d'in-
jures fondit de toutes parts sur l'orateur, qui restait immobile et debout."

68

The First Revolutionary Step 69

peuple is absolutely necessary, inasmuch as it will insure to you
the attachment of the people, that imposing mass, without which
you would be nothing but single individuals, nothing but slender
reeds which might easily be broken one by one ? Do you not see
that you require the word people, because it informs the people
that you have united your fate to theirs, because it will teach
them to center in you all their thoughts and all their hopes?"

Especially the last part of this oration aroused great animosity
in the assembly. 1 "It was succeeded, not by cries, but by convul-
sions of rage." 2 Many deputies interpreted Mirabeau's words
as intended to intimidate and lord it over the assembly. The
commons had become strong in working against difficulties and
they would not tolerate any restriction whatever of their inde-
pendence. Some of them believed Mirabeau wished to discredit
their body by raising either the people against it or, if his title
were accepted, the upper classes. It is in this connection that
Biauzat remarks that from eight hundred to twelve hundred day-
laborers attended the sessions, 3 and Duquesnoy, that Mirabeau
was a rascal and sold to the court. 4 The majority of the deputies
had no political training and, not having suffered from the abuses
of an absolute form of government as Mirabeau had, they could
not understand this attitude towards this question of constituting
the assembly. They could not appreciate his conception of the
significance of the word people. If his title, representatives of
the French people, had been adopted as generally as was that of
Sieyes, national assembly, we are inclined to believe that the cause
of popular sovereignty would have received a greater impulse
towards wholesome development than it did by the passing of the
declaration of the rights of man even. The meaning of the word
people was, as Mirabeau said, subject to the very broadest inter-
pretation. His own conception of it was perhaps very similar to

1 Courrier de Provence, Lettre XI, 53, 54; Journal des etats-generaux,
I, 119; Biauzat, II, 120; Duquesnoy, I, 100; Dumont, 75-77; La revolution
francaise, XVI, 537, 538.

2 Dumont, 74-75.

8 Biauzat, II, 120.

4 Duquesnoy, I, 100-1 ; Young, 168, writes June 17 : "There is a sus-
picion that he [Mirabeau] has received 100,000 livres from the queen."

69

70 Carl Christophelsmeier

our own use of it, that is, as including- every individual of the
whole nation. We can therefore, at present, better appreciate
his truly wonderful effort in behalf of his title than did most of
his colleagues. We do not mean to say that no egotistic
motives prompted Mirabeau in his action. Well might a man
aspire, under such circumstances, to give a name to such an
assembly, and also to overcome a rival like Sieves and a com-
bination such as the Breton deputies and their friends. How-
ever, Mirabeau's heart was in the cause. His personality was
much broader and richer than that of Sieves, who withdrew
from the scene of action as soon as his ambition wa~s checked and
his person perhaps in some danger. The deputies hissed and
shouted with rage at the speaker, but "in the midst of this agi-
tated and uproarious assembly, M. de Mirabeau continued his
discourse; he was no longer heard. When he had finished, he
raised his voice, shouting, 'If this part of my discourse is repre-
hensible, I am willing to take the blame and suffer the conse-
quences. I leave it on the desk, signed by my own hand.' "* It
appears that shortly afterwards he withdrew the manuscript and
then left the hall.- We must not say that he departed just be-
cause he was angry with the assembly. He wrote, perhaps the
same day, to a friend that he was bathed in perspiration during
his speeches, because of fever. "I have spoken three times, while
suffering from a chill." 3 In his next Lettrc a ses commettauts.
Mirabeau partly excused himself : "The word peuple, often re-
peated, has been taken for an appeal to the conscience of the
deputies, as if it had been necessary to call them back to popular
sentiments. It is not astonishing that those among them who
understood him in this strange way were offended. But it is
singular that anybody could deceive himself for the moment and
suppose in the speaker a thought which was so far from his heart,
and w T hich could enter there less than ever on the day on which
was discussed with so much zeal the honor of the assembly and
the welfare of the nation. Convinced that it would suffice to read

1 Journal des etats-generaux, I, 119.
8 La revolution francaise, XVI, 538.
s Lcttres de Mirabeau ait major dc Mauvillon, 467.

70

The First Revolutionary Step 71

in a calmer mood this which he had said in order to remove all
accusations so poorly founded, he contented himself with the
apology of leaving the manuscript of his discourse upon the bu-
reau and of signing it with his own hand." 1

Mirabeau's speech, being understood as it was, had stirred the
assembly to its very depths. It was thought that, as the discus-
sion continued, the agitation would become greater and possibly
result in a division among the commons. The deputies wanted
to act at once before graver obstacles could present themselves.
The assembly wished to constitute itself in order to act as a unit
against all combinations formed in opposition to it. Deputies
had also been frightened by rumors of a royal session in which,
it was said, the king would dictate his wishes and settle the dis-
pute between the orders. The court, the higher clergy, and the
nobility were thought to be in league with each other, and even a
delay over night seemed to many deputies hazardous to the in-
terests of the nation and of the assembly. These deputies de-
manded immediate action and called loudly for the question. 2

It was with great difficulty that Le Grand, Pison du Galland,
and Sieves obtained the floor again and made themselves heard.
Le Grand read again his motion which had received no notice in
the morning session. Pison du Galland wanted the assembly to
constitute itself as assemblce legitime et active des representants
de la nation francaise. This motion, well explained and tending
strongly toward the idea of national assembly, was received with
vigorous applause. A second reading was immediately de-
manded. 3 Sieves, under pretext of defending his motion,
amended it. He made the motion read : "The title of assemblce
national is the only proper name for the assembly. . ." The
motion and title as amended suddenly gained favor. 4 But certain
individuals delayed the vote. They asserted that the amendment

1 Courrier de Provence, Lettre XI, 53-54.

2 Journal des ctats-generaux, I, 119 ; Biauzat, II, 120.

3 Journal des etats-gencraux, I, 119; Courricr dc Provence, Lettre XI,
54-55.

4 Journal des etats-gencraux, I, 120; Revue dc la revolution, XIII, Docu-
ments inedits, 12; Courrier de Provence, Lettre XI, 55; Duquesnoy, I, 101.
The last paragraph of Sieyes' motion as adopted on June 17 was entirely
revised. Proces-verbal, I, 2-4.

71

7 2 Carl Christophelsmeier

to Sieyes' motion made it a new motion and therefore subject to
new discussion and further clarification. But they were unsuc-
cessful ; the assembly decided in favor of putting the motion. It
was now nearly midnight and many deputies had left the hall and
gone to their lodgings. It was, therefore, urged that the assem-
bly ought to adjourn to the next morning. The agitation became
most violent. 1 The majority of the deputies promenaded the hall
shouting either "aux voix, aux voix!" or "a demain, a demain!"
or demanding further discussion of Sieyes' new motion. 2 Bailly,
at this time president, wrote later: "The session of this evening
was one of the most important and critical moments of my life,"
and "this day presented to me the image of two armies ready for
attack." 3 A large number labored under the impression that it
was dangerous for the commons to wait, that preparations were
made for the defeat of their plans, that the delay over night might
destroy all the advantages they had obtained and counteract all
the progress they had made up to this night. And there was truth
in this belief, as will be shown later, but even illusions ap-
pear often grave realities, especially in the mind of excitable
Frenchmen. 4

But the assembly was finally restored to its equilibrium. A
member loudly summoned "all good citizens" to be seated. About
four hundred followed the advice, while about eighty still re-
mained standing. This minority was then invited by some spec-
tators to leave the hall and not to interfere with the action of the
majority. This demand started a new commotion. The counter-
demand, on the part of one of the eighty that the visitors ought
to depart instead, was greeted with shouts of "you are traitors,
bad citizens, leave the hall !" It seems that most of the minority
actually did leave. Then a deputy, Biauzat perhaps, called at-

1 Revue de la revolution, XIII, Documents inedits, 12; Journal des etats-
generaux, I, 120; Duquesnoy (I, 101) says that 494 deputies voted against
further discussion and 80 in favor of it. The Courrier de Provence (Lettre
XI, 56) says that 99 voted in favor of renewed discussion. Proces-verbal,
I, 104.

2 Duquesnoy, I, 101; Revue de la revolution, XIII, Documents inedits,
12-13.

3 Bailly, I, 150, 153.

'Revue de la revolution, XIII, Documents inedits, 12-13.

72

The First Revolutionary Step 73

tention to the lateness of the hour. He observed that a great
many deputies had gone home, that the members of the clergy
who had joined were not there, that those still present were very
tired, and that the roll-call would consume some time. He
strongly urged that the session be adjourned to the next morn-
ing. In fact, such an important decision as the one under con-
sideration ought to be taken in broad daylight when all the mem-
bers were present and wide awake. It was an injustice to the
absent members to act without their cooperation, and if there
were bad citizens among the minority, they would be discovered
if they were present and voted against the measure. This plan
was adopted with the proviso that the debate be closed and that
the roll be called immediately after the opening of the next
session. 1

IV

In his Journal, under the date of June 17, 1789, Bailly wrote:
"This day is forever memorable. It is that of the constitution
of the assembly; it is that in which the assembly announced the
rights of the nation and in which it showed, for the first time, the
resolute and wise capacity which is fitting to the representatives
of the nation and to the administrators of its authority." 2

The session was opened with the announcement by Bailly that
the assembly would at once proceed to vote upon the various mo-
tions that had been presented on the previous days. 3 All further
discussion was thus prevented, according to the midnight deci-
sion of the assembly. The preference of the deputies in regard
to the propositions was known and was further made evident by
the entrance of Sieves. According to Dumont, "When Sieves
appeared in the hall, all the members, from a spontaneous feeling
of respect, rose to receive him, and thunderous applause re-
sounded from every side." 4

^uquesnoy, I, 101-2; Journal des etats-gcneraux, I, 120-21; Biauzat,
II, 122 ; Revue de la revolution, XIII, Documents incdits, 12-13.
2 Bailly, I, 156.
3 Proces-verbal, no. I, 1.
4 Dumont, 78.

73

74 Carl Christophelsmeier

The dean ordered the reading of five motions and announced
that a majority vote was absolutely necessary for the adoption of
any one proposition. 1 The motion of Sieyes as amended was
read first. It was carried by a large majority. Out of the 583
votes cast, 491 favored it, 90 opposed it, and 2 were not counted. 2
During the voting there was a most profound silence in the hall,
but when the vote was announced a wave of enthusiasm swept
over the assembly. The deputies and spectators alike repeatedly
burst out into most enthusiastic cheers and shouts of: "Vive le
roi ! Vive l'assemblee nationale !" 3 And they had good reason to
be elated at this first great victory. It seemed to them that the
die had been cast and that the fundamental questions requisite to
any decisive financial reforms were solved. In their enthusiasm
they for the moment lost sight of all future difficulties.

Sieyes' motion of constitution as finally amended thus passed
into a resolution or decree, was signed by Bailly, as dean, and by
the two secretaries. Some members had, on the previous evening,
demanded that all the deputies of the assembly should sign their
names to it. It was held, however, that the effect would be weak-
ened thereby instead of strengthened. The list would not only
be incomplete because of the absence of the deputies of the clergy
and of the nobles, but it would even show a division in the con-
stituted assembly itself. . And the national assembly acted imme-
diately on the principle that it embodied all the deputies of the
states general. 4

The national assembly then voted that an address be prepared
which, together with the decree, should be presented to the king.
In this address the loyalty to the king should be expressed and
the reasons which prompted the deputies in constituting them-
selves the national assembly should be given. The deputies in-

l Proces-verbal, no. I, 3.

2 Courrier de Provence, Lettre XI, 57; Duquesnoy, I, 105; Revue de la
revolution, XIII, Documents inedits, 13-14; La revolution frangaise, XXIII,
534-35 ; Le point du jour, I, no. I, 3 ; Biauzat (II, 122) says 492 votes fa-
vored it and 89 opposed it.

8 Duquesnoy, I, 105; Revue de la revolution, XIII, Documents inedits,
13-15 ; Le point du jour, no. I, 3 ; R'abaut de Saint-Etienne, Precis, 124-26.

4 Proces-verbal, no. I, 1, 2; Duquesnoy, I, 105; Courrier de Provence,
Lettre XI, 56-57.

74

The First Revolutionary Step 75

deed were filled with the greatest patriotism; they loved their
country and their king as the nation's chief representative. Many
of them, no doubt, went even so far in their imagination as to
think that the king was with them and that the victory over the
privileged classes was already won; they could not control their
emotions therefore, and again and again they burst out into cries
of "Vive le roi!" 1 It was a beautiful dream that filled the work-
ing hours of the deputies of the third estate. To them, they be-
lieved, had fallen the magnificent task of becoming the benefac-
tors of twenty-five millions of Frenchmen, of setting the nation
in the straight road towards perfection and of making France
the model and the savior of the world.

Not all the deputies were, however, happy. The great states-
man, the keen observer, Mirabeau, took matters more philosoph-
ically. Referring to his colaborers, he, in the presence of a
friend, exclaimed : "What a pity ! Do they imagine that all is
over? I should not be surprised if civil war were the fruit of
their pretty decree." 2 He was no doubt thinking of the difficulties
that confronted the national assembly. He knew that these depu-
ties who had no experience whatever in statesmanship had a task
almost superhuman before them in the regeneration and recon-
stitution of France. In this work of the national assembly, the
king, the court, the privileged classes, the nation, the national as-
sembly itself had to be taken into consideration. The question
might well be asked by a man like Mirabeau whether the social
and political conditions of France could be properly adjusted to
the ideas of the deputies of the third estate, constituting either
alone the national assembly or the majority party in the national
assembly. The failure of the national assembly to bring about
the necessary reforms meant,' as Mirabeau said in his speeches of
June 15 and June 16, revolution, anarchy, despotism. June 17
marked a great crisis in the French revolution, but it was only

l Proces-verbal, no. I, 4-5: "... la salle a retenti des cris multi-
plies de vive le roi."

2 Dumont, 78: "Quelle pitie! me dit Mirabeau; ils s'imaginent done que
tout est fini; mais je ne serais pas surpris si la guerre civile etait le fruit
de leur beau decret."

75

76 Carl Christophelsmeier

the first of a series of crises. Madame de Stael says of the
constitution of the third estate that "it was the revolution itself." 1

Since the deputies had now formed themselves into an active
assembly, Bailly requested the election of regular officers. But
time was thought precious; other business was considered more
urgent. Bailly, who was, up to this time, called dean, was con-
tinued as president, and Camus and Pison du Galland as
secretaries. 2

The next step on the program was a very impressive one. The
president and secretaries took an oath to fulfil their functions
faithfully. The president next administered the oath to the as-
sembly. To the deputies, standing with uplifted right hands and
profoundly silent, the president repeated the following formula :
"Nous jurons et promettons de remplier avec sele et Udelite les
fonctions dont nous sommes charges." The assembly solemnly
responded: "Nous le jurons et promettons." "This imposing
and truly religious act" was followed by an outburst of applause. 3

There had been much discussion as to the wording of the for-
mula. Bailly had proposed the expression: "Nous jurons tons a
Dieu, au roi, a la patrie de remplir avec zele et Udelite la mission
que nous avons recue."* But it is clear that the assembly did not
wish to commit itself to the king, even on this day of good feel-
ing. While the deputies at one time practically lost themselves
in enthusiasm and expressions of admiration for the king, shortly
afterward they formulated an oath, to which they swore in the
most solemn manner, that could not be more formal, less emo-
tional, more non-committal, more general. They swore to no one,
they promised nothing to anybody but to France itself. They
vowed to perform the functions with which they were charged.

'Stael, I, 164; Cherest III, 144.

2 Proccs-vcrbal, no. I, 5, 9-10. Courrier de Provence, Lettre XII, 4;
Biauzat, II, 122 ; Duquesnoy, I, 105 ; Revue de la revolution, XIII, Docu-
ments incdits, 14.

3 Proccs-verbal, no. I, 10; Courrier de Provence, Lettre XI, 57; Biauzat,
II, 122-23 ; Duquesnoy, I, 105-6 ; Revue de la revolution, XIII, Documents
incdits, 14.

4 Duquesnoy (I, 105) wrote: "Cette formule noble, grande, paraissait
devoir etre adoptee ; cependant, sans qu'on puisse dire pourquoi, on a
prefere la suivante . . ." Biauzat, II, 123; Lc point du jour, no. I, 4.

7 6

The First Revolutionary Step 77

The decree that they had just passed announced that, "It pertains
to the national assembly alone to interpret and to present the gen-
eral wishes of the nation." The national assembly could assume,
therefore, according to these expressions, all the powers that it
wished ; it could constitute France, it could legislate for France.

Thus constituted and ready for the great work before it, the'
assembly sought at once to fortify itself by declaring its policy
and its powers. The advice of Mirabeau, as presented in his res-
olution on June 15, that to constitute the assembly was not suffi-
cient — its principles should also be announced — was now followed.
Up to this time, the public had looked upon the disputes, the in-
activity of the states general with wonder and doubt. France
had been left in suspense as to the outcome of all the agitation
between the orders. A new order of things had been expected,
a regeneration of France had been looked for, but these expecta-
tions had not been realized. It was now the business of the as-
sembly to calm the public and to make it realize that the reforms
for which it had so long striven would be secured. The national
assembly, therefore, decided to make a general statement of its
policy, and in this way present something tangible around which
public opinion could form. The support of the public was neces-
sary in order to successfully conquer the deputies of the clergy
and of the nobility.

To this end, the national assembly declared that taxes could be
legally voted only by the representatives of the nation; that since
the existing taxes had not received this consent they were illegal,
consequently null and void in their creation, extension, and pro-
longation. But the assembly "declares, by a unanimous vote, that
it consents provisionally, in the name of the nation, that the taxes, 1
although illegally imposed and collected, continue to be raised in
the same manner as they have been heretofore, but only up to the
time of the separation of this assembly, no matter from what
cause the separation may proceed. After the day of separation,
I'assemblee nationals entend et dccrctc- that every levy of taxes 3

1 "Impots et contributions."
2 Orders and decrees.
3 "Impdts et contributions."

77

7 8 ' Carl Christ ophelsmeier

of whatever nature, which shall not have been particularly, form-
ally, and freely granted by the assembly, shall cease entirely in
all the provinces of the kingdom, no matter what may be the form
of their administration." 1

The purpose of the deputies in this decree may be easily seen.
The national assembly provided for non-interference in its busi-
ness. Heretofore the government had repeatedly interfered with
parliaments and states general ; it had even dissolved them. But
this assembly was considered by its members as a different body.
It was a national assembly and as such possessed and expressed
the highest authority of the state, the sovereignty of France. The
government was to be, thenceforth, at the mercy of the national
assembly. It could not exist without an income. The time when
a government and armies could live from plunder had passed-;
the nation was ready to regulate its own affairs. If the govern-
ment should undertake to interfere with the business of the as-
sembly or even to dissolve the assembly, it would henceforth
meet with difficulties which it would not be able to overcome.
After the national assembly had declared so strongly that its mis-
sion was to work for the good of France, its existence was se-
cured. Its decrees would be followed by the public, and if it were
dissolved, the government, in order to exist, would be forced to
call at once another national assembly. The people in their in-
structions to the deputies had expressed their wishes, they had
claimed their rights and made their demands, and if they should
be assembled for another election, they would be still more ex-
acting. The deputies knew that the government would bear all
these considerations in mind and that the government of Louis
XVI. was wretchedly weak.

This decree was truly revolutionary. The national assembly
spoke as a sovereign; the king's power was no longer absolute;
the constituent assembly had begun its work in limiting the mon-
archy ; the idea of the divine right of kings had been rejected
and popular and national sovereignty had been declared.

1 Proces-verbal, no. I, 10-14. Le Chapelier and Target prepared this
decree. Biauzat, II, 123, 124 ; Courrier de Provence, Lettre XII, 1-4 ; Du-
quesnoy, I, 106 ; Le point du jour, no. I, 5.

78

The First Revolutionary Step 79

The assembly believed itself strong enough to put this new
doctrine into practice, for the decree stated further: "The as-
sembly hastens to declare that as soon as it shall have fixed, in
concert with his majesty, the principles of the national regenera-
tion, it will occupy itself with the examination and with the con-
solidation of the public debt, putting the creditors of the state
from this time on under the protection, the fidelity, and loyalty
of the French nation..

"Having at last begun its work, the assembly recognizes also
that it owes its first efforts to the examination of the causes which
produce in the provinces of the kingdom the poverty which op-
presses the people and also to the investigation and development
of plans which may remedy the situation in the most prompt and
efficacious manner. Consequently, it has decided to name a com-
mittee which is to occupy itself with this important object. . .
The present resolution will be printed and distributed in all the
provinces." t

It was thus, on June 17, 1789. that the commons took the first
revolutionary step by declaring themselves the national assembly.
The assumptions of the sovereignty of the people, of the right of
the majority to rule, and of the negation of the political independ-
ence of the clergy and of the nobility were all involved in this
act that marked the beginning of a new era for France.

T)

80 Carl Christophelsmeier

BIBLIOGRAPHY

The principal sources of information upon the history of the
sessions of the three orders of the states general and of the con-
ferences of the commissioners are the minutes, letters of the
deputies, and newspapers. Gaultier de Biauzat wrote, as early
as May 22, 1789, that there were more than a hundred men in
the assembly of the third estate who took notes. These notes
were taken for personal reasons as well as for use in the prepara-
tion of the accounts sent by some of the deputies to their friends
and constituents. A part of this most valuable literature was
published during the last generation. A large bulk of it still lies
buried in private and provincial archives. Some of the proces-
verbaux and newspapers are more or less easily accessible. I
have studied critically most of the material used in the prep-
aration of this monograph and have published the results in an
article entitled The Fourth of August, 1789, which appeared in
the University Studies of the University of Nebraska (vol. VI,
no. 4, October, 1906). The reader is referred to this publication
for the study of the sources. I shall enumerate here only the
material used for this monograph. Where, however, the mate-
rial gives information on the period covered by the present work
and has not been discussed in the previous publication, critical
notes have been added.

Journal d'Adrien Dnqucsnoy, depute du tiers-etat de Bar le-
Duc, sur I'asseinblcc constituante. 3 mai 1789 — 3 avril 1790.
Publie pour la societe d'histoire contemporaine, par Robert de
Crevecoeur. 2 vols. Paris, 1894.

Mege, Francisque : Gaultier de Biauzat, depute du tiers-etat
aux ctats-gencraux de 1789. Sa vie et sa correspondance. 2 vols.
Paris, 1890.

Albert Mace has published in the Documents inedits of the
Revue de la revolution a number of letters of Jean-Pierre Boulle.
The letters were written to his constituents of the tiers-etat of
the senechaussce de Ploermel and addressed to the municipal offi-
cers of Pontivy. Those published cover the period from May I
to October 30, 1789. They are found in volumes X, 161-71 ; XI,

80

The First Revolutionary Step 81

11-20, 45-53, 113-20; XII, 7-14, 35-42, 49-58, 109-12; XIII,
11-17, 65-79; XI V, 26-32, 42-51, 82-92, 114-23; XV, 13-28,
99-120; XVI, 15-29, 45-84. In the political correspondence of
the time, these letters of Boulle rank very high.

In vol. II, Documents inedits, 1-8, 33-41, 65-74, 97-104, and
139-43, B. d'Agours publishes the Correspondance d'une depute
de la noblesse de la sencchaussce dc Marseille avec la marquise
de Crequy, a Blaincourt, par Bricnnc, Champagne (zj mai —
8 aout 1789). These letters are of special value because the
writer, unlike the others who favored the third estate, sympa-
thized with the privileged classes. On June 18, he says : "The
states general are going to the devil. . . . This assembly of
the third estate degenerates into extravagances," and on June
26: "The states general goes from bad to worse."

M. A. Brette has published a "Relation des evenements depuis
le 6 mai jnsqu'au 15 juillet 1789" in La revolution francaisc,
revue d'histoire moderne et contemporaine, publiee par la societe
de I'histoire de la revolution. Vols. XXIII, 348-68, 443-71, and
520-47, and XXIV, 69-84 and 162-78. It is the work of a "se-
cret agent," who spent part of his time in Paris and part in Ver-
sailles. He followed the various incidents connected with the
sessions of the three orders very closely, even when at Paris, and
tried to observe especially their influence upon public opinion.
The name of the writer is not known, but he appears to be a per-
son of some importance. His bulletins seem to be very valuable.
M. Ch.-L. Chassin has printed extracts from these bulletins in
his collection of source-material : Lcs elections et les cahiers de
Paris en 1789. 4 vols. Paris, 1888-89. Vol. Ill, 415-23, 453-60,
465-68, 490, 544-45-

Messieurs Corre and Delourmel have published in the same re-
view, vols. XXXIX, 515-58, and XL, 46-78, extracts from the
letters of L.-F. Legendre, deputy of the tiers-etat of the senechaus-
see de Brest. The correspondence covers the period from April
28, 1789, to December 30, 1791. Unfortunately, for the period
covered by our present study, the extracts given are few and
"brief.

In vol. XVI. 536-39, M. H. Monin publishes the account of

81

82 Carl Christophelsmeier

the two sessions of the tiers-etat held on June 16, 1789, given by
Hardy in his journal. Hardy was present at the meetings.

M. Ch. Le Teo has, in vol. XXXVI, 385-95, an article entitled
Le club breton et les origines du club des Jacobins in which he
gives short extracts from the correspondence of deputies.

Recit des seances des deputes des communes, depuis le 5 mai,
ij8g, jusqu'au 12 juin suivant, epoque a laquelle le redaction des
proccs-verbaux a commence. IJ2 pp. 1 On December 10, 1789,
the national assembly appointed three commissioners, Salomon,
Camus, and Emmery, to draw up this account. They did so and
signed their names to it. Camus was on June 12 chosen secre-
tary, and he and the other two men were repeatedly chosen for
secretary purposes. Camus was even made superintendent of
the newly created archives. These men either used their own
notes or employed notes of other deputies. Camus presided over
the electoral assembly of Paris for the last time on May 22, and
was present at Versailles only after that date. We have observed
that Gaultier de Biauzat wrote on May 22 that over a hundred
men took notes. On May 11 a motion was made that the dean's
assistants keep notes, and on May 20 that a comite de redaction
be chosen to draw up an account of the sessions and edit it in
order to be sent to the people. It is seen, therefore, that the dep-
uties were conscious of the importance of taking notes from the
very first, and that it must have been a comparatively easy task
to prepare the Recit. Some cures kept journals and the nobles
kept proccs-verbaux of their sessions. M. A. Brette enumerates
this material in the Avertissement of his volume, Les Constitu-
ants (Paris, 1897), and M. Maurice Tourneux in the first volume
of his Bibliographic de I'histoire de Paris pendant la revolution
franqaise, Paris, 1890, p. 78.

Courrier de Provence by Mirabeau, preceded by his two num-
bers of Etats- gene ran x and nineteen Lettres du comtc dc Mirabeau
a ses commettants , three hundred and fifty numbers. 17 vols., in
8°, appeared between May 4, 1789, and September 30, 1791.

Journal des etats- generaux by Le Hodey de Saultchevreuil. I

X I have used M. Aulard's edition of the Recit published in 1895 by the
Societe de I'histoire de la revolution frangaise.

82

The First Revolutionary Step 83

have called this journal Assemble c nationale in my former study,
because that was actually its title from June 17, 1789, to January
5, 1791, when on journal logographique was added; by this name
it is clearly distinguished from all other journals. Journal des
etats-generaux is only the cover title for some of the sets. 1 No
number was ever issued with the title Journal des etats-generaux.
Four numbers, covering pp. 1-32, 33-62, 63-78, 79-102, ap-
peared before June 17, 1789, and they have the title Etats. The
first of these contains an account of the sessions of June 1 to
June 6. According to the editors (II, 70), it was during the first
part of June that the journal was started. In the same connec-
tion, in the number which has a partial account of the session of
July 18, they say that the next day an account of the sessions
held during the month of May would be issued. This narrative
of eighty pages bears the title Etats-generaux f evidently in con-
tradistinction to the title Assemble e nationale, which it had after
June 17.

Lc point dn jour, on resultat de ce qui s'est passe la veille a
VAssemblee Nationale. 815 numbers. June 19, 1789, to October
2 or 3, 1791. 27 vols., in 8°. Paris, chez Cussac. Barere, the
editor of this journal, issued in 1790 a volume entitled Le point
du jour, on resultat de ce qui s'est passe aux etats-generaux,
depuis le 27 avril i/8q, jour annonce pour leur ouverture, jusqu'au
iy juin de la meme annee, epoque ou les communes sc sont con-
stitutes en assemblee nationale; par M. D.***, depute extraor-
dinaire. Paris, Cussac, 1790. , Disc ours preliminaire XXXV,
415 pp. This volume is for the most part a compilation of ex-
tracts taken from other sources. Much of the material is found
in the Lettres de Mirabeau a ses commettants, and the Proces-
verbal des conferences sur la verification des pouvoirs (216 pp.)
is, for example, bodily incorporated. In places, however, the
names of speakers are inserted instead of "a deputy of the com-

*35 vols in 8°, 1789-92. The copies in the libraries of the Archives 11a-
tionales, Paris, listed as ADa/ 30S , of the British Museum, London, listed
as F. 1524 5 +, and of President White at the Cornell University library,
Ithaca, New York, listed as 4182 V b 1-35, have the cover title Journal des
etats-generaux. The set in the Bibliotlicque nationale, Paris, listed as
LcVi3B, has the book title Logographe.

83

84 Carl Christophelsmeier

mons" or "a deputy of the nobles." If this work is used at all
it must be carefully compared with the strictly original source-
material. It makes such mistakes, for example, as to place the
solemn procession to the church St. Louis and the services held
there on May 5 instead of May 4, and the opening session of the
states general on May 6 instead of May 5. Similar errors are
found throughout the whole volume.

Gazette nationalc, ou Le moniteur iiniversel. 1 There is in
the Cornell University library a complete set of the original edi-
tion of the Moniteur extending from January 1, 1790, to Decem-
ber 31, 1867, and there is another set of the original edition of the
Moniteur in the President White library of the Cornell Univer-
sity library, which covers the period from November 24, 1789,
to December 30, 1794. This set is a duplicate, therefore, of the
numbers between January 1, 1790, and December 30, 1794. And
the thirty-eight numbers from November 24 to December 31,

1789, if taken with the other set, entirely complete the set. We
mention the fact that the original thirty-eight numbers of 1789
and the thirty-three numbers from January 1 to February 2,

1790, and even two copies of the thirty-three numbers, are here
because they are very rare. 2 There is here also the original in-
troductory volume to the Moniteur prepared in 1795-96. It
contains the Introduction historique, the ninety-three compiled
numbers covering the period from May 5 to November 23, and
the thirty-eight revised numbers (numbers 93-131) for the period
"between November 24 and December 31, 1789, and the Pieces
justificatives. z

Buchez, B. J. B., et Roux, P. C. : Histoire parlementaire de la
revolution francaise, on journal des assemblies nationales depuis
1789 jusqu'en 18 15. 40 vols. Paris, 1834-38. The Histoire

1 The edition of Gallois : Reimpression de I'ancien moniteur depuis la
reunion des etats-gencraux jusqu'au consulat (Mai 1789 — November 1799),
avee des notes par M. Leonard Gallois (31 vols., Paris, 1840-47), is more
generally accessible than the original folio edition.

2 Tourneux says in his Bibliographie, II, pp. 556 and 789, that he knows
of only four sets of these numbers.

3 1 have described this volume in The Fourth of August, 1789, pp. 16-39.
I am inclined to think that if the editors of the Moniteur actually carried
■out the plan they announced in their paper of October 30, 1795, of printing

H

The First Revolutionary Step 85.

parlcmcntaire draws its material for the sessions of the three
orders from the Moniteur. It has for our subject, therefore, not
the slightest value. 1

Brette, Armand: Rccucil de documents relatifs a la convoca-
tion des etats-generaux de 1789. 2 vols. Paris, 1894.

Aulard, F. A.: La societe des jacobins. Recucil de documents
pour I'histoire du club des jacobins de Paris. 6 vols. Paris,.
1889-97.

Proces-verbal des seances des deputes des communes, depuis le
12 juin 1789 jttsqu'au 17 juin, jour de la constitution en assem-
blee nationale. 104 pp.

Proces-verbal de I'assemblee nationale. 75 vols., in 8°. Paris,.
1789-91. Baudouin. These two sources belong together. The
second is a continuation of the first and dates from June 17, 1789.
The first is commonly bound in with the first volume of the sec-
ond. The Proces-verbaux consist of minutes taken and material
arranged by the secretaries of the assembly. They are of the
greatest value because they were read to the assembly from ses-
sion to session for the sake of accuracy. For our period Camus
and Pison du Galand were the secretaries. 2

Proces-verbal des conferences sur la verification des pouvoirs.
216 pp. Target, one of the commissioners of the tiers-etat, pre-
pared the larger part of the work. On June 4, Hebert was chosen
official secretary (p. 153). The Marquis de Bouthillier objected
(p. 171), on the part of the nobles, to the draft of Target on the
ground that the arguments of the commissioners of the third

two volumes, that in the second volume the original numbers covering the
period from January 1 to July 1, 1790, were simply reprinted.

J See my study, The Moniteur and Other Sources, Graduate Bulletin,
the University of Nebraska, March, 1902, 17-18. The Histoire parlemen-
taire, I, 384-474, omits entirely the accounts of the sessions of the third'
estate on May 8, 9, 11, 14, 16, 20, 22, 25, and June 2, 3, 4, 5, 6, 7, S, 9, 11.
13, 14, and of the conferences of the commissioners. Almost all of the
sessions of the clergy and of the nobles are left similarly unmentioned.
The compilers wished to abridge the Moniteur. and so they omitted either
the accounts of whole sessions or reproduced them only in part by omit-
ting paragraphs. Not only is very important material left out and rela-
tively unimportant matter given, but the context is thus destroyed. The
substance of the accounts omitted is seldom given and then only by brief
paragraphs.

2 See my Fourth of August, 1789, 1-5, 24-26.

85

86 Carl Christ ophelsmeier

estate were reproduced at greater length and to better advantage
than those of the commissioners of the nobles. We sustain
Bouthillier's objection and note that allowance must be made for
this defect; otherwise this work is of the greatest value.

Young, Arthur: Travels in France daring the years 1787,
1788, 1789, with an introduction, biographical sketch, and notes
by M. Betham-Edwards. Second edition. London, 1889.

We made some use of the following source material of less
value :

Memoires de Bailly, avec une notice sur sa vie, des notes et des
eclaircissements hisioriques, par MM. Berville ct Barriere. 3
vols. Paris, 182 1.

Rabaut, J. P. : Precis de Vhistoire de la revolution frangaise.
Assemblee constituante, suivi de reflections politiques sur les cir-
constances. Septieme edition. Paris, 1819.

Dumont, Etienne : Souvenirs sur Mirabeau et sur les deux
premieres assemblies legislatives, ouvrage posthume, publie par
M. J. L. Duval. Bruxelles (et Leipzig), 1832. In the same
year an English translation of it appeared. There are later
editions of it in both French and English.

Stael, Madame de : Considerations sur la revolution frangaise.

2 vols. Paris, 1862.

Ford, Paul Leicester: The Writings of Thomas Jefferson. 10
vols. New York, 1895, vol. V.

Morris, Anna Cary: The Diary and Letters of Gouverneur
Morris. 2 vols. New York, 1882.

Montjoye: U Ami du roi, des francais, de Vordre et sur-tout
de la verite ; on histoire de la revolution de France, et de V assem-
blee nationale. Paris, 1791-92.

Droz, Joseph : Histoire du rcgne de Louis XVI., pendant les
annees oil Von pouvait prevenir ou diriger la revolution frangaise.

3 vols. Paris, 1839.

Bertrand de Molleville, A. F. : Histoire de la revolution de
France, pendant les demieres annees du regne de Louis XVI.
14 vols. Paris, 1801-03.

Lameth, Alexandre: Histoire de V assemblee constituante. 2
vols. Paris, 1828-29.

86

The First Revolutionary Step 87

Memoires du marquis de Ferrieres, par MM. Berville et Bar-
riere. 3 vols. Paris, 182 1.

Histoire de la revolution frangaise par M. Necker. 4 vols.
Paris, 1 82 1.

We have read what other memoirs and the various histories
of the French revolution say on our subject. We mention in
our bibliography, however, only the work of Cherest, Aime : La
chute de I'ancien regime (iy8y-i'/8g). 3 vols. Paris, 1884-86.
Vol. Ill deals more in particular with our subject. It contains
the best account we have. Cherest used his material on the
whole intelligently. He made good use of the Recit and the
Proces-verbaux and the Lettres du comte de Mirabeau a ses
commettans. But he employed altogether too much the memoire
literature, which is of questionable value, and too much material
from the Histoire parlementaire. He preferred this work to the
Moniteur and the Archives parlementaires, both of which he
used at intervals, although it is vastly inferior to either of the
others. Furthermore, he naturally made no use of the political
correspondence of deputies which has been published since his
day.

We mention finally a study by Dr. Charles Kuhlmann on the
Influence of the Breton Deputation and the Breton Club in the
Revolution (April — October J 1789), which appeared in the Uni-
versity Studies, October, 1902.

87

Volumes I, II, III, IV, V, VI, VII, and VIII of University Studies are
each complete in four numbers.

Index and title-page for each volume are published separately.

A list of the papers printed in the first two volumes may be had on application.

Single numbers (excepting vol. II, no. 3) may be had for $1.00 each.

A few copies of volumes I, II, III, IV, V, VI, VII, and VIII, complete in
numbers, are still to be had.

All communications regarding purchase or exchange should be addressed to

THE UNIVERSITY OF NEBRASKA LIBRARY

Lincoln, Neb., U. S. A.

JACOB NORTH & CO.. PRINTERS, LINCOLN

/V ^AVO

Vol. IX

April 1909

No. 2

University Studies

aiuuMfiS/

Published by the University of Nebrd'/ka

(h^ jUN 2 9

W3

i*i

COMMITTEE OF PUBLICATION

SAMUEL AVERY
C. E. BESSEY
F. M. FLING
DANIEL FORD

H. ALICE HOWELL
W. K. JEWETT
J. E. LeROSSIGNOL
L. A. SHERMAN

W. G. L. TAYLOR

CONTENTS

I The Separation of the Spectral Lines of
Thorium in the Magnetic Field

B. E. Moore 89

II The Transmission of Light through Doubly
Refracting Plates with Applications to
Elliptic Analyzing Systems

L. B. Tuckerman Jr 157

LINCOLN NEBRASKA

"**%

M

University Studies

Vol. IX APRIL iqo 9 No. 2

I. — The Separation of the Spectral Lines of Thorium in the
Magnetic Field

BY B. E. MOORE

PART I. INTRODUCTION, EXPERIMENTAL METHOD, AND PECULIAR
FEATURES OF THE THORIUM SPECTRUM.

The spectral photographs of this substance were taken during
the winter semester of 1907 at the physical institute of the Uni-
versity of Gottingen at the suggestion of the director, Prof. W.
Voigt, who courteously placed all the necessary equipment at my
disposal and enthusiastically promoted the investigation. This
was at the time I studied the spectra of barium, yttrium, zirco-
nium, and osmium (Univ. Studies, Jan. 1908). The thorium lines
were found to be too numerous and entangled to admit of ready
identification and were therefore laid away for study at a more
opportune time. A component or more of a line is frequently
found between the components of another line. Two components
of different lines may lie so close together that one can tell with
difficulty to which of the two lines they may belong; or two or
more components may overlap. These overlaps are of various
degrees, i. e. in one extreme they may be merely touching each
other and form one broad line ; or in the other extreme be accu-
rate duplicates in position, and produce an intensified sharp line.
How complicated this becomes may be illustrated by one small
region, six Aengstrom units wide, about the separation of D x and
D 2 , where there were found components of thirteen lines. These

University Studies, Vol. IX, No. 2, April 1909.

8 9

2 B. E. Moore

entanglements are usually unraveled by studying the photographs
of two field intensities. Such a method I have pursued, but un-
fortunately the field strengths differed by only 20 per cent,
where 40 per cent difference was desirable. Sometimes the
overlaps are so sharp that one falls into no particular error in
assuming them to be the centers of two overlapping components.
But one can not regard this procedure as accurate as measure-
ments of isolated components. Neither have I regarded the meas-
urements upon the weaker field plates alone as accurate as the
other measurements. Further, they would be less accurate than
lines measured for both field strengths and in both first and second
order. All the less accurate measurements have been enclosed
in parentheses.

A characteristic of the thorium spectrum is that the components
which vibrate perpendicular to the lines of force, the ^-components,
are usually narrower and sharper than those which vibrate par-
allel thereto, the /'-components. This was helpful in isolating the
j-components. The thorium lines with no magnetic field were
usually very sharp, but there were exceptions, and these were
lines which behaved peculiarly (see later). This sharpness of
the no-field lines led to the following method of identifying the
lines and components thereof for both kinds of vibrations — a
method which saved a great amount of labor and led to some im-
portant discoveries. Each set of plates was cut in two longi-
tudinally through the center, and the edges of the lines of either
the />- or ^-components brought into juxtaposition with the ends
of the lines upon the no-field plates in the center of the field of
view of the microscope. One-half of the field of view of the
microscope had a fixed cross wire (a diamond mark on glass) ;
and upon the other half of the field of view there was a movable
system of lines in pairs of various separations. A sharp no-field
line was brought under the single fixed line and the corresponding
s- or />-line placed as nearly symmetrical as possible therewith,
by hand adjustment, under the other cross-wire system, and the
final adjustment made by a micrometer which controlled this
cross-wire system. By means of another micrometer the whole
microscope could be moved, and by means of this motion one

QO

Separation of the Spectral Lines of Thorium 3

could pass readily from one line to another coincidentally upon
both sets of plates. In this way a series of readings was then
taken for a number of lines in the field of view upon both sets of
plates. The majority of these adjacent lines were duplicates in
position within the errors of setting the microscope. This error
for the ^-components was twice as great as the corresponding
error for the no-field lines. The latter also can be adjusted more
accurately than the double readings of the ^-components of a
triplet.

By this method of comparison I discovered that a great many
of the lines were unsymmetrical in position, assuming that the
lines which could be brought into juxtaposition were symmetrical.
If, however, as Professor Voigt writes me, there should be a one-
sided displacement of the p- or ^-components, it might be impos-
sible to detect it, as the plates would be displaced as a whole.
Such a displacement or dissymmetry is theoretically derived by
Professor Voigt. 1 It involves the period of the vibrating ion and
a constant which depends upon the absorption and emission of the
ion. This constant would vary from ion to ion, and therefore
there would be large variations from line to line, unless the lines
arose from the same ion. From Geiger's 2 investigation, the dis-
placement is only one two-thousandth part of the total separation
of the D 1 line for a field strength of 2,400 lines to the square cen-
timeter. But for the red K-Yme corresponding to D. 2 Geiger's
data give a ratio of 3 per cent. The latter would be observ-
able unless the lines were diffuse. We may, then, in a great many
cases expect the effect to be too small to be observable. Even if
it were generaly observable in any particular substance, the great
range in values would make it impossible to set the greater part
of the lines in juxtaposition on the two sets of plates at the same
time. Therefore, the juxtaposition of most lines indicates that
the effect is too small to be observable in those cases. For the
weak lines, the effect being a function of the emission, the dis-
placement should be small, and probably smaller than I could
detect. On account of the width of many of the ^-components,

*Phys. Zeit. 9 (190S), p. 123, eq. 11.
2 Ann. d. Phys. 24 (1907), p. 597.

91

4 B. E. Moore

it would escape detection at any rate. Again, any irregular con-
traction of the films in drying would cause appreciable error in
the measurement of very small quantities. Errors from such
sources are mitigated by taking several sets of plates. Two sets
of s- and ^-plates were at my command, but only one set of no-
field plates. When irregularities were present upon one set of
plates they were also present upon the other, but the difficulty
might be with the no-field plates with which they were compared.
For the purpose of detecting small variations, then, the method
is not altogether free from error. But if both s- and ^-components
are photographed together, i. e. without the intervening calcite,
neither does one then know whether the ^-component or the
^-components are displaced in an unsymmetrical triplet ; and if
the ^-component happens to be a wide line and the .y-components
have small separations, the readings are then confusing and much
less accurate than the method which I have followed. Had I an-
ticipated the dissymmetry of lines at the time these photographs
were taken, I should have desired to have photographed the p- and
^-components directly upon the same plate as the no-field lines,
by the long-established method of Rowland, viz., by taking two
exposures upon one plate, covering one-half of the plate for the
no-field exposure and the other half of the plate for either the
p- or the ^--exposure. Even then, it occurs to me, that the method
might not be accurate enough to test dissymmetries as small as
one might expect from the Voigt equation, as it also seems to
me that the method is not quite accurate enough to test quad-
ruplets and triplets for simple relationship between the magni-
tudes of the separations (e. g. Are these separations related to a
normal "a", and are they multiples of aliquot parts of "a"?) My
previously measured triplets would certainly not suggest the choice
of any value as a normal, and neither would the quadruplets in
the present investigation.

The question, however, does arise, Is there adequate error to
allow one to collect them into groups whose separations are re-
lated to one another in a simple way ? I do not think the error so
large. However, it does seem to me what is wanted to answer
this interesting question and the dissymmetry question as well,

92

Separation of the Spectral Lines of Thorium 5

from the standpoint of Voigt's equation, is an experimental
method of five times the accuracy which one may possibly obtain
with some of the new forms of interferometer. Such a method
was used by Gmelin (Phys. Zeit., vol. 9, p. 212), who found the
mercury line 5790 A to have a dissymmetry proportional to the
square of the field strength. This results from the hypothesis of
linkages among the electrons (Voigt, Phys. Zeit., vol. 9, p. 353).
The field strength of the two sets of plates here studied differed
only by 20 per cent, and were not adapted to< an investigation
of that point, like Gmelin's observations, whose field strength
varied two and one-half fold. However, the following consider-
ations will show that my measurements should have given me
some intimation of such a change with the change in field
strength. If one designates the distances of the two ^-compo-
nents from the null position by "a" and "b" the distance from
the middle is (a-\-b) /2, and the deviation of the apparent middle
is (a — b)/2. For 20 per cent greater field, on the assump-
tion of Gmelin, the former is increased 1.2 times, and the latter
(1.2) 2 times. The weaker of my dissymmetrical lines were meas-
urable only upon one set of plates, ' but those lines which could
be measured upon both sets of plates gave practically the same
results when the separations of the weaker field were increased
1.2 times. It would not seem that all of the difference for all of
the lines was due to experimental error. If the result is granted,
it would mean that the dissymmetry is proportional to the field
strength. However, greater variation in field strength would be
more competent to settle the question. From the Voigt equation
the above half sum is also the usual separation and the half dif-
ference the dissymmetry. The latter value is a constant, and is
independent of the field strength. Now there are cases in thorium
where a equals 3b, and therefore the magnitude of the dissym-
metry is b. Maintain this value of b constant and diminish the
field one-half. The distance from the apparent middle is then
(a-|-&)/4 which equals b. One component then falls in the null
position, and only the other component is displaced. This is
meaningless. And 20 per cent difference in field should have
given me something different from what was observed if there

Q3

6 B. E. Moore

was any constancy in the value (a — b)/2. Therefore, there
seems some reason to assume that the dissymmetries are due to
some other causes than those discussed in Voigt's equations.

Dissymmetry has also been observed by Mr. Jack (Zeeman,
Phys. Zcit., vol. 9, p. 343). His spectrographs were taken partly
prior and partly subsequent to these thorium spectrographs and
with the same apparatus. Professor Voigt writes me that Mr.
Jack thinks he has traced the dissymmetry to changes in the azi-
muth of the polarized beam of light incident upon the grating.
This is important, if true. I think two experimental facts make
it implausible in thorium: firstly, a number of the observed dis-
symmetries are too large; secondly, before placing the plates in
the camera for an exposure the quartz condensing lens was often
shifted and readjusted to see that there was the best possible
illumination of the grating. (But the lens was never moved
during an exposure.) It does not seem probable that this lens
occupied the same position throughout the thorium exposures or
even the greater part of them. Consequently, any point on the
grating was illuminated at different times by light in a different
azimuth. If the effect had been appreciable, it would have pro-
duced inconsistencies in my measurements, which I have not
observed.

In my previous investigation (/. c.) the />- and ^-components
were measured on independent plates. Small dissymmetries would
have remained undiscovered. It should be said, however, that
for these substances I had plates with both p- and ^-components
thereon, i. e. plates photographed without the intervening calcite.
As I passed from line to line comparing the intensities of the p-
and -.^-components, some of the pronounced dissymmetries herein
recorded would have been glaringly conspicuous without meas-
urements. Further, the dissymmetries are not only often large
but they are found also in lines having more than three compo-
nents up to and including a line of nine components. In these
also may be found multiple relationships among the unsymmet-
rical components, which could be only a coincidence unless these
dissymmetries were proportional to the field strength. Thorium
was also photographed without the intervening calcite, but the

94

Separation of the Spectral Lines of Thorium 7

components were too entangled and bewildering to be of any
service, and the plates were not saved. This resulted in some
loss in the comparison of the intensities of the s- and /'-compo-
nents. The relative intensities of the s- and ^-exposures can there-
fore only be roughly approximated. To obtain an accurate basis
of comparison, the ^-intensities may need to be reduced about 25
per cent. The intensities here recorded are multiples of apparent
brightness of the components in the first order spectrum, taking
a line which is just sufficiently defined to be continuous latterly
across the plate as unit intensity.

In the dissymmetry theory there is a dissymmetry in the inten-
sity of the components. The component which has a smaller
displacement than its companion should have greater intensity.
In Mr. Jack's lines reported by Zeeman (/. c.) there is no such
inequality recorded. In thorium the least displaced component
is always the stronger. There are a few apparent exceptions,
but these are invariably due to overlapping components of adja-
cent lines. However, there are a large number of lines which
show this dissymmetry in intensity for which there was no dis-
symmetry in separation. Some of these, again, are plainly over-
laps, but there are a great many which are not. Farther, there
are cases where, components are broader than their conjugate
components. No accurate record could be made of this, for the
effect might be slight or large. Sometimes it was the red, some-
times the blue component which was widened. It seemed pos-
sible that one might have here components of two very close lines
whose separations differed but little in magnitude. The width
of some of the undisturbed ^-components sometimes suggested
the same thing. But the latter might be close doublets which
would separate with stronger fields. The no-field plates actually
showed some of these to be two lines. A no-field line shaded to
one side might suggest the presence of other lines also, but this
is too common an occurrence with spectral lines to be definite.
If one could omit all of these there were still lines which showed
this action for sharp no-field lines. It might appear that the
broadened line was going to separate into two lines with stronger
field, leaving an unequal number of components on the two sides

95

8 B. E. Moore

of the zero position. One could only answer this possibility by
photographing with very strong fields. It is not implausible,
because there are cases found in thorium where the number of
components on the two sides of the zero position do not balance.
One component of one line which is unseparated for the weaker
field strength is double for the 20 per cent stronger field. That it
is such a splitting is certain because the mean of the two separa-
tions is symmetrical with the separation of the opposite component.

In one small region of the spectrum (Table XIX) I found it
necessary to make accurate measurements of wave-length, from
line to line, to make sure of identification. I have recorded these
lines as measured, although Exner's and Hascek's tables are more
accurate than my measurements. However, lines are often
shifted by small amounts, and these lines were peculiar in other
respects (see discussion, Table XIX). Hence there might be
cause for the shift, and I have, therefore, not hesitated to record
them as read. There can, in general, be no question as to the
identity of these lines, unless it be for lines not given in Exner's
and Hascek's tables. There were many of the latter, and it may
be an error to call them all thorium. Many of them possess pe-
culiarities in common with lines which are certainly thorium in
the list. There was no special effort made to find impurities, but
lines due to calcium, iron, strontium, and lead are present, and
none of these impurities behave peculiarly. Some of the strong
lines of Exner's and Hascek's tables are omitted because of their
weakness, but they are generally omitted because of the confusion
due to overlapping components of other lines, leaving the com-
ponents a blurred mass.

The following abbreviations have been used : ^- and p- as al-
ready explained; r, red; b, blue; A, wave-length; d, or cliff., dif-
fuse; 0, order; 0, overlap; i, intensity; a, normal separation; A,
approximate separation ; AA/A 2 change in wave-frequency per
cm., and therefore a positive value, means a displacement toward
the blue end of the spectrum. The normal separation corresponds
to a value of 1.105 for a field intensity of 24450 lines to the square
cm., used in my previous contribution and checked here from the
separations of the calcium lines. If the strength of field is in

96

Separation of the Spectral Lines of Thorium g

error, corrections may be made if needed when physicists are
decided upon the accuracy and magnitude of these magnetic
fields.

PART II. GENERAL DESCRIPTION OF THE TABULATED
MEASUREMENTS

Tables I-XI inclusive contain symmetrical lines exclusive of
the triplets.

Table I consists of two 14-component lines. The interior
J-components are too weak to be very positive of their presence.
The exterior ^-components are diffuse, and not capable of meas-
urement with desirable accuracy. The ^-components agree very
closely for the two lines. This fact, and the general appearance
of the components, leads to the conclusion that they are dupli-
cates. The separations are shown as multiples of .17, and these
agree as closely as could be expected for the /'-components. The
value .17 does not appear to be an aliquot part of the normal a,
for a/6 gives .184 and a/y, .158.

Table II contains two 12-component lines, which are evidently
not related. The components of 4086.71 A are related in a simple
way. All are probably multiples of .214. This differs little from
30/16, which is not an aliquot part of a. The readings may also
be represented about as well by multiples of ff/11, which is one of
Runge's aliquots of a. The former value gives a distance from
component to component for the ^--separations of 4 x .214, and
the same value for the /^-components. The latter, a/il, gives
uniform spacings for the ^-components ; but for the />-compo-
nents we have 8a/n once, and 90/11 twice for the spacings.
There can be scarcely a doubt but that the components are equally
spaced and that the value is the same for both .?- and p-. This
leads to the rejection of the aliquot interval value, a/11.

Table III gives two 11 -component lines. They are not dupli-
cates, but a multiple relationship holds for the components of
each line. The repeated values are not rational parts of a.

Table IV contains two io-component lines. They are not du-
plicates and a simple relationship in the components is not
apparent.

97

io B. E. Moore

Table V has one 9-component line. The inner pair of ^-com-
ponents is a/2, but the other components are not related to it.

Table VI has three 8-component lines and all differ. A rela-
tionship of the components is not apparent.

Table VII contains one 7-component line.

Table VIII contains seven 6-component lines. There are no
duplicates : and there are only three separations in the different
lines which correspond to a or multiple aliquot parts thereof.
For line 4178.2 A the components are (4, 3, 2) times .262, with
deviations respectively of -\-.012, — .006, and — .004, while (4, 3,
2) times a/4 would give deviations of — .05, — .05, and — .03 re-
spectively. Such deviations in a set of reading are certainly
exclusive.

Table IX contains seven 5-component lines and no duplicates.

Table X contains 166 quadruplets. The first row gives the s-
and the second the ^-components. Each separation represents
both a positive and a negative value. Under intensities the first
recorded refers to the red, the second to the blue component. If
the components are of equal intensities only one value is re-
corded. In overlaps the intensity, of course, arises from the red
component of one, and the blue component of the other line.
There are several duplicates, but among these duplicates I have
found no series. It is difficult to tell just when these lines may
be duplicates. They shade off by small values toward separations
which are quite different. In the triplets of yttrium and zirco-
nium I found the values to progress by almost insensible incre-
ments from very small to very large separations, and if there were
distinct types there was no separating them. The thorium quad-
ruplets behave in the same way, particularly if one includes the
unsymmetrical quadruplets. The quadruplets, however, have a
p- as well as an ^-separation, which gives one a double chance
to isolate types. We may choose the ^-separation equal to a/2
(.553) and find it represented in lines 4017.65 A, 3730.12 A,
3670. 12 A, 3470.08 A, 3445.87 A, and 3324.88 A. The corresponding
^-separations for these lines are respectively 1.06, 1.28, .52, 1.29,
1.07, and .83. Here are evidently two pairs. The value .83
(=30/4) is the only one related to a. Similarly, if one were to

98

Separation of the Spectral Lines of Thorium n

choose lines corresponding to either of these ^-separations, one
would find the />-components to have as great a variety in their
separations. There are a number of the ^-separations reasonably
near to the value a, but very few, however, of the corresponding
^-components come near to aliquot parts of a. These relations
suggest that there is no particular meaning to be attached to a
"normal" separation among these quadruplets. None of these sep-
arations approach reasonably near to the quadruplet principal
series, neither were there representatives of the companion sex-
tuplet series. There are lines having the .?- and other lines having
the /'-separation of the same magnitude as the quadruplet prin-
cipal series, but no lines having both components coincidentally.

Table XI contains a list of sixty />-doublets. The intensities
follow the order of Table X. The weakest of these lines do not
appear upon the ^-plates, and only upon one set of /opiates. On
account of overlapping, it was impossible to make out the char-
acter of the separations for some ^-components, and impossible
to measure others. Some ^-components were too diffuse to meas-
ure. It is safe to say that most of these lines are quadruplets.
On account of the wide variation in the magnitude of these ^-sep-
arations it would be no easier to arrange and classify them than
a similar number of triplets. If one may add the greater portion
of them to the quadruplets, they increase the already large vari-
ation of these components and make it more improbable that there
is any standard in the magnitudes of these separations.

Tables XII-XVI inclusive contain a list of unsymmetrical lines
exclusive of triplets.

Table XII is an unsymmetrical 9-component line. There are
two red and one blue /'-components. The latter is double the in-
side red component. The remaining red component has the value
of the "normal" triplet, but it is not related in a simple way to the
other /'-separations, nor to the separations of the ^-components.

Table XIII is an unsymmetrical 7-component line. Both p-
and .y- are unsymmetrical ; but the strong undisplaced /'-compo-
nent is the only one which can be measured with desirable
accuracy.

Table XIV gives four 6-component lines. The footnotes indi-
cate their principal features.

99

12 B. E. Moore

Table XV contains seven 5-component lines. At least six of
these are unsymmetrical with respect to the ^-component only.
Line 4115.85 A has its components in the ratio of (o, 1, 3, 4) times
.417. The first three values represent the unsymmetricai /'-com-
ponents and the latter the symmetrical pair of ^-components. In
the /'-components of 3938.86 A one finds (o, 2, 3) times .41, which
is practically the same interval as in the previous line. The
^-components of this line are not related to this interval. How-
ever, we may combine both p- and ^-components together as
multiples of the interval a/11. We then have (o, 8, 12, 14) times
a/ 11. Applying this interval to the previous lines gives larger
discrepancies in the readings. In line 3709.82 A the ^-components
are nearly in the ratio of one to two in separation and in the ratio
of three to one in intensity.

Table XVI contains thirty-three quadruplets. Twenty-four of
these have unsymmetrical p-, and fifteen unsymmetrical ^-com-
ponents. There are six of these lines "lop-sided," i. e ; there are
more components on one side of the middle than on the other.
For three of these lines, 4619.67 A, 4318.65 A, and 4105.55 A, the
mean of the two separations upon one side is symmetrical with
the position of the third component upon the other side of the
middle. This is probably also true for 4050.02 A, but does not
hold for 4036.22 A. The distance between these two components
is very different for these lines. For line 4619.67 the two ^-com-
ponents on the one side do not appear separated on the weaker
field plate, but present the appearance of a broadened line. There
are one to two, one to three, two to three, and three to four ratios
represented in the separations of components, which are usually
expected to have equal values. Some of these ratios are repre-
sented more than once, but then the lines are unlike because the
ratio factors must be multiplied by different magnitudes to pro-
duce the observed separations. Two lines which have the same
magnitude of separation in />- or .?- usually have quite different
magnitudes in their respective s- or /'-components, as was noted
in the symmetrical quadruplets. This greatly reduces the possi-
bility of duplicates.

100

Separation of the Spectral Lines of Thorium 13

Table XVII contains a list of symmetrical triplets. In the
column of intensities the red component appears first, the unsep-
arated /^-component next, and the blue ^-component last. These
lines are further illustrations of the fact that there are no appre-
ciable steps in the value of triplets. When they approach each
other so closely in magnitude, it is scarcely possible to isolate
lines of a certain magnitude of separation and intensity and group
them into series or related lines. Under such circumstances it
would be much less meaningless to say that lines of similar types
repeat themselves from substance to substance, and therefore in-
fer a similarity of the substances. The same is true to a less
degree with the quadruplets. A few like separations of any type 1
are useless for comparing similar chemical substances or for in-
ferring a similarity of chemical behavior. However, these like
separations have an important bearing upon that very subject,
because they are natural starting points from which to begin the
search for a connected relationship in the separations. Only
when such relationships repeat themselves from substance to sub-
stance can one confidently assert that a similarity in the sub-
stances exists.

In such a diversity of separations, it might seem that small
errors in the measurements for these triplets would, if corrected,
throw them into groups differing by a small but appreciable
amount. So that the actual number of separations would be
small in number and possibly related to one another in some sim-
ple way, or even related to a normal value. There are some
well-defined lines which have a separation of 1.07 to 1.08. Do
these belong to the normal triplet whose separation is 1.105 or
are they a class by themselves? I selected some of the sharpest
and easiest measures of these lines and subjected them to re-
newed measurements upon plates of both field strengths, and
was not able to change their value. I similarly treated a few
lines with separations about 1.04, 1.14, and 1.18 and with a sim-
ilar result. The whole could be answered satisfactorily with five
times the accuracy in measurement.

1 Purvis, Trans. Camb. Phil. Soc. XX, no. VIII, p. 193; and Proc. Cainb.
Phil. Soc. XIII, pt. VI, p. 325; XIV, pt. I, p. 41; XIV, pt. III. p. 217.

IOI

14 B. E. Moore

There is a characteristic of these triplets that is impressive.
One may choose a line with almost any magnitude of separation,
and not far from it find one or more lines which have practically
identical separation. The following seven lines lie in a small
bundle upon the plates. Four of these, and possibly six, are du-
plicates. These lines are 4383.69 A to 4374.96 A inclusive (see
table). There is another bundle between 4286.90 and 4283.25
with three lines alike. The photographic plates suggest many
such bundles or groups. Naturally, other types than triplets may
be present in these bundles. These at once suggest those recur-
ring groups in those substances in which series have been found
This fact, together with the numerous close companions having
like separations, would suggest that hope for relationship among
the thorium lines was not forlorn.

Table XVIII is a list of unsymmetrical triplets not included in
Table XIX. Stronger exposure may reveal other components
for 3294.76. The line as recorded is uncommon rather than un-
symmetrical. The ^-component is in the zero position and the
/'-components separated.

Table XIX contains a list of lines in a very small portion of
the spectrum. The spark spectra was obtained from thorium
chloride upon carbon electrodes. About 3885 A a carbon band be-
gins whose lines are troublesome for some distance. As usual,
I was omitting these lines of zero separation, but found that I
was omitting many lines from Exner's and Hascek's tables. Close
measurement of some of these unseparated lines showed that they
agreed so closely with the tabulated wave-lengths which I was
omitting that there could be no doubt as to their identity. Those
which were found separated were unsymmetrical. Unseparated
lines are supposed to arise from compounds. The carbon band
lines which are unseparated are attributed to cyanogen. A few
of the lines in this region Exner and Hascek mark cyanogen.
However, all but one of these show separation. Many not at-
tributed to cyanogen fail to show any separation whatsoever.
These may be due to compounds, but it is only conjectural. Their
behavior is generally very peculiar. In my study of zirconium,
I noted that most of the lines of zero separation looked like unre-

102

Separation of the Spectral Lines of Thorium 15

solved types, which would probably separate with stronger field.
The unresolved lines of thorium have generally a different ap-
pearance, and most of them are probably of an inseparable type.
There are a few of these lines distributed throughout the spec-
trum, but the most of them are found in the small region of Table
XIX.

Comparison of the intensities of the s- and ^-components with
the corresponding no-field lines showed that there was no uni-
formity in their ratio to the intensities of no-field lines, and there-
fore no uniformity in their ratio to each other. It is a well-known
fact that the exposure of the plates must be many times longer
when the spark is in the magnetic field. Possibly, it is equally
well known that the relative intensities of the lines change in the
magnetic field. This is attributed to- the change in the character
of the spark. In the simplest theory of the triplet the ^-compo-
nent is supposed to be half the intensity of the /"-component. Ob-
servation shows cases where the intensities are the reverse. When
one considers an unseparated line, the simplest assumption would
be that the field would change p- and ^-components relatively the
same, and that the intensity of the vibrations parallel and per-
pendicular to the lines of force would be the same. However, in
comparing the p- and ^-components with the no-field line inten-
sities and with each other, the ratio of their intensities was found
to vary in the same way as observed in the triplets. From a com-
parison of many lines one might infer that the /'-exposures are
at least 25 per cent stronger than the ^-exposures. But here, one
may assume any value less than twofold, for the relative expo-
sure of the p- and ^-plates, and then will find only a small num-
ber of the lines to have equal intensity for both j- and p-expo-
sures. The inference seemed to be that the lines were not
vibrating with equal intensity parallel and perpendicular to the
lines of force. I soon found there was a tendency for some of
these lines to group themselves into pairs, i. e. for one line there
was a greater luminosity perpendicular to the lines of force than
parallel thereto, and for an adjacent line or close companion the
phenomenon was reversed. This reminds one of the close com-
panionship of many of the triplets. There are cases where sev-

103

1 6 B. E. Moore

eral of these lines may be associated in close groups. Some of
these groups have s- and p- nearly equal. Other groups will have
p- stronger than .?- or vice versa. The behavior of these lines led
to placing them in a separate table (Table XIX), and to record
the intensities for the no-field lines (designated "no f") as well
as the intensities of the p- and ^-components. Special citations
from this table would be scarcely necessary unless one could col-
lect them into definite, well-defined, and related groups. A fur-
ther characteristic is that this list of lines begins very suddenly
at its red end, near the beginning of the carbon band. The blue
end of the list is nearly reached at 3700 A, but there seem to be a
few scattering lines belonging to the class as far as 3656 A. There
are very few symmetrically separated lines toward the red end
of the group, but before reaching the end of the group the sym-
metrical lines predominate.

There were some of these lines of zero separation which did
not seem to have exactly the same position upon the no-field .t-
and />-plates. The lines upon the no-field plates were, in general,
exceptionally sharp. But these unsymmetrical lines were always
broadened. Take lines 3864.04 A and 3751.22 A. When the corre-
sponding p- and j-components are compared with each other, one
sees an appreciable difference in position. When they are com-
pared with the corresponding no-field lines, the ^-components fall
upon one side and the /'-components upon the other side of these
broad lines. Two adjacent lines, 3870.30 A and 3870.13 A, have
the ^-components of the former displaced toward the red, and of
the latter displaced toward the blue. The no-field lines are again
broad in both cases, and the s- and /'-components sharp. Also,
these ^-components do not fall outside of the no-field line. Some
other illustrations might be taken from the table. The error nat-
urally increases here, and one should not attach much importance
to the recorded values of the latteral displacements. But that
there are displacements of some of the s- and /'-components with-
out separation, as well as a variation in the ratio of their respective
intensities from line to line, seems probable. This' same broadness
or diffuseness upon one side occurs for a few no-field lines which
are found to have one of the corresponding ^-components broader

104

Separation of the Spectral Lines of Thorium 17

than the other. This action suggests that one has here a pair of
close double lines differing but slightly in separation.

Table XX gives a few (38) scattering unseparated lines.
There seem to be some easily recognized pairs and groups here.
In the table, the pairs are shown in small brackets, and the groups
in large brackets. The lines not included in the brackets are more
scattered. For the shorter wave-lengths there is increasing prob-
ability of small separations escaping one's notice.

General Remarks. — It is among the lines which have several
components that duplications are most easily recognized. It is
also easy to recognize their repetition from substance to sub-
stance. But this might be misleading. For if the magnitudes of
the separations for a particular number of components change
with increased number of lines they ultimately differ by only
small amounts, then one certainly would have separations found
in other substances, and a type, therefore, could have no par-
ticular meaning. This is too well known among triplets to need
comment. It is also true in thorium quadruplets. There are
in this substance a number of lines whose separations are reason-
ably similar to separations which I found in yttrium and zirco-
nium. With such a list of quadruplets and such diversity of sep-
aration as found in thorium, it is rather surprising, however, that
no quadruplet was found which approached reasonably near to
the magnitude of the separation in the quadruplet principal series.

With the lines having five or more components in thorium there
are few duplications, and as the number of components increases,
the number of representatives of the different types correspond-
ingly decreases. So that there is practically no chance to apply
Preston's law in these lists.

As found by myself and others, and in particular by Runge,
the successive separations in these several component's lines are,
for each particular line, multiples of small values called 'intervals,'
which Runge 1 first showed were multiples of aliquot parts of a
normal separation. In thorium these small intervals are not as
near to aliquot parts of the normal a as one should desire for

'Phys. Zcit. 8, p. 15, 1907.

105

i8 ' B. E. Moore

accurate confirmation of such a relationship. But the multiple
relationship is frequently very easily recognized.

PART III. CONCLUSIONS

1. Lines which have six or more components in thorium are
relatively very few. The separations of a great many of these
are multiples of small values. But these small values are not
closely related to aliquot parts of a "normal" separation.

2. There are numerous lines unsymmetrical both in separation
and in intensity. The stronger component is always least
displaced.

3. There are a few lines with an unequal number of compo-
nents upon the two sides of the zero position.

4. There are a great many lines unsymmetrical in intensity,
which fail to show any dissymmetry in position.

5. The components are often unsymmetrical in width, i. e. one
component is sharp and its opposite companion is broad. Some
of the latter look as if they might separate with stronger field and
give lines of the type in conclusion 3.

6. There are numerous lines unseparated in the magnetic field,
but very peculiarly affected thereby. Some of them vibrate more
strongly perpendicular to the lines of force than parallel thereto,
and others vice versa. Some of these are possibly related in pairs.
Others may belong in groups.

7. Numerous triplets have one or more close companions of
like separation, which suggest pairs and groups of closely related
lines.

8. There is often a multiple relationship in the magnitude of
the separations of unsymmetrical components. This would be
merely a coincidence, if the dissymmetry is independent of the
field strength or proportional to the square of the same.

9. The types of separations for lines which have several com-
ponents are not repetitions of types which I had found in other
substances. Reasons are given for excluding triplets and quad-
ruplets from such a comparison.

106

Separation of the Spectral Lines of Thorium

19

Table I

\ 4282.20

X

41 16.91

i

AX/X-

A

i

AX/X 2

A

5

1 —

1 —

1 —

1

1

(-2.26) 5
.... s
.... 5

-1.22 P

— .87 P

— -54 P

— .17 p
+ .17 /
+ -5i /
+ .86 p
+ 1.22 />

+ ^

+ .... s

(+2.26) 5

(HX.17)

( 7X.I7)
( 5X-I7)
( 3X.I7)
( 1X.17)

1 ■
1 —
1 —
1 .

3

3-

3

3

1 .
1 —

— 1

+

+

+ •
+ •

+ 3

37 ^

. . 5
. . 5

19 P

86 p
50 p
17 p
17 p

5i />
S5^

20 />
. . ^
. . 5

37 s

(14X.17)

( 7X-I7)

( 5X.I7)
( 3X.17)
( 1X.17)

1 — . . .

5

1 ■

Table II

X 4086.71

X 4019.30

i

AX/X 2

A

z

AX/X-

A

5

3

4

1

5

1 —

1 —

5

1

3

3

4

+ 2.S3 5
+ 1.95 s

+ i--5/>
+(1.05)5
+ .42 p
+( .16) 5
— ( .16) 5

— .41 p
—(1.05)5

— 1.26 p

— 1-95 *

— 2.83 5

13X.214

9
6

5

?
?

4X0/1 1

10

13

19

28

5

3

1+....

8

1

6

6

&. . ...

5

+ 1.995
+ 1.45 5
+ .895
+ .80/

+ .40 5

+ -35 P
— -34^

+ ....5
+ .So/.
+ ....5
+ ....5
+1.99 5

?

107

20

B. E. Moore
Table III

X 4142.87

x 3434-09

i

AX/X 2

A

i

AX/X 2

A

5

1

1 +

1

1

-2.25 p
—1-35/
— 1.34 ^

—0.68 5

—0.47 />

0.00 5

+0.47^
+0... ^
+1.32 5

+ 1-35/
+2.36 p

10X.226
6
6
3

1 — . . .

3

1 — . . .

4

1 —

4

1 — . . .

3

1 — ...

—2.365
— .. . s
— 1.04 p

—o.34/
... 5

+0.34 p
+ ... 5
+1.03/

+ ... 5
+ 2.365

7X0.34

3

1

0?

1

Table IV

x 4094-99

* 39 2 9-74

i

AX/X 2

A

i

AX/X 2

A

1 +

2 +

1 +

1 +

— 1. 51 s
— 0.92 s
-o. 7 Sp
— 0.41 s

—0.36P
+0.36 p

+0.41 s

+P.78 p

+O.96 5

+ I.51 5

?

3

4

1

5

1 — ...

5

3

— I.OI 5

— 0.84/

-0-73 *
—0.27P

— ... 5

+ ... 5
+O.28/
+ ... S
+0.83^

+ ... 5

?

sb diffuse

Table V

X 3704.16

i

AX/X 2

A

1 +

1

—2.08 s

—1-33*

— 0.70 p

— 0.56 s

0.00 p

+0.57 5

+0.73 P

+ ... 5
+ ... s

?
diffuse

diffuse

108

Separation of the Spectral Lines of Thorium 21

Table VI

x 427749

X 4180.15

i

AX/A' 2

A

i

AX/X 2

A

1

1

— 1.50 5
—0.97 5
— 0.70/
— 0.46 s

+O.46 5
+0:70 p

+0.99 5

+ I.505

?

5

3

1 —
1 —

3

— ... 5

— 1.44P

—i.oSp

+1.09 p

+1.44/

+ ... 5

Brd. poss.

2 or 3

comps.

X 3649.90

i

AX/X 2

A

1 +

—2.86 5
— ... 5
— 1.20 p

0.00/5
+ I.20 p
+ ... 5

+2.86 5

?

1 +

Table VII

X 3792.5 2

i

AX/X 2

A

3

—1.94 s

?

—+-33P

— 1.05 5

0.00 p

... 5

+*-33P

3

+ 1.94 5

109

22

B. E. Moore

Table VIII

X 4448.00

X 4202.02

X 4182.15*

i

AX/X 2

i

AX/X 2

i

AX/X 2

i + ...
6

10

8

5

1

— 1.82 5
—0.77 5
—o.SSP
+0.56^
+0.76 5
+ 1.87 s

1 — ....

4

4

1

—0.84 p
— 0.69 s
—0.27P
+0.28 p
+0.69 5
' +0.83/

6. ...

10

8

4

_ ?
— I.IO 5

—0.79P
+0.79 P

+ I.II s

+ ? 5

*The external pair of components may belong to other lines, which
would leave this line a quadruplet.

X 4178.20

X 4069.40

* 3549-83

i

AX/X 2

i

AX/X 2

i

AX/X 2

1

10

— 1.06 5
— 0.78 />
—0.52/
+0.52 p
+0.78^
+ 1.06 5

S

4

4

8

— 1.22 5
— 0.50 p
— 0.18/)
+0.18^
+0.50 p
+ 1.235

i + ...

1

6

5

1

1

— 1.92 5
-O.83 5
— O.60 p
+O.60 p
+O.83 5
+ I.92 5

X 3338.00*

i

AX/X 2

6

1 + ....
1+....

1

6

— 1. Si S
— 0.89 p
—0.36/)

+0.3- />
+0.90/
+ 1.805

*The /^-components are measured in the second order and j-components
in the first order.

I IO

Separation of the Spectral Lines of Thorium

23

Table IX

X 4624.22

* 4499- J 3*

x 43 6 9-5°t

i

AX/X 2

i

AX/X 2

i

AX/X 2

1 — . . . .
2

1 — ....

— (1.S9) 5
— 0.41 p
0.00 p
+ 0.41 p
+ 1.89 s

1

1+ ...

1

1

— (I.53U

— (o.43)/
0.00 />

+ (o.43)^

+ (1.89)5

1 . . . .

5

1

— 2.07 5
—0.98 p
0.00 p
+0.98/
+ 2.07 5

*The 5- are diffuse inward and probably other components are present.
|The s- are diffuse and the p- have diffuse background.

X 3S92.40

X 3S72.51*

X 3842. iof

i

AX/X*

i

AX/X 2

i

AX/X 2

1

4

5

3

1

— 1. 9 1 5
—O.66/
O.OO p
+O.66 />
+ I.9I 5

1

5

— 5

- /
0.00 p
0.57 p
i-3° *'.

12 ... .

30....

1 + ..
12 . . .

1.755

i. 3 sp

0.00 p
1.40 p
1-75 5

•• pr and jr are overlapped.

f The middle p- may be double.

X

35S9-47*

i

' AX/X 2

1

1+....
1

— O.SS/
o-.oo p

+0.57 p

+ ... 5

The 5- are both overlapped.

Ill

24

B. E. Moore

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112

Separation of the Spectral Lines of Thorium

25

1/3

X

<&

J=.

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<J

s

w

Q

O

T3

T3 -o b

c<

O

N^-^

«\

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f

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+

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f

m r<->\0 O

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w-i O

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ro fi O

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<\

•^

-)— Cx, -Rs

_^_ s

, ,

2;

So"^'r?So

» o»« <-OnO « <"o CnnO c

ro moo

nnrofi r-» r-~

rf o\ r~~

- t^ ro m

HtO NH H tt

rooo

O — CI CO CI

l-N

N ci

O

ro rocc - -

<

I

+

+

+

Tj-CO c<

rt- ro

rO "~

r~- 1J ~>

"

co -

«

■*

•*»

" +

"■ "

" "

. -

-

*

"

vO O NO f

m n "i "iui >fl n

■* M

X

O

tn>flH

—

— ■

—

-rj- 10

"1 M

— LO M

ro

in O

N

_

q t--.

l-l LO

CO ro -tf-

1-0

Ch O N

r^

c

VO NO

,<

iA 00

n° n*

00 CO 0'

NO

CI — >->

co

so

Tt- ro

On CO

CO t~~

>o ■<*• -<t

ro

n ro c-

O ON
O

Tf-

■*

113

26

B. E. Moore

1/3

w

_o

>,

(fi tn

.-2

<

C c

^

'55 r\

en ^J

ci

w

ompone
t in 3.10
ompone

II
r O

6

T3 II

^O O

II t,

■^

O

~ CI

"Sjb

0x2

<ft

<z

<S 'O T3

•a

XI

1-1 Cl

CI -^

■-r, Cl CI

<\, CI

CI

0-j "^

"5 *) ^,

^ ^

Srf

^^

^^ _^_

co i^n

OO ■* ^O coo coco -t -t -t»

O «-o Cn «

r-~cO ^f O

O CO -*VC

<

ci vO rono coo O

O '0 00 O

1- M O CI ^o

— CO tJ- -f Cl to CO to ~ O -"S-CJ

-h H

**

M

M

— _ —

M *H

M —

M —

++++

- — - -

' — ' '

^^ > — ^ —

+

+

CI Cl 1-

co covO

CO to

CO

O co-

Tt-OO - -

ci O O ci

CI

- rooo - —

O O co ci toco ci

co ci r^ to cl

CI 'O

^ O

r-~ to

**■ ^d-

ci r o 00

CI Tf

Cl Cl

00 v-~

LO »C

C^ O

to r>. vC

rf vO

CN O

to

,<

N O

— ci

CO CO

d r^ vd

M , — '

00"

O 00

co co

CI O

r^ O

to ~r -r

-1- ' co

CO CI

Cl —

CO

r^

co

CO

c3

y

u

6

en

£

*

>^

. OS

OS

<;

5

g

w

_>,

g

'5i<o
in

O T3
Q. Cl

++

CI

^
-0 A

c. •*,

^

, ,

O^O ">

r^O tl N O vD tl ti O

tsno » "1 r^-oO

Tf ONCO O O

<

ci r-~ roo

ci co ci co ci r-~ coo

O to — Tf CnvO

— -t- co C\ Tf -* toCO "- co too

H —

" -

+ ~

- £1

—

+

co co

CO CO Tj-

"- CI

00 x - co

Cl

r<-> M

—. C) C)

ci \0

•*»

*

„ .

* *

„

- ~

-> * -.

n M

+

+

+

++

+

ci -t ~

-T

ci vO — ci

C) CO — CI

00 O • - -

ci

CO Tj" «

Cl - - 1-

— O CO Cl -.

O 00

O

co -r

-t- in u~

M co

to co

CO Cl

cl c-

IO CN

co CI

CI O

-r q

Cl to

Cn r^-

,<

C\ 4

t^- T?

co r-i

t-^. - 1 c-

ri co"

0" 4

C\ 00'

r-~ t^

vO

O to

CO u~i ~

- O

O O

to to

ON

CO

CO

CO

114

Separation of the Spectral Lines of Thorium

27

<^-JOn pi

Q

Q

O

—

—

-a

O

O

T3

pi

ri

~

-o

PI

«\

■ft,

•<*,

ci

PI

■fc,

"ifnr^m o fi M O n n u-i— i_n u-> pi o PO po u-> pi PO

-t -t <-r\ r^zc tt — noK -h i-oriO — no pi t^ — Xj "ifi >-o ^-O co^ri-

u-i u-i pi *o "O r-~ pi 11 Pi u-i pi iri \C O

<-n PI u-ipi m u-^ir^roCN— u->u-iC\u-)

iA -f pi r-^. 00 pi pi' pi C* vd vd

— — — OCNO^Dr^io— —

2

pi g

+

po pi -. o co "i -

pi lo O ■ O

.+ + +1 I + + +

- ri M fl » n • POO pi PO ""> — — pi Pi — Pi — pi — —1 — — CO ""> • pi -sf

115

28

B. E. Moore

co

•

*

tt

<

S

w

M

O

o o o

TT

f-N

O "> -a TJ -Q ^>

O Q

N

T3

-a A I! i' " *= •«

-a T3

<v

C)

ci S^ -d, -«s -^ S= <-!

CI ft

f ^ s

r^ -3- O ►-

o moo

t-s

On O w Tt- "">CO CO *0 POCO vO CO r«")\o H

u-l iy-1 lo ON Tf h- VO

O iorO"iron

H*

1-/-,

N io C\ O O roo nrorOMVO OnCO roN« Tj-roroO w

<l

+ +

+

N o-s

Tt-

ro

ro>-Of*0 i— "- 1 m n t)-

ro N fOtl CI

■>

- -

•

-

" "+

- « « «

ro in N N

rO'-OTi-rONVO m tj-tJ-— t)- c-i com m n ro"iH

tj- i— ►« c i ^n"i

o

r^

oa

C\C\ei r^vO O t^Tf

■* O ro

00

O

M

ci "~> CTi ro t^ m r~- \o

CO r-» o

,<

u-1

^

ON

u~i

ON •>*- m CP> CO* iA cjv vD

CT\ CO ri

tJ-

Ti-

ro

CI

i-«i-OO^COCO

r^ r^. vO

■*

ro

ro

f>

CO

a!

<

II

3

•^

W

_>N

P*

o

"re

o

T3

O

oo-c

•73 TD

C-l

T3

= M N l-H

<N

f) =

■«k. ^

^-^ ^-- -— .

_, ^

CO Os 'f5

N

LT!

m\0 CO O OsCO N O vO TfCMO rocc O

i-c ca n in n m c\

"" N

ro vO

h r-~ mvo

mco m r-~ -■ Tf -^-so (ONN "i OCO ro m >- m r^so d so

<

+

+

ro

N

H

lo N Tf ro N

ro

**4

-

-

-

-

+ + +

m n

M

rotN rovOH h- ii ro»-. rONi'i M in h-

N w rovO *"1M

O

CO

ro

o

W) U-l n M OCOCO fO

in m t»

t^

ro

ro

r-»

>-. M Tf P) -^" O CO CO

ro CO r--.

,<

rf-

ro

Cfi

d

O ON r-^. <-o i-' O uri -*f

* N C>

o

o

O osCNt^-r^t^sO "">

LO lO Tj"

<-n

rf

m

ro

u6

Separation of the Spectral Lines of Thorium

29

00

*

P4

<

s

w

rv*

OO Q> O ^ ^

T3 "P "P "3 "O T3
pi pi pi pi pi pi

■Cv, S\ "ft, ■«*, O, "*,

^^ r ^ ^ , s

c^Ni-x O ionO m CO r-^ -j- CO -st" vi

2i

POO r~ — poco *i-nO pi poco *-t- po <"0

^<~

O

+ + + + +

i_i _, pi PO rf PI PI 1-1 PI ih

"

+ + +
PI PI -t- po —1 PO ""> PO M PO i-> — PO -•

LO -, -j- 1-1 M M O

pi r^ -h CT\ lo r-~ lo

,<:

O* no' r-C in iA po 0"

on 00 -r pi i-i "~>
pi »-

ro ro

w

^

Pi

<

g

W

«

-O T3 T) T3 'd ^
PI pi PI pi pi

_^ ^^^_^^

10 >- ~-f uoo O CO CO CO CN-t-* t NT"

'/<

tj-nO ON O PI po r^- PI NO CO ponO poo CO PO

<

M I l-l — l-I. I-I M

+

PI • PO 1^ -f

•*»

« . „ * -

+ +

r^-PO—PI^O"-Pl — — ~Pl-i <OCO 1— "1

On CO O po pi r^ pi CO
r^po— on r>- -* r^.co

^

-j-i-oONCO' iv. iA *f -f
no 10 tj- -t- -*• po CO pi
PO
PO

g en

*C5 ._, xti

a =

2 «J t»

^

. p •=

~ >^

id •-

tp is -q

"a ^ ^ ^

•a a — - — c

JS ^= «3 - 1>

O CD rt

P "°

-w P

u

<2 p tn

E

cr.

CD

en

'-« i£ 2

CD CD

• — 5 E

is s^s

„ . C,°cJ
u eu ^ p

1-

— S. 1)

^ en - C

O 5. u P > O

en

o.S

O a 01 .P CU

0)

h a s

CD J=, 5

ri

rt v- ** P

>

° £a

OJ CO BJ p

CD

O p a P 0> *j
■dfift C r

tu c3 •- Cv ^~

>

° O

U J-. -"
<D C/J

C/) V- v>

^:a

•P O Xi
«» ""

3

O 5 -^ eCP ~
;5 O -■-■ en — _.

.p a c -o^

en O q — O

2 Vir 2 3 fl

f-H •*■ ^ iX en CJ
1 >> zi '-n
= CD S 1 ^ CJ CD

»j-i

- O

-— -— P P

' ~~

"* ~"

+- -^ !

~

8 O

«J

a ^ =2

h s s 1 a

—

en"

CD

*- a

H

u

re!

en i-C>

rt

O -Ct,

p

•a

H *• >>

rt

^ rp cd

rt-5

O

-*- 1 ni en J2

U

tp

■^ ^ « CD

C ■'^.'O

_0 0-3 CD ^

s a" 5 w - s

, CD-- P
1- .P CD P

en

I-. —

en en

^ CD -P
en 1-1

J -cc; 1-
a nj i_

—

S- 1 "3 u

be p:

a — ■ cd

r- a

2P CD^

O

'" is

<" P en

n«8

o-cC5 P

CD

p r- C3 ct

^ S

e does
of J- a
the devi
ight be

33

a

n

CD
l-i

separati
as made
was not

.S p-p p

CD

r

CD U.-p

— op.

<o

X.

■=4,^2

*The
mpari
ddle
nt. I

CD

-1—

;

CD
>>

CD

.G CD

l+H t" P

id-°

cu ■»

u h ?!

"o a

en

g^.p

117

3°

B. E. Moore
Table XI

4740.72

4612.71
4588.40
4472.47

69.75
02.:: 9

4388.59
87.27
61.91
02.25

4256.42
47-73
37.25
35-59
17.37

4166.70

4158.71

4107.41

2

4087.46

1

70.86

i+,

45-74

1

29.80

3

16.48

2

03.21

3969.15

1 —

81.70

1

53-53

2

52.60

1

45-96

3

45-27

2

42.95

2

42-75

2

3937-14

4 ,

36.07

1—.

12.05

1 —

3698.47

86.03

76.8S

l+i

75-°5

58.32

l-\-

58.20

50-75

48.28

24.57

06.32

1 —

3556.45

1 +

1+

AX/X-

(1-

(+!■
(-

I

(

1. 14

•52

•3 1
•3 1
•79
19
71]
76
62

50
66)

84 •

4i

3S
90)

(.71)

17)
22)

3 1
5o)
•37
•23)
.66

•04
30
.51)

.80

•49
■4i

•58
•56
•44

3

•5i

1

•57

1-4-

•5°

2

.40

1

I.OI

1

.62

2

1.60

-.64

3

+■47

3

•73

1

•54

1

.89

1+

.90

1. 00

Remarks

5 broad, apparently not separated,

possibly double

6 components

Probably p> s

Quadruplet sr and pr lost in 03.39

2d O, so

o 8.20

Il8

Separation of the Spectral Lines of Thorium 31

Table XI— Concluded

X

i

AX/X-'

Remarks

3516.96

5 , 3

.67

3406.35

1 , 1 —

(•36)

3385-16

1

(1.26)

P>s

329544

i+, 1

•50

62.79

8

• 1.29

2d 0*

4S.62

1 , 2

.80

2d G>

3 r 93- 2 9

2 , 1

•54

2d

90.25

3 > 2

.81

2d

42.76

2

• 77

1st <9

24-47

3 > 2

.84

2d O

17-75

1

(-53)

2d

10.12

2 , 1

•83

2d

3035-2I

1

(.32)

2d

3002.51

1

■53

2d

*The j- is very peculiar. It is spread over a field about 40 per cent
wider than the p- separation.

Table Xll

X 3722.06

i

AX/X 2

2

+ I.595

+ -99 s

8

2

+ -9°P
+ -3S^
— .32 s

-,

— -ASP
— 1.02 5

2

6

— 1.1 1 p
— 1.62 s

1 +

Table XIII

* 3959-38

1 . .

5--
1 . .

1 +

1 +

AX Y-

— 2.00 .9

— I.42/)

— .So ^
o. p

+ .98 s
+ 1-23/

+1.875

119

32

B. E. Moore
Table XIV

\ 4295.25*

X 3998.01 1

x 3828.58$

i

AX/X 2

i

AX/X 2

i

AX/X 2

i . . . .
i

5- ••

12

7

i

—-•45/

— 1.94 s

— I. II 5
O. p

+ I.II 5

+ 1-77/

12

10

... 5

... 5

—.66/

+•97/
. . s

. . s

1

7

5. ...

1 . . . .

— 1.63 5

— .90 5

- .55 /

+ -45 /
+ .96 5

+(1.30)/

*The outside pair of p- may be foreign. In second order the zero p-
is diffuse on the red, looking like a companion weak line. No-field plate
line is also diffuse on the red. The middle of the s- was assumed to be
midway between the two stronger components. If there are two lines here
the principal one is a symmetrical triplet and the weaker one a symmetrical
quadruplet with the separation of p- greater than s-.

t There are four if not six components in each of the s-.

I The outer blue component possibly belongs to the adjacent line.

X 3678.19*

i

AX/X 2

1 + ....

2

10

4

4

— 2.20 5
—1.365
- .26/
+ -26/

+ .885

+2.08 5

*On no-field plate second order there are two lines, unless it is reversal
which should have shown in first order. Exner and Hascek give but one
line. Supposing it two lines, the inner pair of s- are symmetrical with the
stronger line (or red p-), but one is at loss to know how to dispose of the
outer pair of s-.

Table XV

X 4342.45

X 4"5- s 5

X 4100.57

i

AX/X 2

i

AX/X 2

i

AX/X 2

1 —
6
12

5

6

-(1.56)?*
1 — I. II s

— -54 /
+ .80 /
-j- 1. 10 s

1 + ....

— 1.66 5
- .84/
0.00/
+ .42/
+ 1.665

i + ...

3

3

— 1.64 s

- -52/

0.00/

- -69/

+1.645

120

Separation of the Spectral Lines of Thorium
Table XV — Continued

33

}

k 4075-9 2

X

3938.86

X 3822.33

i

AX/X 2

i

AX/X 2

i

AX/X 2

3

3

3

i + ....

— .80 s

— 1.27P
0.00 p

+ -95 P
+ .805

3

3 ••••

1

8

4

— 1.395

— l2 3P

0.00 p

+ .81/
+ I-39 •*

6

4

3

—1.03 s

- .S 5 p

— -17 P

+ \.12p

X 3709.82

i

AX/X 2

1

1

5

3

-(i-5S)/

— ( -97) s

0.00 p

+ -50 s
+ ? />

Table XVI

X 4619.67

* 4352.87

* 4347.40

i

AX/X 2

i

AX/X 2

i

AX/X 2

i + ...
5

— 1. 17 5

— 1.04 s

0.00 p

+ I.II s

3

12

4

3

—1-35*

— -5 1 /
+1.03 p

+ 1-35*

4

i + ...

— 1.62 5
— -43/
+ .81/
+ 1.62 5

X 43 1 8.65

x 4165.92

x 4164.43

i

AX/X 2

i

AX/X 2

i

AX/X 2

5

10

1

— 1 .45 s

0.00 p
+ .895
+2.00 5

1

3

4

1

—(1.05) s

— -99 P
+ .76 p
+( .88) s

5 ....
4 ■ • •
3 ••••

3

— 1. 185

- .71/
+ -44 P
4-1. 1 8 5

121

34

B. E. Moore
Table XVI— Continued

^ 4105.55

X 4060.05

X 4050.02

i

AX/X 2

i

AX/X 2

i

AX/X 2

1

8
6

— 1.31 5

— .76 5

O.OO p

+ I.04 5

1

1 — . . . .

1

—(1.03)5

— ( .70) p

+'( .36) P

■ +(i-03)5

3

S

1 . . . .
1 . . . .

— I.59 5
O.OO p

+ .84 s

— 2.44 5

X 4036.22

x 4027.15

X 3993.S6

i

AX/X 2

i

AX/X 2

?

AX/X 2

1

6

3

—1-73 5

— -55 5

0.00 p

+ 1.84 5

3

— I-I55

- .27 />

+ -38^
+ I-I55

1

1 + ..

1

1

— (I. IO) 5
-( .38) />
-( .76) P

+ (l.IO) 5

X 3955.2S

* 3895.55*

x 3873-56

i

AX/X 2

i

AX/X 2

i

AX/X 2

1 + ....

5

3

— 1-53 5

— -1\P
+ 1.385
+ 1.4S/

8

5

8

— 1.02 5
— .11 p

T .23/
+ I.02 5

5

1

— .665

— -v-p

+ .96/
+ 1.305

*The s- measured in first, the p- in second order.

)

* 3867.42

X

3866.21

X

3842.69

i

AX/X 2

i

AX/X 2

i

AX/X 2

1

1 + ....
1

— .38 5

— -42/

+ l -3 2 P
+ .385

7

3

6

3

— .60 5

— .82/
+ .46/
+ 1.26 5

1 . . . .

1

— 1.25 5
- -38 /■
+ -76/
+ 1.565

122

Separation of the Spectral Lines of Thorium 35

Table XVI — Continued

X 3S3S.01

X 3827.07

X 3815.95*

i

AX/X 2

i

AX/X 2

i

AX/X 2

4

12

—1-54 5
0.00 5
0.00 p

+1.705

1

3

5

— .665

— .80/

+ -y~P

+ -385

3

5

1

1

— -53 5

— -i9/>
+ 1.68 p

+ I-73 5

*The components of intensity 1 might belong to line 3815.78, the blue
components of which are visible. The latter would then be unsymmetrical.
If this were accepted then one has no blue components for this stronger
line.

X 3814.12

* 38i3-79*

X 3790. 1 of

i

AX/X 2

i

AX/X 2

i

AX/X 2

1 — . . . .

1

2

— ( -9°) 5
-( -79)^
+( -79)/
+( .32) 5

3

1

3

— . — 5

— -40 p

+ -53/
+ 1.31 5

5

1

— .51 5
— 0.00 p

+ .685
+ .985

*Exner gives 3813.85 for this iine which would make the dissymmetry
greater.

tThe sr is overlapped by sb of 3790.26.

X 3783.15*

X 377S.oof

x 3776.10

i

AX/X 2

i

AX/X 2

i

AX/X 2

8
6
6

—(1-13)5

- -5i P
+ 1. 00 p

+(i-i3)5

3

i —
1

— .27 s

- -27 P
+ -94/
+ 1.16 s

4

6

5

3

— 1.08 s
—i.oSp

+ i-59/ >

+ 1.555

*The sr is overlapped. Exner's 3783.27 not found. Could this be it?

t It seemed that the weak blue components might belong to some other
line, which would leave 5- and />- identical in position but only with red
components.

123

36

B. E. Moore

Table XVI— Continued

* 3775-47

X 377 1. So*

* 3770.25

i

AX X-

i

AX X-

i

AX/X 2

i —
i

2

— 1.05 s

— S7P
+ -85 P

- .48 5

3

1 — . . . .
1 — . . . .

— I.05 5

— -91 P

+(i.8i)>

+(i-55) s

6

4

3

—(i-i7)5
- -65 /
+ -95 P

+ -55 s

*An overlap on pb. The sb is broad, possibly double. Its middle meas-
ures as given. It is certainly unsymmetrical.

x 3751-9°*

X 3712.80

X 3617.SS+

i

AX X-

1

AX/X 2

i

AX/X 2

1 — ....
1

1

-( -•■)•*
0.00 5
0.00 p

+ 146 s

3

5

— 1.36 5
—1.30/

+ -59/
— 1.365

1 — . . .

1

1 — . . .

— .. . s
— 1.02 p
—2.04P

— .. . s

*This line may be symmetrical. The sr is diffuse.
tThe J- is diffuse but smaller than />-.

I24

Separation of the Spectral Lines of Thorium

37

<

w

Pi

T3

o
>-

c
2

<i

« PI

Tf CO r-~ "1 — O "~icO CO m O O CO Tf c"\ m mo 00 Cvco ov r^ ~

no mfoo po Tf o m m o ov pi vo cv cv Tf r~- po pi o o co co

PO r»» rooo

PI PI Tf PI

"— ' ~

•— ' — "— '

*" s—^_ "

•«

Jt

+ + ++ ++

o

+

PI PI PI — — PO Tf PI

+

in pi o —
PO

Tfvo

in invC CO Tf in O *^C O N N i^l >^ M
PI -- - CI M M

o

PI

r^O in pi po O CO vO

fivO O m
w in

+ + + - -

— r- — in — Tf PI mvO O fl tl ■• fl - X -

o

+
M PO— M M tnn

+
in pi O —

PO

f<

-f o

O pi
•j-iO

pi —

m

Tf

O n i-c ro inn rs N —CO O PI O "1 O
r^ r^ pi wi^-cc C mon pi vC pi O pi
pi O O vd pi co' niAm — ' in 4 n m vo

>-. «i O O CvCO CO 1 OO^C m m Tf Tf p"
Tf
Tf

pimOO—vO'J'iOr-^ C\cO O C\
— JC Tf vo vO in pi — vC O pi p?vO_
po rivd O CO O Cvod vd <n po -' po
POP! — i- O O Cv Cv Cv C\ Gv CVCO
PO

Tf

Pi
<

s
w

5 .7 Aengstroms

sb o
sr o

Too weak
Too weak
sb o broad

><

Cv pi

c\co

m Tf — mcO CO mcO N fi m mo Cm^O O pi (>fO- mvO Tf 1 1 Tf
H Onn CVCO rf Cv po w vO pi Gv CvvO row O -X povO Tf vO 1

„ „

£. ™ -Z- "

, •—■

■„

+

- O

— — m — .m»»Mnm.nrf«

PI

«- Pi — vO PI PO PI »n

p. 1 -

POvO

■t f I N n ro O * ■ OM ti C1K1M POvO

povO Tf pi r~ O CO pi

+

CO PO m vO

+

m po

+ +
i-l m roPi"-vO — ■- Tf pi vO — m Tf .-

PI

+ +
— .- - CO PO PO POO

1

PO - - -

<<

povO

«■>" N

Tf

pi pi po O — pi ""> i>. m mvO \20 Tf Tf po h. co loco O vO O O r^ r^ po ~

r--. o q\ r--. Tf c> povO pi pi r^ pi co cnpi mrotsM -t 1^50 po m Tf \q C\ po

d Tf poco" vo »o d 4 4- — ' d cn — ' ^ 6 cf\ -' o' n 4 n 4 n n on t-i "">

Tfpi pi - o O O OC\CMnrfroroti 50 500'0 Tf po po PO PO pi Pi pi
vC ^~>

Tf Tf

125

38

B. E. Moore

w

<

w

5h

fe-
ll)

c

OJ

(J

ri
nj

In

to

-r
—

M

<J

r.
_-

5

■3
c

Li
in

3

S

c

j.

M

CU

<

-t-

sr o

sb o
sr o
Broad

<l

PI I~~

O 00 CnO pi Tf

r^

r-. PI VO WN
— r-^00 <*~> —

11-1

<*1 in-O \C0030 n iO CO vO \0
"-) Cn C\ f) 1^ — r*">00 CO>0 N

MjM £,,£, °

^^ "* — " ^1-^-^- M

■*»

+

ro w

++

N N n ION NlO

CI

—

CI

ro ri -3-00 -

N

+

r-~ m t~« cooo DO ""> -3- "^

oo -3-00 o n*

m ci

+

h h r^n» -

ro N t)-vO —

N

+ +
O m rOM M t- - « MM

<<

r- O r^30 30 O "IN ro

— -t "lOOM C\ ""> ci

ro r-i\d 6 CNOo' w O 30

- O O O Cn On O OOO
ro M

O 00 00 "1 O >o ** 'd-vO C\ pi f^O O -3-30 r-«30
CN co ro ~ r-~ pi "Tom -t- m pi lo C\vO CO -3- "~>

o'o io in w) ro 4 fi »' d 4 •* <i ti m >-! d ri

X X X M >D CO r^ r^ r~- r-»vC O vO vo *o \C > VO "">

<
s
w

-o

ns

2

to

'

in ot

E E
o o

— 1_
en in

bfi bo

C C

(L) U
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to to

to Q

2;

M tJ-

►-> ■*• CI i-00 ■* Tl" »O00
H M H H HNtT- O

Cl \0

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N too

O

O O ""> m »- o •*• n« m

O O - OVN M "1 CI O00

+

~

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w CI i-i \0 i-i N w

■<t

-1-

a

«

+
^ N N t* N

M\Om»«00MN rO00 N M

O O

moo fi io tj- m Tt o

■^-00

N

m mTfcoi-'ntnTt-mrnox O m moo m

— w >-i M w

ci

+ +

M W W VO ►* N >H

\D

+

«

«

- +

Tj- 1-1 — N

+

+ 1
vO —00 »>00 ci ci rnrnn-

/<

O -

njvo
ci — '

00 00
CO

-t o r^vO pi 00 "i o 00 O O "i-3-O — nDM O iflO ovis-t i- — ci
n"iN C\ - o ""i vn "^ r^ ^ tno O N tsinn ro lo r^oo vO i^O roN fi
00* ri "■> -4- ri-O pi - Gnoo' "-> ro ~° -' CN00° \d - ' 00* rAvO "■> On O O O oo' w
r^ r- r-^ r^O OOO uiui"iminin-t'<f'tijTOrnn'*lM M N ci — m

126

Separation of the Spectral Lines of Thorium

39

<S

-C

"j

*

T3

as

<

3?

ci

£

fe*

*

W

O

&

Prob
Prob

sb o

sr o

1)

en

t ^

G"> OnoO

ro

o

M uif^ vo\0

LO CI

"liflO co O vO fOfl O roO 00

ci m

,<

10

1^

—

t-N

r^

1-1

CO O vO

t*3

—

1-1

M

VJ

N

LOOO co M M i-c t)- Tf ro\D "OIO

— —

/<

P-l M P-P

<

a
w

D

z

H
z

O

u

+ +

I pi 't fl » "IN "H N ^- CI PT)PI CI \0 p-p CI "H \0 ^- p-i "OO "Ifl ^ CI Tf Tf CI

+ +

M -* CI -i "IN — Nt^M Tf ^t « 30 p-p M CI CI VO p-p p^O "lO CI CI O CO -I

UIh o "l^t-H CO30 CI N N"1 COiO VO ON ""> O O io "O "t N f I C> "1 N ^ f I 1^

<-> mo q 30 q 30 m q rs>, p» « q -*-oq ^ - r^. q vq -s- so oo 30 vo n-oyj o\

tJ- ro m m d CNvd d\o° iA 4 ro ci tj- c^ -<f 4- co p-< d n nn d^o *©" d ci p-p" oo'

M m h h - o O O\^0\^G\ G\30 r-~ r-» r-~ r^ r-~ r^vo "OO ui "i ui p^ t -t "1

CI p-i

C 5 >

I £* ««

pfl J O -i-p

c-2 >^

-2^ s c

w

c <u u a,
- £ > S.S

•3 5 bO-5 u

1) <u

z.s

m +j rt rt

+ +1

CO^O tlMflMMMMMMMP/lflHMPtMltdf)

tl'f'O u-iO <0 i-n ci ci roron -t-\0 ^o fi M tl O OO m

\0 tl » ro ■< M N h h

»»rOMp»^-»rOfi

C\ O O no O "-iri-r-»ri o tsO>0 "">r^>-o>-/->,co-l-as'pJ-0\

O O vO "">00 "« OOOvO p-p -tm-t-O i^ co CTnvO ci p-o\5 co p-p

•4- ■>*■ co d c*oo° -4- ci d >A -f d t^-\d -4 Tt- pi ci d dvoo" oo' \o"

i/-> t-o "1 tJt •*>■ ^t rj- ■>*■ «*■ CO CO CO CI CI CI CI P| CI CI p- p-p — —

127

4 o

B. E. Moore

ITi

^•o

3

T3 g

T3

O rt .c

-Z *0 C\0 ^h uin +0» n r-~00 O f> fOvO O O » +NO » NO

■t cj n n m to ^i q> b n vq to pi pi i ^ q O <^~ t~- ~ f» pi *o r-- ci po m <J\ o

'+ + I +

n N m tocid — - — n--t»>-nM-ifl-iri---.MTt-fONui

+ "

MNNO u- >'"}f3N "000 00 p*">00 ■ — O "1 ^- O >- 00 ^ ro PI M to PI n N

+ ++ ++ I

H m h lonci mi— Tf fl >- ri n i- f| x ri io - - n - - -- ir, -t\^ 10

- k

"5-

(a z a o O

■*

+

n ul» r<lPI PI pi pi po

+

_ m ro m n >-> oc

to i_ — _ f-. _ -f n n — pi pi pi

+
PO"iM X too Tf — O

P! PI O -*vO ro PI

PI • « P") ro tOVO fO ■<*■ N N "*T0C

+

i™ m — n — — — pi f

+
- - PO ih ri - oc

++ +

m - - rA ; . rA n ^. N H r , n _

,<

■^-r^-^-OO r^r^-pi to
vO pi -3-\C O r-» i^- to O

■A4d r~. pJ od poti —

ro po ro pi pi - - - -
"St-

- O -t O - O O0

o o - o -to q
y: vo o ro po -' -'
o o o o o o o

POMN n to m o\ -* tt r-~ r-~ •>*■ pi
— C\ to to r'; c\ -3- O lot)- r~-00 O
<j\ r~- ri « Cvoo' pi m' n d d 4 fi
GM?0 Ooc ocxxxoc r^r--r^
O
-r

12}

Separation of the Spectral Lines of Thorium

4i

<

s

w

sb
sr

sr 7.52

These two lines
are not sep-
arated on />-
plates, nor by
E x n e r and

u

(J

■r.

—

by 5.96

See quad. 37.14

sr
s broad

<

■fluii^O t^.— ci — r^oo vC
I^-O O NNC\N romrON

—

loo O I O X ci C\ t-^ r- 1-0 N
r^ O ci 1 — O loo •* O X ~ ■ x

■«

+

^- N tl » M » N M n tl Ifl

Cl

1
XXX ci •ciO'J-cO'-colo— —

O N fl fl ^ fl "1 ' • •"-

lololoO loc^ciOO '■TX X Tf ci

X X O Cl C! ci O co CO — Cl CO LO —

/<

OOr-^r^On-CN'-OOO

iflN'tfOM ro Tt N ^X P~

ei c\ t~- r^o' ci —

r^o OvOvCCCCO lo lo
co

tr

—

C ".C XOO — "1 -t n O "1 O "1

lo q ^f co ci fN^io "i" ^

>- O O t-^-o' ci x" 0' lo lo co ci ci —

<
Id

T3 -C

O C
s- '—

1* 1-

_

sb

sr and .v/> t>

.s- are broad

<1

"IX O -r — X cs* fOM r^O
en ih ci tt co m ci •ftM -

x

OO
Cl O

OX O -rci lo X PNOCC -r co
r-~o - co— lo- — X OX 1^ ci co

"—

—

+

+ + +

■-

+

— — — O lo lo CI i^r^ LT,>:

«

+1

Cl

Cl

+ ++
ci ci ►» co ci — r-- ci ■— co co lo — —

co w co O ct O ""> O ci ci O

Cl — — CO — >- CI

1—

t-

O CO ■ O — lo O f COO O lo lo x
CO Cl — —

-4-

— — — X 10 lo ci loco loo

+

-

+

Cl

1 + +

/<

r^ ri ^- r-^ 100 lox — C\ OX O
ci O coo O ci co — loo -rX -r

DO O' CO Cl' — OK r-^O LO c«~ -'

0"

OOO OO lo- Cn OX - OOOOO
O ci r-» rfOG t ti '/. -XX Cnci lococo
rio -f -t r O ci ri _' x r^O O O O lo co
OOOOOOOOXXXXX t^.r^i~.

CO

129

42

B. E. Moore

a

>-

M

tn

^

SC

tn

as

-a

<

-0

to

S

<*>

<U

w

•0

T3

P4

5>

to

c

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k

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«s

"luin

ON00 00 3\

N >Oh SO LONO *ONO

O f 1 O O -

pi On pi

\C

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r-» ro ro

00-0

LO — M — \0

OM N

« w p< t^OO -h O O

<i

+- + <-

P) M

t—

: +

+ 1

: +

1

- PI m ro

• N 10 pi ro

- t - -

PI "- PI

• 00 no pi "~> — pi -i »

"**

•no - no

I "i NO "">

O M PI M PI

■trlO
PI

; m u-> tJ-00 Tj-ior^.pi

ro

: 1

: +

I+ + +

+

: 4- 1

• N ro

. p) i/-> M ro

O - - - -

PI 1-1 PI

• 00 NO PI ro — PI PI «"

• no pi -i-

• M ifl H ^

roo ""> ro O nO 00 On

■ PI I~- PI — — OO "f O

■*

• - On O

00 i-c t>. PI

On ■«*■ — - ""> rooo

• r^ On t^ pi rooo 1^ r-«oo

,<

* "S rj- ro

' no" no' N pi"

XJO0O0 t^rOM •- ON

' u-> ro — 0' 00' ro <i t^-NO -

.OOO

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x so bo ao x x » n

" r^ i^ t^» r^O NO no "i vn

t^

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«■£ 2«

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PI

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1/1

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ao

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N N Tj-roco — CO ro

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PI

H H

M

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m M

1

4- + +

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1- ro PI ro PI

aa

„ ro - - 00

POO rOPl Pi •^-— ro-iOO ro

NO

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"">""> ^t ON

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wit^oO -too pi nO f~

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10 M — ro ""> -<t — NO m

CnnO m ■*■*«

n OnnO

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1^. r-. u-i pi
N N N N

- O CNOO OO NO

-j-ro— mm^OM roro— t~» 1^-nO ->r tJ-

NO

00

t»

ro

r<-

5X
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M -2

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2 «

w 1-
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c.y

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■* c

10 C

6 S
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(«" «

w ^_,

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-a
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130

Separation of the Spectral Lines of Thorium

43

<
a

>-

a

<>

'•o

LO

°°. vo o

vO ci «

. o
•O "1 Tf _,

to to ^

sr and ^ c

sb o

sr and id o

<

-rco

^ Cv
CO w

no N*^n coco co ci o ci ci o>o o oo vo co «< mo>o "■>

co O ci coo •+ pi icin cv "<1- ""> co u-i pi — o O ""> rt-O CvCO co

—

+ 1 | +

+ \

•«

co ■*

++ n

+
_ . . po «- pj

ci co O
PI

+

co co ci • CO O ci pi co co >-< r^ ci ci co

PI O

CO •>*• "1

COP) CO 't CI CO CO vO

u->cO COCOCO u-i u-> »« rJ-coiOPI O "ICO CO

PI — PI —

SO c~

+

M CI

. M „ . m «

PI PO o

PI

+

•rorOMOOOHNMCiMN" POco

.-<

O CI

. 4 4

ci ci

co

uiM c»
00 ■* cl

U1N« — PI -tulO

CO t")0\0 Cn ""> ci

vo* "i 4 co co d d d

O tJ-CO t^-CVPi OvO m pi O OVO mO u">
O nNH -t-COCICO -^-r^rfCI CVVO-hCO

cr\ c"v >-o -t- co co - ' (jv (j> ui ui 4 ci h - ' co*

O O O O O O O c> Cv CN Cv C* C\ Cv GvCO

U">

CO

C/2

<

s

w

rt to

-1

— w

CO e

<*>'?

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c

rt

S-c

a,

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/- just off end of

c

V

an
<

1?

a

/>- broad
ir o by 6.30

sb
sr

p- not isolated
from p- of 4.90

-1-

T

u-> r^co ci "-iao co >n «

CO

vO PI PO pi coco vO OCO crt m ui fi
vO coo ci CO O CvpicO O ^-iOh pi

*-*

~T"

■„

u->

- o

CI

++

PO CO -i M - M

+

+ +

Pl"»POCOcO-*-«-*P»PlP»0O -co

CO O

io in to c^ -j- ■t ■

M

u-> "~>CO PI CO O "lui^no uifi pi

- ■*

CI

++

CO CO - -c "- -

+

+ ++
PI — u-) PO PI -t -" "- — — VO PI PI CO

*.

ci
u-)
VO

CO

PI i^h.iciun-M ci rf
-' 6 Q\QQ r^. -f -f co —

CI

30*

CO

05 O tOMO O i"t tj-vO ui^o "1
VO r^O "i-tNCOCvNCOO r > M . °.
N.OO ui 10 -f *f ci ci c^vvO* ui ui "i
CO co CO co co co CO CO CO PI PI PI PI PI

131

44

B. E. Moore

CO

M
<

p- not observed
„w o 6.41

p- nearly the
width of 5-

separation
5- interior all
exposed 5-
very weak com-
pared top-.
Same holds for
8.90

sr

sr and sb

sb

<I

GN CI O "1 CI CI CI O

O NO to 1- CI u-> CNCC CO "+ NO — r O 0\
- NO- OCl~~COTfTfMOO"">

■~

+

+ h N h rtOOO m
ci

• *f • • CO O "1>0
. . co M

+

r^n - ri i^fi w

— o»"ifi»"'^0" , »»»fi«

lo m rn M ■* ici M "1 n Tf f 1 M Ifl 1C|

+ +

_ CO — CI IO CI — O O W CI i-c — '- .ci

^

n O •- coo ^nO
Tf vO Tf m 00 N co ON

0' r-L\0 O 1- Ov C\CO*

LO^f-frf-fCOcoco

1-0

CO

is OOCOO-cinOGnCNcoi-GNciO

ro coco ox vc no 00 - on no n q

-/-j nno" ci i-< >-' O d\ ci >nici O N. N

ro C5 ro ro CO CO CO CI CI ■- — >->- O O

00

<
S

w

<

vO ON *±Co"^ "">CO co ci
Cvcoo >- co n CN co n

CO isCO tococo— ci On On O GNNO CO rf u-> CO -f ~ CO -f

- O C\^N coco ON NO H.O- — — — ON ►- CN ci O co

— '

T 1

-

++
CO CO C) COCO'd-CO " —

CO C! • if CO CO CI C) CI CI Tf — -f — CI 1-1 CO CI IN — —

1

M uiitihO O O -*f

coco u-i w> O O lo --f \D OCOCO -NO Tf co co lon0 CO CO "1

+

inrocO"- cot)-o —

-

u-if)— OcOi-CICIClCI-rf— Tf— N M«3 ON - —

•<

O CO O N lovO "1 N

_ N — 1/1 CO CO ."f C]

lo -f- co — i-i 0' C\co'
co co co co co CO n n

"I

CO

-f co n-fflO — O co nnO n **• coco n "ico - co ro "">

COVO -sf NO rOts CI MOO CO — ^O C) CO "*0Q ON N CI q "p
inAO 1-0 co co — d CO' Ntstsuiici-f fo- 0' 0' ""> CO ( 1 -

NNNNNN ISO NONDNONOnDNONONOnCNO 1/1 "">"-> IO

132

Separation of the Spectral Lines of Thorium

45

w

*

"O ^

X

™ O

<

£ ^ ^

s

„Q .co

1) -tTD

1- £

C3 U « S Cj

>0

"5 c/: To £

^

tocO O co -r — O t^CO

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io"o 'co M

O "~> -to On i^-O "Inm toco n- — co CO

rt rt — CO — ci t-^ CN ci

-r

O -t co co co ci to — ci ci r^ci to -t -t ci on — co

<

+

1 +

+

+

n fl O - - N» f^H

- - co ci

-1-|— — — CI CI CO co CO ""> CO Tf — ' ^t CO CO

•w

— io i^i rn f) ^ O X ro ro

+
co • co loco co ci — -(-too -too O loco ci O -t <-n

i- — CI

CI - CO

1 +

+

+ +

--co--r^O-t •

N N f| f|

to— — — ri ci co— CO <-o co Tt — -t "in

r^ O O r^co O O r^O

O

CO "1 CO CI

-t tO to CI cncoci COO "">0 too co CO O

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Separation of the Spectral Lines of Thorium

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148

Separation of the Spectral Lines of Thorium

61

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149

62

B. E. Moore

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150

Separation of the Spectral Lines of Thorium

63

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152

Separation of the Spectral Lines of Thorium

65

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154

Separation of the Spectral Lines of Thorium

67

Table XX

Intensities

Remarks

4673.89
4436.72
4412.98
4311.90

4184.95 I 1
8376 \ i
80.99 }

76.55* !
75.00 \ J

55-59 I I
55-46 \ \
52-45 ;
46.13 J

39°3- 2 3

3597-59 1
90.42 / I
90.08 \ )
89.22 / !
88.50 ) I
79.62 j
70.03 )
69.82 \ <

3545-59 /
45-19 r
44-25 J

3498.77
73-59
24.09

3359-87
J 9- r 3

10.75

3270.97
57-27
40.62

35-oo

22.00

3^0.83

46.15

10

25

5

5
5
4

4
2

5
8

10
3
3
5
3

1 +

1 +

6

50
3

7
5
4

1 +

Adjacent to 6.40 and 6.20

Possibly has an external pair of p-

Preceded by two uhsymmetrical triplets
4.94 is a weak 5- doublet

s o by 8.35
5 o by 9-45

Probably s—o

155

68 B. E. Moore

ADDENDUM

Zeeman {Science Abstracts, vol. 12, p. 155) confirms the re-
sults of Gmelin ( /. c. ) for Mercury line 5791. Purvis (Proc.
Lamb. Phil. Soc, vol. XV, part I) records a displacement of sev-
eral lines in the magnetic field toward the red. I had suspected
such a change when watching lines under the microscope while
an assistant turned the magnetic field current on and off, but had
not followed it up with quantitative measurements. This could
scarcely be identical with the results of Jack (/. c). It would
seem, rather, to be analogous to a pressure shift of the lines. H.
Xagaoka and S. Amino (Science Abstracts, vol. 12, p. 155) have
studied a few spectral lines with very weak fields. They find
some unsymmetrical lines, with the red component stronger and
least displaced. These displacements plotted against the mag-
netic field give a hyperbola. Beyond 5000 Gauss the separation
is proportional to the field strength and the intensities of the op-
posite components are equal, i. e. the lines are then altogether
symmetrical. This experiment is a signal confirmation of the
Yoigt theory. It suggests, too, as stated in previous pages, that
the dissymmetries herein recorded are different in character and
origin. We have, then, the following irregularities in the "Zee-
man Effect"' : first, a displacement as noted by Purvis ; second, the
"Yoigt Effect" developed from the dispersion equations, noted
by H. Xagaoka and S. Amino ; third, a variation in displacement
proportional to the square of the field strength, first observed by
Gmelin ; fourth, a displacement proportional to the field strength,
observed by the author. Some of these are different multiples of
small values ; fifth, an irregularity arising from the splitting of
one of the symmetrical components, also observed by the author.
Ions acting or "linked" together might produce results similar
to the third and fourth, as shown bv Yoigt and Ritz.

156

II. — The Transmission of Light through Doubly Refracting
Plates with Applications to Elliptic Analyzing Systems

BY L. B. TUCKERMAX, JR.

The importance of the measurement of elliptically polarized
light in the study of electro- and magneto-optic phenomena and
the optical properties of various substances, has caused many
different methods to be devised for the accurate measurement of
ellipticity. Among these, the various halfshade methods offer
the advantage of convenience combined' with high sensibility.
No adequate general discussion of these halfshade methods has,
however, as yet been published, and this lack has probably con-
tributed in part to the comparatively small use of halfshade
methods by investigators. This paper is an attempt to supply this
lack.

In discussing some halfshade systems it is necessary to know
the effect of three or more successive doubly refracting plates.
The direct calculation of "this effect is laborious, and the general
theorem given b)' Mallard is almost as cumbersome. The kine-
matical analogy due to Poincare, an analogy whose simplicity
and convenience make it invaluable in obtaining qualitative or
roughly quantitative results, does not lend itself readily to the
analytical discussion here desired. I have obtained a . general
theorem which combines comparative simplicity with ease of
application. The first part of the paper gives the derivation of
the general theorem and a discussion of its interpretation. The
second part consists of the application of the theorem to various
halfshade analyzers. No attempt has been made to discuss, ex-
cept incidentally, the effects of chromatic dispersion or lack of
plane parallelism in the light, although such effects are notice-
able and even important in practice.

University Studies, Vol. IX. No. 2. April 1909.

157

2 L. B. Tuckerman

I wish here to express my indebtedness to Mr. A. Q. Tool for
his aid in revising the manuscript and in experimentally verify-
ing many results.

GEXERAL THEOREM

i. The Inductive Theorem

First Form. A plane wave of monochromatic, elliptically po-
larized light propagated away from the observer falls normally
upon a series of plane parallel, doubly refracting plates. In each
plate the planes of polarization of the ordinary and extraordinary
vibrations are chosen as axes of reference, and the positive di-
rection in each such that a positive rotation of 90 ° turns the -)-
ordinary direction into the -j- extraordinary direction. Each

plate is designated by a subscript (1,2 k,k-\-i /;),

and the constants of the light emerging from it, referred to
the same axes, by the same subscript. The angle between the

Fie. 1

ordinary axes or principal azimuths of two plates is designated
by the subscripts in parentheses, as the angle (k,k4-i), and is
assumed positive when a positive rotation through the angle
(k.k+i) will bring the axes of the first plate into coincidence
with those of the second (fig. 1). The light as it emerges from
the k th plate is assumed to be defined by the equations :

158

Doubly Refracting Plates and Elliptic Analyzers 3

X=O k COS(tit
J\=£ k COS(o)t-cf> k )

where O k and E k are the amplitudes of the ordinary and extra-
ordinary vibrations respectively, and <f> k , the phase lag of the ex-
traordinary vibration on the ordinary. Referred to the axes of the
(£-|-i)th plate, the equations take the form:

x' k+1 =O k+1 cos(wt—t)

y* + i=- £, * + i cos ( w/ — x)

where O k+v E k+V \p and x are functions of O v E v <f> k and the angle
(A,k-\-i). Evaluating them we find:

x f ]t+1 =O k cos<atcos(k,k-{-i)-\-E k cos[ mi — 4> k ) sin(£,£+i)

= [C> t cos(^ > ^+i)H--£ , A cos^) J! .sin(^,^+i)] cosW

+ iT jt sin<£ i sin(/£,/£+i)shW
= O k + , cos if/ cos w/+ O k + , sin \p sin <at

y\ + = — O k cos<*tsm(k,kA-i)-{-E k cos((>>t—<t> k )cos(k,k+i)

= [— <9 t sin(/£,£+ 1 ) + E k cos cj> k cos(£,£+ 1 )] cos wt

-\- E k sin(f> k cos(A,k -\-i) sinW
—E k+1 cosx cos oit-\-E k+l sin x sin W.

This gives the values of O k+l cosip and O k+1 s'm\f/, and of i^ +1 cosx
and ii ft+1 sinx. Squaring each and adding corresponding pairs
eliminates the phase angles and gives the values of 0' 2 k+1 and E' 2 k+V

0\ + =0\cos^k,k+i) + E 2 k sm i {k,k+i)+O k E k cos<t> k sm2(k,k+i)
E\ + =0 2 k sin^,k+i) + E\cos\k,k+i)—O k E k cosci> k sin2(k,k+i).

In passing through the plate (k-\-i) both ordinary and extra-
ordinary vibrations are retarded. The emergent light will be
given by :

X k + l=O k + l COs(u>t— ^— 27rN 0k + l )

v k+l =E k+l cos(u>t~x— 2irN £k + i)

where N 0k+1 and N £k+l are the orders of the plate for ordinary
and extraordinary waves measured in wave-lengths.

159

j L. B. Tuckerman

Then: ^ +i=x _^_ ?flP (^ 0ft+1 — N Elc+ j

where .Af. + 1 is the differential order of the plate and is positive if the
ordinary wave is the slower.

By forming the expression O k+l E k+l cos<£ i + 1 ; expanding in terms
of x an d *p; substituting the values found above for O k+i cosi/',
O k + 1 s'mvj/, E k + 1 cosx and E k + l sinx', and simplifying the resulting
expression, the following equation is obtained:

O k+1 £ k , lC os<t> k+ =[y 2 (£\-0\)sm2(/cJci-i)

+ O k E k cos 4> k cos 2(/e,fc-\-i)~\ cos27r7V A . +1 -(- 0,.E k s'm4>,.sm2irN k+1 .

Similarly :

O k+1 £ k+1 sm<t> k+ =-[y 2 (E\-0\)sm2(k,/c+i)

+ O k E t cos<f> k cos2(k,k+i)] sm27rN k+l +O k E k smcf> k cos27rN k+1 .

To simplify the above results the following notation is intro-
duced :

2 =I I+J=2P OEcos<f>=K

E 2 =J I~J=2Q OEsin^S

Introducing these symbols the equations become :

I k+ =I k cos\k,k+i)+J k sin>{k,k+i)+K k sm2{k,k+i)

/, + 1 =/,sin 2 (/t, k+ i ) +/,cos 2 (k, k+ 1 ) — A",sin 2 {k,k+ 1 )

K* + i=l%(J— / k )sm2(6 > k+i)+K k cos2(k,k+i)]cos2irN k+l

+S k sm2irJV k+1 ,

S k+ . 2 =-\_y2Q k -/ k )sm2(k,/c-\-i)+K k cos2(/e,k+i)^sm27rN k+1

+S k COS2irlV k+1

and finally the inductive theorem in its first form :

Q* +1 =+Q ft COS2(v&,/fe+l)

4-K k sin2(k,k+i)

(2)
K k + l = — Q k sm2{/c,k J r i ) cos27ryV A . + 1

+K k cos 2 (/cjc^r 1 ) cos 2 ttA\ +1

+ 5 A .sill27rA^ ; + 1
l6o

Doubly Refracting Plates and Elliptic Analysers

S k+1 =+Q k sin2(k,k+i)im2wN k+1
— K k cos2{k,k-\-\ )sin27rA^. +]

+ S,COS27TiV A . + 1

(2)

These fovir equations form the general inductive theorem for the
passage of elliptically polarized light, normally through plane
parallel doubly refracting plates. This theorem neglects all
losses by reflection at the surfaces of the plates, and by absorp-
tion in the plates. These alter the intensity of the light by quan-
tities of the first order, but their differential effects are, in
transparent media, all of the second order and hence do not
measurably affect the character of the polarization of the light.

Second Form. If the theorem in this first form be applied
twice in succession :

P

' k + :

+Q,

-cos2 ( k, k-\- i ) cos2 (fc-\- 1 , k-\- 2 )
-sin2(£,,£-4-i)sin2(/£+i,/£^-2 )ca&2ifN l H

+JCJ+sin2(# > £+i)cos2(£+ I '»£+2)

\-\-cos2(k,k-\-i ) sin2(£-f-i,i£-f-2 ) cos2ttA t i k+]

-\-S k sin 2 ( 'k-\- 1 , k-\- 2 ) sin 2 TrN k + ,

K,

— cos2(/t,X'+i) sin2(^+ 1,^+2) .... cos27ri\^. + ,
— sin2 (k, k-\- 1 ) cos2 (k-\- 1 , k-\- 2 ) cos 2irN v + l cos2irN 1 . + ,
-(-sin 2 (£,£-)- 1 ) sin27rA r A + 1 sin27rA r A + .

K u — sin2(^,/fe+i)sin2(^-f-i,/b-f-2) cos27rA r A + .

+ COS2 ( k, k-\- I )C0S2 (X'+ I , k-\-2 ) COS27rj\^ +1 COS2iriV^ + ,

— cos2(k,k-\-i) sin27rA r A . +1 sin27rA^ + ,

+ S,\ + cos 2 ( £+ 1 , k + 2 ) sin 2 7rJV k + , cos 2 tt N k + „
-\- cos27rA / J + l sin2 7rA^. + .,

161

6 L. B. Tuckcnnan

S, + , =J rQ k +cos2(£,£+i) sin2(£-4-i,£-f 2) sm2irN k+i

+sin2(£,£+i) cos2(k—i,k-r2) cos27r7VJ fc+l sin2TrA^ +s
+sin2(£,£ + i) sin 2 ?riV r A . + x cos2 7ry\f +i!

-X" A . +sin2(/^,^+i) sin2(^+ I ,^'-r 2 J sin2 7r.Y. ..,

— COS2(£,£+l) COS2(£+I,£-f 2) COS2 7rA^. + 1 sin2 7rX, _ ..,

— cos 2 (/£,£-[- 1 ) sin2 7rA^. +1 cos2 7rA^. +2

+5J — cos 2(^+1,^— 2) sin27riV^ +1 sin27riV^ + ,
1+ COS27riV s+1 COS27rA^ +!

If in these equations the following substitutions are made :

K k+i =K\ +1 S^,=S' k ^ JV k+2 =o

they give the change produced by the (£-|-i)th plate when the
emergent light is referred to the same axes as the incident light,
instead of, as in the first form, to the axes of the (£-|-i)th plate.
This gives the theorem in its second form :

P k + 1 =+P t

& + i=+<&[i— "ran*?! k,k+i) shrViV, +1 ]
-\-K k sin 4(^,^+1) sin-'iri\^. +1
— S k sin2(£,£+i) sm2irJV k . rl

K\ +1 =-)-Q % sm^k,k+ 1 ) sin'-VA^

-\-K k [i — 2 cos-2 (k, k-\- 1 ) sinV.Y + ,]
~S k cos2(k,k- i r i) sin27riV i . +1

'3)

5' 1 ._ 1 =+Q A . sin 2(^,^+1) sin27rA r A . +1

— K k COS2(k,fc+l) sin27rA'_ ,
+S k COS2irN k+:

This alternative form of the theorem, while not so simple

162

Doubly Refracting Plates and Elliptic Analyzers 7

and therefore not usually so convenient as the first, is useful in
discussing the effect of the rotation of a single plate, as in the
discussion of errors and in the geometrical analogy of Poincare's
sphere.

2. General Theorem

To obtain the effect of 11 successive plates it is necessary to ap-
ply the inductive theorem u times in succession. The transfor-
mations of Q, K and Sin equations (2) and (3) are linear trans-
formations. A series of linear transformations give a linear
transformation as a resultant, the coefficients of the resultant
transformation being obtained from those of the series by the
theorem for the multiplication of determinants. The following
notation is convenient :

Q k+ i=(Q„Q* +1 )Q k +(KQ> +1 )K«+(s*>Q*+i)S k

K k ^=iQ v K k+ AQ k ^{K v K k+l )K k +(S v K k+l )S k (4)
S k ^={Q k ,S k+l )Q k Ar{K< S k+1 )K k +(S v S k+1 )S k
fc=o, 1,2,3, • • • -i n — O-
and

Q= Q , Qj Q +(K> QJ K ^-(S , Q n )S

K=(Q ,K) Q.+{K#JK.+(S*iOS. (5)

SMQ* SJQo+tK Sn)K +(S , S n )S

where ( O v A^ +1 ) is a symbol representing the coefficient of Q k in

the expression for K k+V (^Q,,) representing the coefficient of S in

Q n , etc.

The effect of ?i successive plates is then known when the co-
efficients (Q ,OJ, (Q n ,A'J, etc., are expanded in terms of
(Q k ,O k _J, (Q k ,J? k+1 ), etc., for £=0,1,2,3, • • • • ( n ~ *)■ The
theorem for the multiplication of determinants gives:

163

8 L. B. Tuckcrman

where a k =Q k ,K k , or S k , and jL^ indicates the summation of the

results obtained by substituting these values in all possible combi-
nations.

This is the required relation between (Q^OJ, (Q 0% Jf n ), etc., and

(Q k ,g k+1 ), (&*;„), etc.

The coefficients (a A .,a ;+1 ) lor the two forms of the inductive
theorem are:

First Form

(£*,£* +1 )=+cos2C£,/H-i)

( A' A , A' i _ ( . 1 )= + COS2(£,X* + I ) COS2 7T A, + ,

( A", 6" A + 1 )= — cos2(X\X'— i ) sin 2 7riY ; i+]

(6;, A; +1 )=+sin27r^ + 1 (7)

(6-,, £ A+1 )=o

( £> A ., 6" i + j ) =+sin 2 ( k, /fc-f- 1 ) sin 2 ttA^ _ ,

(Q k , A^ +1 )= — sin2(X',X- L i ) eos277,Y ; _ ]

(A' A , <9, +1 )=+sin 2 (X',X+i)

Second Form

(£,, £, +1 )=i-2sin 2 2( X,X-i) sinVA^,

(A;, A; + 1 ) = i— 2cos" 2 2(X-,XM-i) sin^yV^j

(•Si*. ^ +1 )=+ cos ? 7r ^+i

( X\" , S k + l ) = — cos 2 ( k, k-\- 1 ) sin 2 tt A 7 ';. + ,

(S v A; + 1 )=+cos2(X',X+i)sin 2 7rA; +1 (8)

( -5"*. £?* + 1 ) =— sin 2 ( X, X-+ 1 ) sin 2 tt A] + ,
(£*, 5, +1 )=+sin2(X,X'+i) sin27rA^, +1
(P,.A; +1 )=+sin 4 (^X+i) sin 2 irAf +1
(A' A , 0^ 1 )=+sin4(X,X+i) shrVA,',

The- equations for the effect of any number of plates can then be
written directly in either of the two forms by the use of equation

164

Doubly Refracting Plates and Elliptic Analyzers 9

(6). These equations- can be transformed into a form analogous
to that given by Mallard, 1 involving functions of the sums and
differences of the orders of the plates, but the result is more com-
plicated and less convenient for use.

Inverse Form. — It will be shown later (5, p. 15) that the coefficients
( Q o , Q n ), ( Q ,K n ), etc., may be considered as the direction cosines
of a rotation of a system of rectangular coordinates. The inverse
theorem may therefore be written:

Q.=( Q* Qn > QrH £„ K ) K n + ( Q , S n ) S n
K=( a;, Q n ) Q„+ ( a;, a; > K n + (K> s. > S n

S~(S„, QJQ n +(S , K k yK n +(S ,S n )S n

(9)

3. Special Cases

The following special cases of the general theorem will be used
in the applications following and are here given for convenient
reference.

Initial light :

P, Q, K , S . (10)

After passing through one plate :
First Form

P= P

Q 1= =+Q o cos 2 (0,1)
-f#C sin2(o, 1)
K 1 = — Q„sin 2 (o, 1 ) cos 2 ttN x

H-#C COS 2 ( O, I ) COS 2 7T A 7 , (il)

-\-S sin 2 *r TV,

5 1 = : H-Q„sin2(o, 1 ) sin27rA ; ' 1
— K o cos 2(0,1) sin 2 7T7V,

4 S„ COS 2irN l

1 Mallard E. Traite de Cristallographie, Paris, 1884, T. 2, pp. 169-74.

16.S

io L. B. Tnckcrmaii

Second Form

Qi=+Q [i — 2sin 2 2(o, i) snvV.YJ
+/C o sin4(o, i) sin irA T 1
— S sin2(o, i) sin2 7rA r ,

#C 1 =+Q sin4(o,i) sinVA^

-\-K [ l — 2cos'-2(o, i) sin^Tr.X",] ( 12 )

— S ( ,COS2(0,l) sin27T.\*

S 1 = — Q o sin2(o, i) sin27r^\*
■ — K cos 2(0, 1) sin2 7r.\*
+5 cbs - 2.iriyj

Inverse Second Form

P B =^P l

Q =— Qj[i — 2 sin* 2(0, 1) shrV.Y,]
+#C 1 sin4(o, 1) siir^A^
-+-5, sin 2(0, 1) sin2irA^

/C„=— Q,sin4(o, 1) sin^A^

+^[1— cos 2 2 (0,1) sinVA 7 ,] (13)

— Sx cos 2 (o, 1 ) sin 2 7r A\

S = — Q x sin 2 (0,1) sin2 7r.\" 1
—J^ cos 2 (0,1) sin2irAf
-rSi COS2 7TA*

166

Doubly Refracting Plates and Elliptic Analysers

After passing through two plates :
First Form

Q 2 =-rQJ+cos2(o, i) .... cos 2(1, 2)
I — sin 2 (o, 1) COS2 7TA 7 ! sin2(i,2)j

J rK \-\sin2(O, i) COS2(l,2)

|"+cos2(o, 1) cos27rA r j sin2 (1,2)
-\-S sin 2 ir JVy sin 2 ( 1, 2.)

/C=+Q COS2(0, i) sin2(l,2) COS27rA 2

sin 2 (o,l) COS2 7rA r 1 COS2(l,2) COS27rA r 2

-j-sin2(o, 1) sin27rA T j sin27rA r 2

K„ — sin 2 (0,1) sin 2(1, 2) cos2 7rA^

+ COS2(o, i) COS2 7TA 7 , COS2(l,2) COS2irA^
— COS2(0, 1) sin2 7rA r 1 sin27rA^

+5 1+ sin 2 ttA t 1 cos 2 (1,2) cos27rA / 2

j

1+ COS27rA 7 " 1 sin27rA r 2

£.,=-}- Q o +cos 2(0, 1) sin2(i,2) sin27rA\,

+sin2(o, 1) cos27rA r j cos 2(1, 2) sin27rA T 2

-pSin2(0, i) sill27rA 7 1 COS27rA' 2

K.„ +sin2 (o, 1) sin2(i,2)sin2 7rA r 2

— COS2(0,l) COS27rA r , COS2(l,2) sin27rA 7 ',
— COS 2 (o,l) sill2 7rA T 1 COS2 7rA 2

S \ — sin27rA r 1 cos2(i,2) sin27rA T 2 i

1+ COS2 7rA 7 1 COS2ttA',

(H)

167

12

L. B. Tuckerman

After passing through three plates :
First Form

Qi=+-Q„ + COS 2 (O, I ) COS2(l,2) .... COS2(2,3)

— COS2(0, i) sill 2 ( I, 2) COS2 7r7V 2 sin2(2,3)

— sin 2 (0,1 ) cos2 7TiV, sin2(i,2) cos2(2,3)

— Sin2(0,l) COS2ttA / ' ] C0S2( 1,2 ) COS 27rA r , sill2 (2,3)

-f-sin2(o,i) sui27rA^ sin 2 ^A^ sin 2 (2, 3)

K„ +sin 2(0,1) cos 2 (1,2) cos 2(2,3)

— sin 2(0, 1) sin2( 1, 2 ) cos27rA 2 sin2(2,3) (

-|- COS 2(0, I) COS27rA ;r 1 sin2(l,2) COS2(2,3)

-f-cos 2(0,1) cos 2 tv A\ cos 2 ( 1,2) cos 2 7r N 2 sin 2 (2,3)
— cos2(o, 1 ) sin2 7rA r , sin 27ryV 2 sin 2(2,3 )

+ sin2 7rA A j sin2( 1, 2) ...... cos 2(2, 3)

-|- sin27rA r I cos 2 ( 1,2) cos2 7rA^, sin 2 ( 2,3 )

-4- COS2 7TA 7 , sin 2 7rA^ sin 2 (2, 3)

4. Interpretation of Results

If the major and minor axes of the original ellipse are taken
as axes of reference, the following relations are obtained :

Q o = I A(O\-£\)=y 2 / (i-e i )=P u

K =0 E cos<£ =0 E cos— =0

2

7T 2€

S=0 E sin<£=7>sin— =P— p-V
00 000 2 °i-j-<r o

1 ~\-^ i n

(16)

E
where e, the ellipticity of the light, is the ratio — . The values of

P, Q, K and S referred to any axes may be obtained by giving A 7 ",

168

Doubly Refracting Plates and Elliptic Analyzers 13

in equation (11) the value o and finding P v Q v AT, and S v Let-
ting the 2^ (o, 1)= — 9 a , this gives:

Px=P.

Q, = Q n COS2(o, l)=P : — / COS2(9

i—e 2

Ki=— Qo sm2 (o,i)=p—-—°sm2e o (17)

x °\4-e i

2e

S X =S=P

x ~r c

P and 5 are therefore invariant for any rotation of the axes.

When the direction of propagation and the plane of the ordi-
nary vibration are given, P, Q, K and S completely define the
properties of any completely polarized light. In fact, only three
of them are necessary since there exists between them the
equation :

Q 2 +K+S=P 2 (18)

From equations (17) any of the ordinary constants of the light
may easily be obtained. The following are the more important
ones :

The ordinary and extraordinary intensities, / and /:

I=P+Q J=P-Q (19)

The phase lag of the extraordinary on the ordinary vibration :

5

<£=arctg-^ (20)

The intensities of the light in the major and minor axes of the
ellipse, I m and J m :

(21)

J=P-VP l -S l

The angle 6 which the major axis of the ellipse makes with the
plane of the ordinary vibration :

0=i^arctg*^ (22)

169

14 L. B. Tuckerman

The. total intensity of the light =2/*;

The ellipticity e, the ratio of the minor and major axes of the
ellipse. The ellipticity is considered positive when the light vec-
tor rotates counter clockwise, as we look in the direction of prop-
agation of the light

P—VP—S 2 , s

'=- ^ — (23)

The positive sign of the square root is always taken so that
— i<V<+r.

The following inverse relations are also useful :

2p=i+j=i m +y m

1—e 2

2 0=1— J— ( / — / ) COS 2 0=2 P — -z COS 2 6

. — i—e-

2K=2^ I J cos<l>=(/ m —/ m ) sii\26=2P — ■ — 7, sin 2

i-\~e

s=vij sin 4>=y'u=P^

It is often convenient to express the ellipticity in terms of an aux-
iliary angle, w, defined by the equation, tgw=<?. Then

1 — e 1 2c . . 2e

— : — 5=cos2w, — ■ — ^=sin2w and =to'2w

i-\-e* \A r e i 1 — <r

from which:

Q=P cos 2 o) cos 2 8

K=P cos 2 wsii\2 6 (25)

S=-Psin2w

The equation

5. The Poincare Sphere

Q+Zf+S^P 2 (18)

suggests a geometric representation of the quantities involved.
Letting Q, K and 5 represent the distances of a point from the

170

Doubly Refracting Plates and Elliptic Analysers

'5

origin along three right-handed rectangular axes, then the locus
P= constant, is a sphere. Poincare 1 has pointed out a beautiful
analogy between the action of a doubly refracting plate and the
rotation of a sphere. Examination shows that the sphere defined
above is the Poincare Sphere.

The general linear transformation :

Q, +1 =(^^. +1 )Q,-KA;,ft +1 )A:,-r(^^, +1 )5,

K k+ ^(Q v K k ^)Q,A-{K v K k+l )K k +{S v K k+l )S k (4)

S k+l =( O k ,S k+l )Q k +(K k , S k+l )K k +(S v S k+1 )S k

represents the rotation of a solid body, provided :

(Q k ,Q k+1 y+(K k ,Q k+1 y+(s k ,o k+1 y=i
(o v K k+l y+{K k ,K k+l y+{s k ,K k+1 y=i (26)

(Q k , s k+1 y+(xr k , s k ^y+(s k , s k+l y=i

{Q k ,A' k + l ){O k , S k ^ + {K v K k + l )(K k , S k ^) + {S k ,K k+l ){S v S k+l )=o
(^^.JC^^.J + C^^.OC/^^.J + C^^./jC^^^Ho

(27)

and

(Q k ,Q k+l ), (a;^. +1 ), (s k ,o k+1 )
(Q k) K k+1 ), (KK +l ), (<s»K +l )

H-i

(28)

These equations are satisfied by both forms of the inductive
and general theorems given above. The coefficients of a linear
transformation satisfying the above conditions may be written :

( Qv Qk+\^ = l — 2sin 2 rt sin 2 j4 r
(A" 4 ,A" fc+1 ) = i — 2sin 2 £sin 2 ^r
(S k , S k+1 )=l — 2sin 2 ^sin 2 ^r

(29)

Poincare H. Theorie Mathematique de la Lumierc, Paris, 1892, T. 2,
pp. 275-85.

171

i6 L. B. Tuckcnnan

( A~ , S k +1 )=2 cos b cosr sin- ^ r — cos# sin r

(6^., A" t + 1 )=2cos£ cos r sin 2 ^r- cos a sinr

( kS a ., Q k +1 )=2 cos r cos a sin 2 *4 r — cos b sin r ( 29 )

(Q k , S K + l )=2cosc cosasin 2 ^r-f cos<$ sinr

(Q k ,K k+1 )=2 cos, a cosb sin 2 }4r — cosr sinr

{K k ,Q k _ x )=2 cos a cos b sin 2 : j r — cos c sinr

Where cos a, cos & and cos c are the direction cosines of the axis
of rotation, and r, the angle of rotation.
From these,

cos«=^^^±4^^i^±i>

smr

cp „ J:=; / (g^H.) r (^g t+1 ) (30)

sinr

co.^^a^r'g"*'-'

sinr

Substituting in the above the values of the coefficients in the sec-
ond form of the inductive theorem, since that form gives the
simpler results,

sin r=sin2 7r7V r i .. rl

cos<7=cos2(X\£ — 11 (31)

cos £=sin 2 ( £,/(■- 1 1

cos c=o

If the point S=P, Q=K=o, be chosen as the pole of the sphere,
the plane S=o will be the equatorial plane. Letting / represent
the latitude and m the longitude of a point on the sphere, then :

• r S 2<? K . f,

Sm/ =P=1^? ^=Q=tg20 (32)

or, <?=tgij'/ m=20

172

Doubly Refracting Plates and Elliptic Analyzers 17

Any definite elliptically polarized light is, therefore, repre-
sented by a definite point on a Poincare Sphere. Its ellipticity is
determined by the latitude of the point, and its azimuth by the
longitude. Points on the same circle of longitude represent light
of the same azimuth but varying ellipticity. Points on the circle
of zero longitude represent light of zero azimuth. Points on the
same circle of latitude represent light of the same ellipticity but
varying azimuth. Points on the equator represent plane polar-
ized light. Ellipticities equal but opposite in sign are represented
by latitudes equal but opposite in sign.

If a given latitude, I, on the sphere, be said to correspond to a
given ellipticity, e, when c=-tg l / 2 l, and a given longitude, //;, to
correspond to a given azimuth, 6, when 111 = 2$, any elliptically
polarized light is represented by the point on the Poincare Sphere
of corresponding latitude and longitude. The effect of a doubly
refracting plate may then be stated as follows :

A doubly refracting plate turns the Poincare Sphere about an
axis in its equator whose longitude corresponds to the azimuth
of the plate, through an angle equal to the order of the plate ex-
pressed in degrees.

A plate with rotary power, on the other hand, evidently turns
the Poincare Sphere about its pole as an axis.

Since a series of rotations is itself a rotation, the effect of any
number of doubly refracting plates is evidently equivalent to the
effect of a single doubly refracting plate and a plate with rotary
power.

A sphere constructed to show these relations has proven a
great convenience in tracing the effects of doubly refracting
plates, and in checking the results of the various formulae. The
sphere is mounted, free to rotate about an axis in its equatorial
plane, the axis in turn being movable in longitude. The sphere
is provided with three circles : a circle of latitude, a circle of
longitude and a circle to measure the rotation about its axis.
The latitude circle is graduated directly in ellipticity instead of
degrees. The longitude circle is graduated in double degrees,
to read azimuths directly. The circle for measuring rotation is
graduated directly in orders of doubly refracting plates. To ob-

l /j>

1 8 L. B. Tuckerman

tain the effect of a doubly refracting- plate upon any elliptically
polarized light, it is only necessary to place the axis of the sphere
at the azimuth of the plate, locate on the sphere by means of the
latitude and longitude circles the point corresponding to the in-
cident light and rotate the sphere through an angle equal to the
order of the plate. The new readings given by the point on the
latitude and longitude circles then show directly the ellipticity
and azimuth of the emergent light.

APPLICATIONS OF THE THEOREM

6. The Effect of a Single Plate

The incident light is referred to its major and minor axes, and
the angle between its major axis and the plane of the ordinary
vibration in the plate is 6 o .

P=P

V r °i+e\ (16)

K=o

P=P«

i—e-

Q l =Po T ^-f^s 2 o o

K=P o —-^ sin 2 o cos"2iriV;+P.-^V.sin2irA r 1

S l =-P I T ^sin2d o sm2irN 1 +P -^ f COS2irN 1

If the incident light is plane polarized, e=o and S=o, and the
equations reduce to:

Pi=P.

Q=P o cos 2 6 o

tC l =zP o sm20 o cos2irJV 1 (34)

S=—P sin 2 6 o sin 2w N t

174

Doubly Refracting Plates and Elliptic Analyzers 19

The direction of the major axis of the resultant ellipse is given
by ( 22)

tg2# 1 =Q 1 =tg2 0,COS2 7r,Y ] (35)

and its ellipticity by (23),

S, sin2 0„sin2irA; l °

This may be expanded :

e x — — ^sin2^ o sin27rA^(i-{-i^sin' 2 2^ o sin 3 27rA r 1 -|-. . . . ) (37)

If .\\ is very small :

e 1 = — icN\s\zi26 (38)

I — COS 2irA\

*i= : rr- L =— t ^' 7r ^, (39)

1 sin27r7V^ s i (jy;

which is the maximum ellipticity which can be produced in plane
polarized light by the plate.

7. Stokes's Elliptic Analyzer

Stokes x compensates for the ellipticity of the incident light in
two positions of the compensator, and in both positions extin-
guishes with a nicol.

Emerging from the compensator the light is plane polarized,
therefore from (33) :

1 — <? 2 . . 2e
S,== — P ^' sin 2 sin2 7rvY,-f-.P V cos2 7rA r 1 =o

From which :

2<?„

=sin2 tg2-.Y, (40)

The position of the nicol is determined by the plane of polariza-
tion of the compensated light. From (22) and (33) :

'Stokes, G. G. Pliit. Mag. (4). vol. ::, pp. 420-21, 1851.

175

20

L. B. Tucker man

I — €" . 26

., P s 2 sin 2 cos 2irN. -+-P V sin 2 7r A 7 !

Q,

2e ...

Substituting the value of V an d simplifying:

tg 2 6 =

tg"2l

cos 2 7r TV!

COS 2tt N--

Letting 6 o =tgu>,

, tg2<?

tg 2 e l

COS 2 (0 ■

I+^ 2 o |[ 2^ "J 2

Substituting values for

and for t£2 7rA r ,:

COS2U):

cos 2 6 l
cos 2

Using Stokes's notation :

r — r= 2 0,=—

2 ' 2

R'—R= 2<

2

-2R=C

(40

and the equations reduce to Stokes's form :

sin(>' — r) sin;; . r tg(>' — r) tgn . .

COS2o)= . ,_, ^t-=- COS2 7rN,= *„, -—=-5— (42)

s\n(R'—R) sinr ' tgC^e'— A') tgt

or in another form usually more convenient for computation :

|sin(V — ?i)

S » \tg%

tg% (c—) l)
(* + »)

tffTrTV;

H

sin (c-\-n)

(43)

In introducing Stokes's notation it is assumed that the two read-
ings of the compensator are complementary when the major axis
of the original ellipse is taken as the axis of reference. Care
must be taken to choose two out of the possible four sets of read-

176

Doubly Refracting Plates and Elliptic Analyzers 21

ings, such that this is the case, since otherwise the final formulae
will give the reciprocals of tgw and tg^iV^, instead of the quan-
tities themselves. To insure the proper choice it is necessary
that

cos(r- — n) .

cos 2 7r N,

>o

If N t is not known beforehand with sufficient accuracy to de-
termine the sign of 003277-^, the direction of the major axis of the
ellipse must be determined roughly by some independent method.

If the order of the compensator, N lf is accurately known in
advance, it is not necessary to read both compensator and nicol,
the reading of either one alone being sufficient to determine the
ellipticity of the incident light. The following equations are
readily obtained :

tg 2 w=tg 2 it N x cos c (44)

and

sin2o)=sin27riV^cosw (45)

For small ellipticities the first equation is preferable, and for
large, the second.

The equations so far have been given in terms of the rotation
of the nicol relative to the compensator. It is sometimes con-
venient to read the rotation of the nicol relative to fixed axes.
Calling p and p' the two rotations of the nicol relative to fixed
axes, and v their difference :

p=R—r p '=R'—r'=r—R

v=p' — p=2(r — R)=c — u
Eliminating (c-\-n) between the equations:

— and teir2V,=\\ . ) (43)

11) si \sin(H-») y

T~. cllH-l 15< 7T i V -V — ; —

X.<gy 2 (c-\-n) & ' \sin(r+»)

the following equation is obtained :

tgt>}=e_=

f
\ tgfirArJ i±

177

(46)

ter'ir^v;

22 L. B. Tuckerman

where the upper or lower sign is taken according as cosv is pos-
itive or negative, i.e. according as cos2wiV 1 is positive or negative.
None of the preceding equations involving the double rotation
of compensator and nicol determine the sign of c since they are
all affected by an ambiguity of sign. To determine the sign of
e o it is necessary to use the equation :

tg 2 w=sin 2 6 o tg 2 ir yV,=sin 2 fitg 2irN l ( 40 )

1 — e* u
giving sin 2 o and tg 2 ir A\ their proper signs.

The direction of the major axis of the ellipse is evidently given

by either %(p+ P '), or y 2 {R+R') — ~.

4

8. Halfshadj-: Analyzing Systems

These will be discussed under two types : Type A and Type
B. In Type A the two halves of the halfshade consist of ana-
lyzers whose principal azimuths make a slight angle with each
other. In Type B the two halves consist of doubly refracting
plates whose principal azimuths are the same but whose orders
are different. The light emerging from the plates is analyzed by
a nicol.

Type A.

Lippich Half Nicol. 1
Brace Sensitive Strip. 2
Jellett Split Prism. 3
Cornu-Jellett Split Nicol. 4
Lippich Split Nicol. 1

lippich, F. Naturwiss. Jahrbuch "Lotos." vol. 2, 1SS0 ; Wien. Bcr.,
vol. 85, pp. 268-326, 1SS2 ; Ztschr. f. Instlc, vol. 2. pp. 167-74. L882; Wien.
Bcr., vol. 91, pp. 1059-96, 1SS.5 : Ztschr. f. Instk., vol. 12, pp. 333-42, 1892;
Ztschr. f. Instk.. vol. 11, pp. 326-27. 1894; Wien. Bcr.. vol. 105, pp. 317-61,
1896.

"Brace, D. B. Phil. Mag. (6), vol. 5, pp. 161-69. 1903.

3 Jellett. J. H. Brit. Assoc. Report, vol. 2, p. 13. I860.

*Cornu, Alfred. Bull, dc la Soc. Chim.. vol. 14, p. 140, 1870:

178

Doubly Refracting Plates and Elliptic Analyzers 23

Soleil Biquartz. 1

Poynting Biquartz. 2

Poynting Sugar Cell. -

Of these halfshade analyzing systems, all except the last three
analyze the light in two directions making a slight angle with
each other. The last three do not properly come under the gen-
eral theory here given, but an elementary consideration shows
that the emergent intensities are the same as if the biquartz or
sugar cell were removed and the two halves of the analyzing
nicol rotated in the opposite direction through the same angles
as those produced by the rotation of the quartz or sugar. The
theory is then identical (for monochromatic light) with that of
the split nicols.

In the first two systems, the intensities of the emergent light
when the incident light is unpolarized are not the same but have
the ratio 1 — * where :

K=siir(i,i')+K o cos" 2 (i, 1')

a£(i,i') being the angle • between the two halves of the analysing
system, and 1 — k , the ratio when 2^(1, i')=o. For the Brace Sen-
sitive Strip k=o, and for the Lippich half nicol *=.o8. The
theory of the other systems may be obtained from that of the first
two by making k=o.

Referring the incident light to its major axis (16) :

P=P

M o M
Qo=Po-J-T

**o i-\-e\

For a match of intensity of the two halves of the field :

JVr-Q^O-" XP'.+QY)

or from (n)

P

1—e 2 Krmt , „ 1— e 2

» +p <>r+/ cos2(o ' I)=(I ~ K)[/>0+p< 'r+?; cos2(o ' 1 ' )]

'Soleil, . C. R., vol. 20, p. 1805, 1845.

2 Poynting, J. H. Phil. Mag. (5), vol. 10, pp. 18-21, 1880.

179

24 L. B. Tuckerman

which reduces to
i— e-

K-\ -— -° [C0S2(0, i) ( I— k)C0S2(0, l')]=0

~\

Writing (o, i)=(o, i')- — (1,1'), expanding and collecting terms

2

~k- — [ [ — k— cos 2(1,1')] cos 2 (o, i' ) +sin 2 ( i , i ' ) sin 2 ( o, i ' ) =o

i c' *

Writing ,? o =tga> and solving for cos 2(0, 1') and sin 2(0, i'), this
gives after some reduction:

, a sec 2 w— bV c — tQ^ 2 2i

COS2(0, I )=H ;

c-\-\

(47)

^sec2a>-j-#l / V — tff-2w
sin 2(0, 1 )= —

c-\-i

where

a= — [1 — k — cos2(i, 1')]

£=— sin 2 (1, 1')

K

2 sin 2 2(i 1' )

C =—,( l K )[l COS 2(l,l')] =4(1 x) r ■ ^ y^r

K [(l+O i 1 K „) COS2 ( 1 ' 1 )J

If (o, i')=(o, i') for e=o, and a=(o, 1') — (o, i') : where a
represents the error in setting when ellipticity is present.

V C sec 2 0) — Vc — tg 2 2w . ox

Sin2a= (48)

C-\-l

Substituting ^ o =tgw and expanding in ascending powers of e o ,

2 „ ■ 2 c+i , 2 (V+i) 2 +i 6

, 2 ( t +iy+3(c+-i), (49)

Vc

2 (f+l) 4 +IO(r+l) 2 +2(r+l)+I ,

Vc c

If k=o, <r=oo and a=o for all values of e o . It is evident that if
*=o, the setting is independent of the ellipticity of the incident

180

Doubly Refracting Plates and Elliptic Analyzers 25

light, and depends only on the azimuth of its major axis, the mi-
nor axis always bisecting the angle between the principal azi-
muths of the two halves of the analyzing system. If k^o the
setting depends not only on the azimuth of the major axis, but
also upon the ellipticity of the incident light. The series for
sin 2 a is rapidly convergent, and for small values of e o and k
may be written :

°-=-y=^ (50)

V c.

Or expressed- in degrees :

i,745X 10 2 1 c

I (l + ie o y— (i— K ")C0S2(l,l')

e-

3,49Xio- 2 1/i-k o sin 2 (1,1')

The coefficient k is infinite for 2^ (1, i')=o, falls to a minimum for

cos 2(1,1') =

and then rises again as ^ ( 1,1') increases. For the Lippich half
nicol this minimum, ^ (i,i')=i5.8°, lies outside the range of
practical use. The series is, of course, not convergent for
large values of k, but it gives sufficiently accurate results for all
practical values of 2£(i,i'). The value of k, for the Lippich half
nicol (k=.o8) is plotted in the curve, figure 2. Plotted on the
same scale, the value of k, for the Brace sensitive strip (k o =o)
could not be distinguished from the axis of abscissae. For the
Brace sensitive strip a is negligible, but for the Lippich half nicol
it may be appreciable in accurate work even with -small elliptici-
ties. If 2^(i,i / ) = i° and <? o =.oo85, then a = .oi°, the error intro-
duced by neglecting it being greater for smaller values of 2^( 1 , 1') and
larger values of e o . Care must therefore be taken in using the
Lippich half nicol to ensure the absence of ellipticity, or, if pres-
ent, to eliminate the error produced by it. In measurements on
naturally rotating substances this error can only be eliminated by
reversing the angle between the two halves of the field [changing

181

26

L. B. Tuckcrman

the sign of the angle (1,1') changes the sign of k]. In measure-
ments on magnetic or electrical rotation, it mav also be eliminated

j i I i i 1 — i—J.

*//*»/ Adjustment _ (Xl'.O) J

Fig. 2

by reversing the rotation. If the effects are measured along the
lines of force, the rotation is reversed by reversing the field. If
the effects are measured at right angles to the lines of force the
rotation can only be reversed by rotating either the field or the
optical system through 90 .

Type B.

Bravais Biplate. 1

Brace Elliptic Halfshade.-'

Laurent Saccharimeter Halfshade. 3

The Bravais Biplate consists of two halves of a doubly refract-

1 Bravais, A. Ann. de Chim. et de Phys. (3), vol. 43, pp. 131-35, 1855.

"Brace, D. B. Phys. Rev., vol. 18, pp. 70-88, 1904; Phys. Rev., vol. 19,
pp. 218-30, 1904.

"Laurent, L. Dingier fount., vol. 223, pp. 608-14, 1877; C. R., vol. 89,
pp. 665-67, 1879.

182

Doubly Refracting Plates and Elliptic Analyzers 27

ing plate whose order is approximately % , mounted edge to edge
with an angle of 90 between their principal azimuths. It may
be considered as composed of two halves whose principal azi-
muths are the same and whose orders are equal but of opposite
sign.

The Brace Elliptic Halfshade consists of a thin piece of mica
covering only half the field, and mounted in balsam between care-
fully selected cover glasses, free from double refraction.

The Laurent Saccharimeter Halfshade consists of a doubly
refracting plate whose order is l / 2 for some selected wave-length
(usually the D line of sodium) and covering half the field. In
its best form, it is either mounted in a medium of the same aver-
age refractive index, or the other half of the field is covered by
a glass plate of the same average index.

All three may be considered as special cases of a halfshade
whose two halves have the same principal azimuth, but different
orders, and which transmit the same amount of unpolarized light.
The emergent light is analyzed by a.nicol.

If the incident light is referred to its major and minor axes, the
angle between the major axis and the principal azimuth of the
halfshade being 2£(o,l), between the halfshade and nicol ^ ( 1,2),
and the orders of the two halves of the halfshade, A r x and N\,
the following equations result :

P=P

M M o

1—e 2

Q P °i+e\ (16)

K=o

„ ^. 2<f

S=P — V

For a match of intensity of the two halves of the field
Since

P 2 =P =P Q—Q\=°

or, from (14)

183

L. B. Tuckerman

COS2(o,l) COS2(l,2)

l ~\~ e \ — sin2(o,i)sin2(i,2)cos27riV^

2 €

-\-P .".j, sin 2(1, 2) sin2 7rA r 1

i-j-e

P

i-f-<? 2
2e

+ cos 2(0,1) cos 2(1,2)

— sin 2(0, 1 ) sin 2 ( 1 , 2 ) cos 2 irN\

' — — V sin2(i,2) sin27rA r '.

Dividing through by P g .," cancelling like terms and putting

2e

:tg2

sin 2 (1,2)

=0

1 — e\

sin 2(0, l)(COS2 7rA r , — COS2 7rA r ' 1 )

— /'(sin2 7rA r 1 — sin2 7rA 7 ' 1 )

If sin2(i,2)=o, it is a match, for all values of t, N v N\ and 2^(0, 1),
hence the system is useless. If sin 2(1, 2)^0:

sin2(o, 1) (cos27rA r 1 — cos2ttA 7/ 1 )- — /(sin27rA^ — sin27r JV\)=o

Writing N=j4(N l + A 7 ^), \N=y 2 (N l —N' l ), expanding, collect-
ing terms and dividing by — cos2 7rA r sin2 7rA N:

^H~sin2 (o, i).tg27r A/=o (52)

It is evident that, with a known average order, N , of the half-
shade, a match enables one to determine the ellipticity of the
incident light provided the azimuth of its major axis be known,
and conversely to determine the azimuth of its major axis pro-
vided its ellipticity be known.

In measuring ellipticities such a system will give a match only
when /<tg2 7riV, but since in measuring ellipticities a compen-
sator is always used to increase the sensibility, this limitation is
of no significance.

Balanced Half shades. — A balanced half shade is defined as one
in which N=o and therefore tg2 7rA r =o. Such a half shade is
especially convenient from a theoretical standpoint, since it gives

184

Doubly Refracting Plates and Elliptic Analyzers 29

a match with plane polarized light (t=o) only, independent of
the value of ^(0,1), and thereby greatly simplifies the
formulae. The Bravais biplate when properly made is a bal-
anced halfshade, but those made commercially do not always
show perfect balance. This quality would make the Bravais bi-
plate preferable to the Brace halfshade, were it not for the
greatly increased sensibility obtainable with the latter (see dis-
cussion of sensibility, section 10). Experiments are now in progress
with a view to producing a balanced Brace halfshade.

Laurent Sacchariuieter Halfshade. — If as a special case e=o,
then t=o and the light is plane polarized. In case tg27riV^o, a
match is obtained only when sin 2(o,i)=o. This is the condition
of the Laurent Saccharimeter halfshade. It is evidently useful
only when it is known that the solution investigated introduces
no ellipticity, unless the plate should be an achromatic half-wave
plate.

9. Elliptic Halfshade Systems With Compensator

The halfshade may be either a Bravais biplate or a Brace ellip-
tic halfshade. The compensator may be any plane parallel doubly-
refracting plate, preferably one whose order, N<J4, because of
the greater chromatic dispersion of higher orders. For use with
the Brace elliptic halfshade, the Brace compensator is preferable
because its chromatic dispersion is proportional to that of the
halfshade. The Brace compensator is constructed like the half-
shade, but the piece of mica covers the whole field instead of only
one-half.

Two arrangements will be considered :

A. ^^-^ Elliptic Halfshade s-»- Compensator s->- Nicol.

B. s- >- Compensator s-> Elliptic Halfshade s-*- Nicol.

For a match of intensity of the two halves of the field :

But since in general, P d =P'-i^P„, Q3=QV

185

3o

L. B. Tuckerimm

The formal difference between Q 3 and Q' 3 lies wholly in the dif-
ference of thickness of the two halves of the halfshade. No gen-
erality is lost by referring the incident light to its major and
minor axes. Then from the general equations: (15) and (16)

P=P

Q =P t

°i+e\

K

S~P

2e

and

Q S =P

°i+e\

Z.e.

•M-d

+ COS2(0, i) COS 2 (l,2) COS 2(2,3)

— cos2(o, 1) sin2 (1, 2) sin2(2,3) cos27rA^ 2

— sin2(o, 1) sin2 (1,2) cos2(2,3) cos27rA r j

— sin2(0, I ) COS2(l,2) sin2 (2,3) COS27rA 7 1 COS27rA^

-j-sin2(o, 1) sin2(2, 3) 5^2^ sin27rA r 2

(53)
-)-sin2(i, 2) cos 2 (2, 3) %m.2TrN^

+ COS 2(l,2) sin 2(2,3) sm 2tvVj COS27rA r 2

+ sin 2 (2, 3) cos 2ttN x sin 2^^

A. »-»■ Elliptic Halfshade s-^ Compensator s-*- Nicol

For this arrangement the symbols have the following signifi-
cance :

Order of the one half of halfshade =■ A^
Order of other half of halfshade =N\
Order of compensator — ^

Angle between major axis of incident light and principal azimuth

of halfshade = 2^(0,1)
Angle between halfshade and compensator = 2^(1,2)
Angle between compensator and nicol = 2^(2,3)

This arrangement is useful in measuring small ellipticities with
a compensator of low order, since it enables the halfshade to be
conveniently placed relatively farther from the observing tele-
scope and is easily applied to the ordinary polariscope.

186

Doubly Refracting Plates and Elliptic Analyzers

3i

For a match, Q 3 — Q'3=o, or

— sin 2 (0,1) sin 2 (1,2) cos 2 ( 2,- 3 ]

'i+<

. . . (C0S27rA r 1

• — COS2ttA / '' 1 )

-sin 2 (0,1) cos2(i,2).sin2(2,3) cos2?rA^ (005217^

— COS 21T N\~)

sin2(o, 1) sin2(2,3) sin27rA^ 2 (sin27rA 7 j

— sin 2^7^)

2e„

'i+C

+sin2(i,2) cos2(2,3) .... (sin 27^ — sin 2ir# : )
+cos2(i,2) sin 2 (2,3) cos27rA r 2 (sin 2izN Y — sin 2-kJSP ',)

-f- sin2(2,3) sin2 7riV 2 (cos2 7r7V I — cos27rA r ' 1 )

=0

Substituting 7 / V r 1 =iV+ A A 7 ", N' l =N— A A 7 ", expanding, cancel-

1— ^ 2
ing like terms and dividing by 2 P , ■/ cos2tt A'su^ttA A 7 ", since

1 1 ^
sin 2 7T A iV=o would give a match for any value of e and hence a

useless system:

sin 2 (0,1)

2<?

+ sin 2(l,2) COS2(2,3) tg27rA 7 "

-j- COS2(l,2) Sin2(2,3) tg2 7rA r COS2 7rA^

-f sin 2 (2, 3) . . . . sin2 7rA^

+sin2 (1,2) cos 2 (2, 3)

-j-COS2(l,2) sin2(2,3) . . . . COS27rA r 2

— sin2(2,3) tg27rA 7 'sin 2tjV 2

If the halfshade is balanced, tg 2 irJV=o and:
sin 2(0, 1) sin 2 (2, 3) sin 2irN. 2

(54)

2<?

Or

2e,

+ Sin2(l,2) COS2(2,3)

+cos2(i,2) sin 2 (2,3) COS2 7rA / 2
sin 2 (o, 1) sin 2 ( 2, 3) sin 2 wA^

Sin2( 1,3) COS2 7rA ; 2 + sin2(l,2) COS2(2,3)(l — COS27TA 7 ,)

(55)

187

32 L. B. Tiickcniian

For low values of the compensator ( N 2 small ) this may be ex-
panded in a series provided sin 2(1,3) ' s not to ° small.

2e o _ sin2(o,i)sin2(2,3) [ sin2(i,2)cos2(2,3)

tg 2 IT JSI. I I ■

i — e\ sin 2 ( 1 , 3 ) sin 2(1,3)

I — COS2 7Ti\ T „
COS2 7rA 7 ',

For maximum sensibility the nicol should be set for minimum
intensity of the transmitted light. If e is small this is approxi-
mately at 90 to the major axis of the oripinal ellipse, so that the
nicol may be set at 90 with no appreciable loss of sensibility. If
this be done, 2^(0,3) =90° and sin 2(0, i)=sin2(i,3). Writing
2^(1, 3)=a, and 2^(2, 3)=^, where \p measures the rotation of the
compensator:

2e n . , r \ S\X\2(a—\b)C0S2\l/ I — COS27rA r „ ,

sin2i/>tg2 7rvV 2 1 . " K7~^ +

I- — e 2 2 [ sin 2 a cos2 7TiAI.

or

' . 1 — e' 2 sin 2 (a — i//)cos2ii'

e= — tg7rYV, Sin2ii' „ " I I r- 1

fe - [— tg 2 7rA A 2 1 Sin 2 a

I— COS 2 irN, ,

COS2 7rA r 2 "J

Substituting in 1 — r o the approximate value, e= — tgirA^sin 2\p,
and expanding in a series to quantities of the second order in A T „

c= — tg7rA r 2 sin2i/' [1 — tg 2 7rA r 2 (cos 2 2i/' — cot 2a sin 4^)+ . . ] -(56)
For any given value of a, the maximum value of

cos 2 2i/' — cot2asin4«/' is *4 ( 1 -}- 1 7 1 +4 COt 2 2a).

Then the approximate formula

e o =—tgirA T i s\x\2xp (57)

may be used provided %(i-\-V 1+4 cot 2 2a) tg 2 irN. 2

is negligible. The curve, figure 3, is plotted on the assumption
of a maximum allowable error of 1 per cent. The abscissae rep-
resent the angle, a, between half shade and nicol, while the or-
dinates give the corresponding maximum allowable order of the

188

Doubly Refracting Plates and Elliptic Analyzers

33

compensator. A 7- ,. For an error not greater than i per cent,
to be introduced by using the approximate formula ( 57) , 2irJV 2
must not be greater than 11. 5 in any case, and the further a lies
from 45 , the smaller the allowable value. Since the angle be-

Ma-Tf Sha.de Adjustment (a.)

Fi g- 3

tween halfshade and nicol regulates the sensibility of the system
and is necessarily small for large values of A A", the approximate
formula can only be used where AA' is small enough to give sat-
isfactory sensibility at 45 °. For large values of AA 7 , as in the
Bravais biplate (&N=%), the approximate formula is therefore
not available, and it would be necessary, if this arrangement were
used, to fall back upon the rigorous formula (55). As this
involves the necessity of reading not only the compensator but
also the halfshade rotation, it is preferable to use the arrange-
ment B.

If the halfshade is not balanced, a conveniently usable formula
can only be obtained when ^(1,3)— 45 , i.e. when the halfshade
is placed at 45 ° to the analyzing nicol. This of course requires a
sufficiently low value of A A 7 " to give satisfactory sensibility. Letting

2£(o,i) = — $, and 2^(2, 3) =1/', then 2^(1,2)= i// and the formula

(54) reduces to

189

34

L. B. Tuckcrman

sin 2 6

+ COS 2 2i/' X.g2irN
-f-sin 2 2i/' tg2 7rA ; 'cOS2 7rA r 2

+sin2i/' .... sin27rA r 2

2<? | + COS 2 2l/'

"+sin 2 2i/'. . . . cos27rVV 2
— sin 2i/'tg27rA ; 'sin27r N 2

=o

Substituting i — sin 2 2i^ for cos 2 21^, 2 sin 2 7r TV,, for \—cos2ttN v col-
lecting terms and solving for j--

2e . .ts:27rA r -^sin2 7r7y,sin2t/' — 2sin 2 7riy. ts:2 7r7Vsin 2 2i/' . „.

V=sin20-^ — - r 2 - — z^-. .- & ., . .. , (58)

1 — e\ 1 — sin2 7ri'V 2 tg2 7riVsin2i/' — 2sur7rYv sin'^i/'

If the ellipticity of the incident light is zero, the numerator of
this expression is zero, from which :

tg2irA r = — sin27riV, sin 2 ^-|- 2 sin 2 71- tV, tg2 7rA 7 "sin 2 2i/' (59)

where the second term may usually be neglected. Or

sin27rA^ sin 2^

tg2TTjV-

(60)

1 — 2sin 2 7TiV 2 sin 2 2^

which may be expanded in a series :

tg 2irJV= — .sin 27r7VT,sin 2^(1 + 2 sin 2 7r N 2 sin 2 2 \p

+4sin 4 7r7V r 2 sin 4 2^+ . . . . ) (61)

This is the condition of the apparatus in the work done by Elmen, 1
Morse, 2 Hagenow, 3 and McComb, 4 on the electric double refraction
of liquids. In their work the electric field is placed parallel to
the principal azimuth of the halfshade, so that the liquid may be
considered as part of the halfshade. N then represents the re-
tardation of the liquid plus the average order of the mica half-
shade itself.

'Elmen, G. W. Phys. Rev., vol. 20, p. 54, 1905.
-Morse, L. B. Fhys. Rev , vol. 23, p. 252, 1906.
3 Hagenow, C. F. Phys. Rev., vol. 27, p. 196, 1908.
'McComb, H. E. Phys. Rev., vol. 27, p. 336, 1908.

190

Doubly Refracting Plates and Elliptic Analyzers 35

If ez£0, let «/' = </'„ f° r tne setting on plane polarized light. Then
from (59),

tg 2 7T N= — sin 2 7r A\ sin 21/^+2 siirV A\ tg 2 7r N sin' 2 2 ^ .
Substituting this in equation (58)

sin27r7V 9 (sin2i/' — %\\\2\\i o ) — 2sin 2 7rACtg27rA r ( sin' J 2i/' — sin 2 2^ )

sin 2 1

1 — sin 2irA\ tg2 7r A r sin2i/'- — 2 sin 2 7rA\, sin 2 2\\i

=sin 2 sin 2 tt AC, (sin 2 i/^ — sin 2i/r a )

1 — tg7rA r 2 tg2 7ry\ T (sin2t/'+sin2i/' o )

1 — sin 2 tt A r „ tg 2 tt A 7 sin 2 \j/ — 2 sin*7r A T 2 sin 2 2 \f/

Or: e=}£s\n26 sin 2 7r A 7 , (sin 2^ — sin2^ )(i — e 2 o )

1 • — tg 7r A 7 !, tg 2 7r A r ( sin 2 i/^-p sin 2 ^ o )

1 — sin 2 x AC tg 27rA ; 'sin2»// — 2sin 2 7rA 2 sin 2 2i/>
Substituting tgvN 2 cos i vN 2 =j4sin2irN s :

^ o =sin 2 tg ttN, (sin 2 ^ — sin 2 ^ o ) ( 1 — V 2 o ) cosV AC

1 — tg7rAC tg2 7rA r (sin2^+sin2t// o )
1 — sin 2 tt A^ tg 2 tt A r sin 2 \p — 2 sin 2 -k AC sin 2 2 \\>

(62)

For all values of A r and N 2 for which this arrangement is useful,
the factor :

1 — tgTrAC, tg2 7rA r (sin2i/'-{-sin2i/> o )

( 1 — ^ J . cos 2 7r A, : tt — ^r-. ; —. — at ■ -■> — ;

oJ -I — sin 2 7r AC, tg 2 7r A' sm 2 <// — 2snr7rAC sm-21//

is a correction factor whose value is nearly 1. In it therefore, e o
and sin 2 if/ o , may be replaced without sensible error by the approxi-
mate values:

e=y? sin 2 6 sin 2 tt AC,(sin 21// — sin 2 i/'J

tsr 2ttN

sin 2 «/'„=-

sin 2 7r AC,

and the factor expanded in a series according to ascending pow-
ers of sin 21//. If this be done the factor is, to quantities of the sec-
ond order in A 7 and A^:

' 191

36 L. B. Tuckerman

i + 2tg 2 7rA r (i — ^sin 2 2 0J — sin 2 7rA r 2 +>^sin27r7V 2 tg27rA r cos 2 2^sin2i/'

+ 2sin 2 7rA r 2 (i — ^sin 2 2^)sin 2 2^

In practice, can not differ much from 45 °, if the sensibility is satis-
factory, so that in the correction factor, the assumption may be
made: sin2 0=r, cos 2 0=o. It then becomes:

. i-f-tgVA 7 — si n 2 77 A 7- ,, cos 2 2 1//

The correction factor may be neglected if both tg 2 7r A 7 " and sin^A^
are negligible in comparison with 1. Then:

e =sin 2 tg it N„ ( sin 2 \\i — sin 2 if/ o ) ( 63 )

Since complementary values of \j/ o give the same value of sin 2^, \f/ o
is readily obtained by making two independent settings for a match
on plane polarized light and subtracting j4 their sum from 90 °.

The value of \p o may evidently be used (equation 61) to calibrate
an unknown compensator in terms of a known halfshade and vice
versa.

This is the arrangement and the formula used by Skinner and
Tool' in their work on the optical properties of magnetic metals.
In their work, sin 20=i.

B. »->"■ Compensator s->- Elliptic Halfshade «s->- Nicol

For this arrangement the symbols have the following signifi-
cance :

Order of compensator z= ^ T v

Order of the one-half of halfshade =A',.

Order of other half of halfshade =jV' 2 .

Angle between major axis of incident light and principal azimuth

of compensator=2^(o, 1).
Angle between compensator and halfshade=^(i,2).
Angle between halfshade and nicol =2^(2,3).

'Skinner, C. A., and Tool, A. Q. Phil. Mag. (6), vol. 16, pp. 833-62,
1908.

192

Doubly Refracting Plates and Elliptic Analysers

37

For a match, Q 3 — Q'3— o, or from (53)
-cos 2 (o, 1 ) sin 2 ( 1 , 2 ) sin 2 ( 2, 3 )

»!.+<,

2e

°i+e* o

. . ( COS 2 7r A 7 ,

COS2 7tA^ 2 )

— Sin 2(0, i) COS2(l,2)sill2(2,3) COS27TA 7- ! (cos2rr A,

— COS2 7riV 2 )

H-sin2(o,i) sin2(2,3) sin2 7rA^ 1 (sin2 7rA r ,

— sin2 7riV'.,)
+ COS 2 ( 1 , 2 ) sin 2 ( 2, 3 ) sin 2 7T A", ( COS 27T A, COS 27T A 77 ,,)

+ . • • • sin2(2,3)cos27rA^(sin27rA^ — sin27rA 7 ' 2 )

Substituting N. i =N J r A N, N'=N—\A r , 2^(0,1) = ^, expanding,
cancelling like terms and dividing by

^ sin 2 ( 2, 3 ) cos 2 7r A^sin 2 7r A A 7 ^.-

eives :

(64)

-}-COS2l/'sin2(l,2) .... tg27rA r

-j-sin 2^1 COS 2 (l,2) COS27ryV, tg27T N

-psin2t/' sin 2ttN y

— cos 2 ( 1 , 2 ) sin 2 7r N x tg 2 7r A 7-

+ ..'.. COS27rA r 1

The equation is independent of the angle (2,3), and consequently
the match is independent of. the azimuth of the analyzing nicol,
although the sensibility depends upon it.

If the half shade is balanced, tg2 7rA^==o, and

-sin 2 4 1 tg 2 7r yVj

or

(65)
) (66)

e= — ^tg2 7rA 7 ' 1 sin2i/'( 1— ^ tg 2 2 7rA r 1 sin 2 2i/'+ . .

If the halfshade is not balanced and small cllipticitics are to be
measured it is as before convenient to fix the halfshade, this time
at 45 to the major axis of the incident light. Then:

*(o,2)=-

• 4

193

38 L. B. Tuckerman

By substituting- in (64) there results after a slight reduction
2e o X.g2-rrA T A- sin 27rA ? ] sin 2 \j/ — 2sin 2 7rA^ tg2irJVsm 2 2%[>

1 — e- o 1 — 2sin* J 7ry\j — sin 271-7^ tg 27rA r sin2 \p

As before, if *p =ip for <f =o:

^ o = — ^2 sin 2 7r A r , ( sin 2 \p- — sin 2 ^ ) ( 1 — ^ 2 )

1 — tg^A 7 , tg27rA T ( sin 2^ -{-sin 21/^)

(67)

(68)

1 — 2 sin a 7rA^ — sin 2 7r A r j tg2 7r A r sin 2 \p

or, introducing approximations for c o and sin 2^:

e== — tg7rA r 1 (sin2i/' — sin2«//J ( i-ftg'-VA"— sin 2 7rA 7 1 cos 2 2i/' — . . .)

to quantities of the second order in N and A\. The correction
factor may be neglected, provided tg 2 v JV-j- sin 2 7r N y is negligible in
comparison with 1. Then

e o = — tg7rA r 1 (sin2</' — sin2i/> o ) (69)

In case large cllipticitics are to be measured, the determination
of the azimuth of the major axis of the ellipse becomes of impor-
tance, and the difficulty of determining it with the preceding ar-
rangement renders the method valueless. For measuring large
ellipticities, Mr. A. Q. Tool has devised an arrangement involv-
ing the measurement of the double rotation of compensator and
analyzer, which is analogous to Stokes's method, and in fact may
be considered as an application of the halfshade principle to
Stokes's analyzer.

The analyzing nicol is replaced by a halfshade system of the
Lippich type (split nicol, Lippich, or. for greater sensibility, a
Brace sensitive strip), which will be designated simply as the
"Lippich.'' The elliptic halfshade (which will be designated as
before, simply "the halfshade"), instead of being fixed relative
to the incident light, is fastened to the Lippich and rotates with
it, i. e. in the previous notation, 2^(2,3) is constant. The divid-

194

Doubly Refracting Plates and Elliptic Analyzers 39

ing edges of the Lippich and the halfshade cross each other at
an angle (preferably 90 ), dividing the field into four parts.
They should be placed as nearly in the same plane as possible, in
order that both may be at the same time in focus in the observ-
ing telescope. A match of intensity of the two halves of the
Lippich will be called a "Lippich match" ; of the two halves of
the halfshade, a "halfshade match." ' A complete match is both
a Lippich and a halfshade match. The setting is always made
for a complete match.

Expressed in terms of the light which emerges from the com-
pensator (P o , Q v K v Sx), the condition for a halfshade match is
from (14) :

— QjSin2(i,2) sin2(2,3) (cos27rA^ — cos2ttN\)
+/lj cos 2 (1,2) sin 2 (2, 3) (cos27riV 2 — cos2tt N' 2 )
+Sj sin 2(2,3) (sin 2 7r A, — sin 2 7rA r ' 2 )=o

Expanding in terms of N and AN and simplifying, this reduces
to

[Q,sin2(i,2)- K t cos 2(1,2 )]tg 271-iy-f-S! =0
Similarly the condition for a Lippich match is from (14) :

kP + Q,j + COS2(l,2) .... [cos2(2,3) — C 1 — K ) cos 2 ( 2 > 3')]
| — sin 2 ( i, 2) cos 2 7tA^, [sin 2 (2,3) — (1 — *) sin 2 (2,3')]

+AT 1 l +sin2(i,2) .... [cos2(2,3) — (1 — fc)cOS2(2,3')]
|+cos2(i,2)cos2 7rA^ 2 [sin2 (2,3) — (1 — k) sin 2 (2,3')]

-j-S, sin 2 7T N 2 [sin 2(2,3) — ( 1 — k ) sin 2 ( 2, 3' )] =0

Expanding in terms of N and A.V and introducing the con-
dition of a simultaneous halfshade match, the terms containing
sin 2 7r A A 7 " become zero, and it reduces to:

195

4o L. B. Tuckermam

kP u -\-Q 1 + cos 2(1,2) [cos 2 (2, 3) — ( 1 — k) cos 2 (2, 3')]
-sin 2 ( 1 , 2 ) cos 2ttN cos 2 ^ A N [sin 2(2,3)

— (I— K)sill2(2,3')]

K 1 +sin2(i,2)[cos2(2,3)— (1 — K)C0S2(2,3')]
-)- cos 2(1,2) cos 2 7r A T cos 2 7r A A T [sin 2 ( 2 , 3 )

— (I — K)sill2(2,3')]

+5 X sin2 7rA A cos2 7rAA r [sin2(2,3) — (1 — K)shi2(2,3')]=o

Substituting for Q v K x and 5, their values, Qi=P

1—e*

i+e'

cos 2 1
1

1 — e~ 2.6
K,=P ^ sin 2^, and S,=P V, the equations become —

1 ° i-\-e\ ° i-\-e\

for a halfshade match :
2e,

i-e\
for a Lippich match :

-sin2( 1,2 — B x ) tg27TiV=o;

(70)

1— e*

i+*r

2<?,

+ COS2(l,2 6j) [COS 2 (2, 3) — (i — k) COS 2 (2,3')]

— sin 2 (1.2 — ^ 1 )cos2 7rA^cos2 7rA A 7- [sin 2(2, 3)

— ( 1— K)sin2(2,3')]

, 1 Vsin2 7rA 7 cos2 7rAA 7 '[sin2(2,3) — (1 — k) sin 2 (2, 3')] =0

(70

In these equations there occur only two variables, e x and
2^(1,2 — 0J, the rest being constants depending on the rigid half-
shade system. There is then a single pair of values of e 1 and
2^(1,2 — 0,) for which a complete match exists. Letting this value
of ^=tg77, and the corresponding value of 2^(1,2 — 1 )=a, the
analyzing system is characterized by -q and a, which are constants of
the system and satisfy the equations:

tg 2 rj -\- sin 2 a tg 2 7r N=o
k sec 2T7+cos2a [cos2(2,3) — (1 — k)cos2 (2,3')]

COS27rAA r ,

(72)

-sin 2 a-

COS 2-kN

[sin 2(2, 3) — (1— k) sin 2 (2,3')] =0

196

Doubly Refracting Plates and Elliptic Analysers '41

Introducing Stokes's notation: 2^(0,1)== — R, 2^(90° — #/)= — ?',

— ^=90° +a — 7$. ( 1 , 2) ,

».£• any change in 2^(1,2) causes an equal change in r, so that r
measures the rotation of the analyzing system.

If the initial light be referred as before to its major axis :

L-=tg2 V -

Q 1 cos2$ 1 -~K 1 sin2^

= s,

. Q 1 cos2r J r K 1 s>'m2r
or

■ — O sin2i'?sin2 7rA 7 ,-j-,S COS2 7rA 7 .
to-2r?= — 1 ;

* Q o cos2y?cos2r+Q o sin2i?sin2rcos27r J A^ 1 +5„sin2rsin27rA r 1

which gives as the equation for the halfshade match :

-f-COS2i? COS2rtg2r;

-|-sin 2 R sin 2 r tg 2 rj cos 2 7r A 7 ,
— sin 2 7? sin 2 7r A 7 ,

2<?„

+sin2r tg2i7sin2 7rA r 1 l
-f-COS2 7rA r 1 |=o

For the Lippich match:

tor 2 rz=tcr 2 9 = - 1

Q o sin2 7? cos27rA 7 +5 sin27rA r 1
Q cos2R

+cos2 i?sin2r

— sin 2 i? cos 2 r cos 2 7r A 7 ",

2(?,

cos 2 r sin 2 7r A 7 ', =0

1 — e\

7T

If i 2 ? and rare a solution of these equations, then i?'= R, and

7T 7T

r'= r form another solution. Letting c=R' — R= 2R, and

2 & 2

n=r' — r= 2r, the equations become:

197

4'2

L. B. Tuckcrmail

-f sin*: sin « tg2r)

-{- cos c cos n tg 2 rj cos 2 7r A^

— cos^sin2 7rA^,

(73)

2<f.

4- cos « sin 2 7r iVj tg 2 ?;
-[- cos 2 7r A 7- ,

and

-pSin<;costt

— cos *:sin n cos 2tt N x

2<?„

(74)

^V sin w sin 2 7r A 7 ", =0

i-

Care must be taken, as in Stokes's analyzer, to insure that R' and
R are complementary to the azimuth of the major axis of the in-
cident light, since otherwise the sign of e o will be incorrect.

By starting with plane polarized light the constants of the an-
alyzing system (17) and compensator (AY) can be measured.
Since the incident light is plane polarized, e=o and (73) and (74)
reduce to:

-j-sin*: sin;z tg2?;

4~ cos<: cos Htg2r) cos 2ir N x

— coscsin2 7rA^ =0

and

from which

COS? ir A 7 ,

Also

sin*: costt — cos*:sin«cos2 7r A^=o
or tgTj-'A'j
cos*: sin 2 7r A!

. , r _ I sm (ft— c)
1 \sin(?z-

tg«

(»+')

t22:

tg*:

sine sin n-r- cose cos n——

ten

or

tg2r?

sin«sin2 7r

a;

tcr r

1

sin

(n-\-c)s'\n(n

-o_

\

sin-w — sin-*:

(75)

(76)

198

Doubly Refracting Plates and Elliptic Analyzers

43

The signs of both tg2rj and sin27rA, are left undetermined by these
equations, but both are known as soon as one is known.

Returning to equations (73) and (74) where e ( ^o, let
arrange according to cose and sinr.-

2e

=t, and

— cos?i cos2 7rA 7 1
+ cot 2 r) sin 2 tt N^

j-J-cosw sin 2 a- A^
cos c — sin n sin c — / + cot 2 r) cos 2 -n A\\ =0

and

— sin?z cos 2irN x cosr+coswsinr — /sinwsin2 7r7\ 7 1 =:o
Solving for / in the second of these equations:

— sin n cos 2 -w A\ cos c + cos n sin c

sin?/ sin2 7rA r ,

(77)

Substituting in the first :

— COS 72 COS2ttN x

+ cot 2 7? sin 2 7r A 7 ,

cose — sinwsmr
sin n cos 2 tt A 7 , cos e — cos n sin c\ + cos n sin 2 ?r A^

s'\wn s'm. 2 it A\

-COt2i;COS27rA^|=0

Clearing of fractions, expanding and collecting terms :

— cos c sin n

-(-sin c sin 2 -n- A\ tg 2 77
-\- sin e cos ;z cos 2 it A 7 ", =0

2 tCT 7T A 7 " I tgf 2 7T A 7

Substituting sin2 7rA r 1 = — — ^ — ^r» cos2?rA 7 ;=- -^s — ;4> clearing
& ' i-j-tg^A 7 ;

of fractions, and collecting terms:

— sin ( c-\- n ) tg 2 ■*■ A^
— 2 sin r tg 2 77 tg7r A\
+sin(r — 71) ■

1 I-\-t£?rN.

199

44 L. B. Tuckcrman

Solving for tgir N^.

sin r tg 2 7? ±: 1 sin'-<:tg-277+sin(c+^)sin(<: — n)

tQf 7T iV. 7 ; ■

& a sin(V+;z)

Letting

sinr sinr

1 sin(^-(-»)sin(t — «) 1 sin' 2 *: — sin 2 «
where the square root is given its positive value : -

sin( c — n )

, r bllllt— It) 5 \ , .

tQ-TTN.—X ~. Utg277 1 I^-rt-tSf-277) (78)

Al sin(V+») & ' B U w }

The square root 1 i^ r a z tg-2r) must also be given its positive value.
If (] is small and the ellipticity of the incident light is also not too
small this may be expanded in a series:

!sin(*r — n) , / o o / 1 1

tg ^ N =^^-—^(i-atg2 V ^l4a'tg 2 2 V —y8ahg i 2 V + . . .)

(79)

If the ellipticity of the incident light is small the coefficient a be-
comes large, and for the value /— tg2>? is infinite. For these
values tg7ri\f is given by the series:

v __ sin (c—?i ) _ 1 1 . .„ .

^ 1Tl 1_ 2sin7tg27 ? ^ 1 4«'-tg 2 277 8a i tg i 2r j ^~

In the equation (77), substitute,

2 to: 7r N,

sin2 7riV,=-

1 i + tg^TV;
and

at i— tg-vA 7 ;

COS 2 7T A'. = ; — ^— T7

1 I+tg-TTiX

Then

— cos c sin « ( 1 — tg 2 7r yVj ) +sin c cos // ( 1 + tg 2 it N x )
2smntgirJV 1

sin (c — u) -f- sin(r+«) tg 2 ?r A^

2sin7Ztg7rAf

200

Doubly Refracting Plates and Elliptic Analyzers 45

Substituting

sin(r+tt)tg' 2 7rvV ] =2sinrtg2 77tg7rA ; 1 -j-sin(y — n)
sinCr— >i) , sin c

t=- i 5T7 + - X.S2 7I

sinw tg?rA\ sin«

and again substituting 1 the value of tgirN^ found above:

1 ]

sin<: [

■I tg2r?

sirm

a(atg2?; — 1 i-j~ahg 2 2rj)

(81)

1 sm(c — n)sm(c4-n) \ 1

— -| atg2r)-\

I a tg 2 77 — 1 1 + a 2 tg 2 2 77 '

sinw

This in turn may be expanded in a series :

1 sin(V — w.)sin(£+»). . , .. „ „ . .

/= sin« -(^^tg^ + ^^tg^-^^tg^-

and for small values of <?„:

sin<r

t==- tg2M I i-f-

Sin« & [ 2(7-tg-2r/ 8a i tg i 2r)

1

1

(82)

(«3)

In general the series in equations (79), (80), (82) and (83) are
rapidly convergent and it is usually not necessary to consider
terms beyond the first order in tg2i/. If the half shade is balanced,
tg2 77=o, and the equations reduce to those for Stokes's analyzer.

If halfshade and compensator have both been calibrated, it is, as
in Stokes's analyzer, not necessary to take both compensator and
nicol readings, since either one alone is sufficient to determine t.

Arranging equations (73) and (74) according to sin 11 and
cos n

— COS£COS27r N Y

— t sin2 7r N,

cos n — sin c sin ?z=eot 2 r)

— cos c sin 2-k N x

-\-t COS 2ir N x

and

sm.co.osn

— COS£"COS2ttA 7 1

— /sin2 7rA 7 !

201

46 L. B. Tuckerman

These are of the form :

a cos n — /? sin n=y

{3cos?i J r asin?i—o

Squaring both and adding, a 2 +/? 2 =y 2 , which is an equation inde-
pendent of n. Substituting values for a, /? and y, and arranging
according to powers of t:

/ 2 (i — sin 2 2irN x sec 2 2 77)

— 2 / cos £ sin 2 7r TV, cos 2?^^ sec 2 2 ?7

-f- [1- — (1 — cos 2 rsin 2 2 7rA r 1 )sec 2 2r/]=o

Solving for t:

cos csin 2 it N x cos 2 ir N Y sec 2 2 77 ± tg 2 7? 1 ' 1 — sin^ TrA 7 , sec 2 2-g sin 2 c
1 ■ — sin 2 2 7r A^ sec 2 2 77

^__ (84)

which is of the form : /=^ 1 cosf-^2 1 : — ^sinV

where k 15 k 2 and k 3 are constants depending only on A^ and 77.

If 77 is small the equation approaches the equation for Stokes's

analyzer,

/ =tg 2 7T ACCOST

As 2tt A 7 , approaches — > this approaches the form, /=cc . o, so that

the equation becomes illusory for compensators which are approxi-
mately quarter-wave plates and are required for measuring large
ellipticities. The value of t varies less with changes of c, the more
nearly t=tg2irN 1 which gives the condition for greatest accuracy
in determining /.

When 2irA\ is near — > a usable equation may be obtained by

eliminating c instead of n. Arranged according to cose and sin*:,
the equations (73) and (74) are of the form:

a cos c -j- /3 sin c -\- y =0
8 cos c -j- € sin c -j- £=0

Solving for cos c and sin c, squaring, adding and clearing of
fractions :

202

Doubly Refracting Plates and Elliptic Analysers

47

y P

2 +

a y

2

a /8 2

Z «

3 t

8 £

an equation which is independent of c. Substituting values, sim-
plifying and collecting terms :

[ i — ( cos 2 r] sin 2 ir A\ cos n — sin 2 rj cos 2irN l ) 2 ']t' 1
— ( cos 2 r] sin 2 7r A^ cos w — sin 2 rj cos 2 7r A 7- , ) 2 =o

which orives

t=-

a — dcos?i

1 i — (a — 6cos)i)' 2

where «=sin2^cos2 7rA / " 1 , and ^=cos2>;sin2 7rA 7 1 .
a- — £cos«=sinx, then: '

t=tg x and e=*g}4x

7T

These equations are still usable when 2ttN x = —

(85)

Letting

(86)

This method evidently has all the experimental advantages of
Stokes's analyzer, with the added sensibility of a halfshade sys-
tem. It has the disadvantage of slightly more complicated for-
mulae for unbalanced halfshades, but for balanced halfshades,
as has been shown, the formulae are the same.

10. Sensibility of Halfshade Systems

Let the intensity of the light emerging from one side of the
halfshade system be I, and from the other /'. Let one-half the
difference in intensity between the two halves, y 2 (I — I J )=Al, and
the average intensity of the two halves, j4(I-\-I')=I m . Then the
condition for an observed match is:

A/

T > 1 AfiL^P^ ■ ■ ■ ■ )

(87)

where f(/ m ,a,(3,y, . . . ) is the photometric function. a,/?,y, . . .
are constants depending on the sharpness of the dividing line be-
tween the two halves of the field, the parallelism and purity of the

203

4 8

L. B. Tuckcrman

(assumed monochromatic) light and other incidental factors. If
a perfect match were obtained Al would equal zero.

If the light incident on the system is ellipticallv polarized. A/
and I m will in general be functions of its initial ellipticity e o and its
initial azimuth o .

Starting with a perfect match,

A/

and varying e o within the limits of an observed match, equation
(87) becomes:

o I in J

)

(88)

Again, varying the azimuth 6 o within the limits of an observed
match :

£ it] «.*#/('..«./>.* . .

o I m J

)

(89)

The maximum possible variations or errors of e o and o compatible
with an observed match are then :

and

8^„

SO

:I/£-^

)

del I I

f(/,a,/?, y , ..'••)

: I/,^±

(90)

(90

Although the form of f (f m , a, /?, y, ..'..) is not definitely
known, certain general conclusions about the variation of sensi-
bility with varying experimental conditions may be deduced for
special halfshade systems.

Type A.

Lippich Half Nicol.

Brace Sensitive Strip, etc.
Here /— 4 and I'=(i — *)-I\- Then from (11)

204

Doubly Refracting Plates and Elliptic Analysers

*/_ K^+Qr- (i — OQ',
/ (2-k)P 1 +Q 1 +(i-k)Q' 1

+ Q n [cos2(o, i) — (i — k) cos 2(0,1')]
+#C [sin2(o, 1) — (1 — O sin 2 (0,1')]

49

(2-k)P

-j- Q o [cos 2(0, i) + ( 1 — k)cos2(o, i')]
+K [sin 2 (o, 1 ) + ( 1 — k) sin 2 (0, 1')]

If the initial light is plane polarized :

Q o =P o cos2 o

K=P sm20

Substituting these values and simplifying :

A/_ K+COS2(o, 1 — 6 o ) — (1 — k) cos 2 (0,1' — o )
I m ~~ (2— k)+cos2(o, 1 — o )-{-(i — k)cos2(o, i' — 6 J

Differentiating with respect to o and introducing the condition
for a perfect match :

K-4-COS2 (o, 1 — 6 o ) — (1 — k) cos2(o, i' — o )=o

3 (M)_ sm2(o,i — 6 o ) — (1— k) sin 2(0, 1'— o )
90, [~ZJ~ I+COS2(0,I— 6 o )~

and
But

I-}-COS2(o, I — )

sm2(o,i—d o ) — (i—K)sin2(o,i'—d o )f {/ "" a 'P' 7, ' ' ^

(92)

I + COS2(o,I- — 6 u )-

From which

sin 2 (0, 1 -6 e ) =- E -V I m ( 2 P—I m )

and,

Then
86=*/

(i-0sin2(o,i'— 5 ) = D-1 Al2P o (i— *)-/,]

I

Vl m {2P-Ij+ V/ m [2P o (l-K)-/ m -\
205

f(f in ,a,(3,y, . ) (93)

50 L. B. Tiickcrman

or approximately since k is small and I m small compared with 2 P o

8 ^ = i\^/ (/ "" a '/? ,y ' • • • ) (94)

Type B

Bravais Biplate.

Brace Elliptic Halfshade.

Laurent Saccharimeter Halfshade.

For these 1=1 2 and F=I\, the difference between the two
halves consisting of the difference between the orders N 1 and
X\ of the two halves of the halfshade. Then from (14)

— Q sin 2 (o, 1 ) sin 2 ( 1 , 2 )(cos 2 it N x — cos 2 w X\ )

+ /C COS2(o, l)sin2 (l,2)(cOS27rA r 1 — COS2ttA\)

+ 5 sin 2 (1,2) (sin 2 ttA 7 ", — sin 2ttN\)

A/

+ 2 Q„COS 2 (O, I ) COS 2(l,2)

+ 2K sin 2 (0, 1 ) cos 2(1,2)

— Q o sin2(o, i)sin2 (i,2)(cos27riV 1 -f-cos27riV 1 )

-f/C o COS2(o, l)sin2(l, 2)(cOS2 7r7\^ 1 H-COS2 7rA r ' 1 )

-\-S • • • • sin2(i ) 2)(sin27T7V 1 +sin2 7rA r ' 1 )
Substituting y 2 (N 1 +N' 1 )=X, and y 2 {X—X\)=±X:
- +Q si n2 (°> 1 )

A/

—K cos 2(0, 1 )

sin 2 ir A T

+ 5 COS2 7rjV

sin2(i,2)sin2 7rA.V

-f- Q cos 2(0,1) cos 2(1,2)

+ /C Sill2(o,l)cOS2(l,2)

+ Q o sin2(o, i)|

— /C COS2( O, I )[COS 2 ttA T
4-5 sin2 7riV

206

sin 2( 1 , 2)cos 2 7rA.V

Doubly Refracting Plates and Elliptic Analyzers
Substituting

Q=P 1 ^ COS 2 e o
>i+e\

5'

(17)

S=P

There results :

A/

1 — e

i-j-e u
2e

Y sin 2 (o, 1 — 6 o ) sin 2ir N

i+e*

V COS2 7Ti\ 7

sin2(i,2)sin2 7rAA'

1 — £"

; — £ COS2(o, 1—6J COS2 (l,2)

i+e>

i+e

j sin 2 (o, 1 — (i ) cos 2-kN

2e

sin 2 ttA 7 "

sin 2(1,2 )cos 2 7r A A

(95)

Bravais Biplate and Brace Elliptic Halfshade. — In discussing
sensibility to changes of ellipticity of the incident light, no need-
ful generality is lost by considering the halfshade to be a bal-
anced halfshade (N=0) since the unbalanced portion of the
halfshade may, if large enough to be of importance, be consid-
ered as a part of the compensating system. Introducing this con-
dition. X=o.

2e

A/

T sin 2 ( t , 2 ) sin 2 7r AA*

1 — £"

— f COS 2(0,2— 6 o )

„2

I+^o

- sin 2(0, 1 — o )sin2(i,2) (r — cos27r AA)

207

52 L. B. Tuckerman

Differentiating with respect to e o , and introducing the condition
for a perfect match, e=o:

de„

A/ 1 2sin2(i,2)sin27rAA T

I m J i -f- cos 2(0, 2 — 6 o ) -\- 2 sin 2 (o, 1 — g ) sin 2 ( 1 , 2 j sin 2 tt AiV

Then the maximum possible error in e o , compatible with an ob-
served match, is :

1 1 -f- cos 2(0, 2- — $j

| + 2sin2(o, 2 — 1,2 — o )sin2(i,2)sin 2 irA.N

K=%fV.>*.P>y> ■ • •)■

:#/(7>,£y., . . . )

sin 2(1, 2 ) sin2 7rA.V

1 -j-[i — 2sin 2 2( i,2)sin 2 7rAA r ]cos2(o,2 — o )
H-siii4(i,2) sin 2 7rAA r sin 2 (0,2 — 6 o )

sin 2 ( 1, 2) sin 2 7r AA r

(96)

The numerator of this expression is ~- Although the form of

f(f m ,a,(3,y ) is not definitely known, it is known that

for all useful values of Z m , the expression / f (7 m ,a,/3,y, . . . .)
decreases with decreasing Z m . If, therefore, the numerator of the
expression for 8e o , be decreased without altering the denominator,
Se o is decreased and the sensibility increased. This can be done
by varying 2^ (o, 2 — Oj. Differentiating the numerator with re-
spect to ^(0,2 — 6 J and equating to zero.

— [1 — 2 sin 2 2 ( 1,2) sin 2 7rAA~] sin 2 (o, 2 — u )

+sin4(i,2)sin 2 7rAA r cos2(o, 2 — Q )=o

Solving for tg2(o, 2— u ):

sin 4 ( 1,2) sin 2 7rAA r

tg2(o, 2 — V )- —

S V "' I— 2Sin 2 2(l,2)Sin 2 7rAA

from which (97)

sin 4 (A, 2 )sin 2 7rA A^

sin 2 (0,2 — 6 o )-

] 1 — sin 2 2( i,2)siir2 7rAA'
208

Doubly Refracting Plates and Elliptic Analysers 53

and

„ . 1 — 2sin 2 2 (1,2) sin'-.7r A A'

cos 2(0, 2— v )= , = (Q7>

V 1 — sin-2(i,2) sin^Tr-AA/"

These give a minimum of I m for any constant value of
sin2(i,2)sin27rAA r . The negative sign is used since the positive
sign gives a maximum of T m . Substituting these values in 8e a
and reducing :

1 — 1 1— sin 2 2(i,2)sin 2 27rAxV x

<>e =%. ; — ; rH — tz fU , a ,R,y, . . . . ) (98)

/4 sin2(i,2)sin27rAA^ J v '" H r ) ^ y *

This value of le o can be written as a function of I m ,a,/3,y, ....
alone and independent of 2^(1,2) and the differential order of the
halfshade, AN, for :

I m -=P o { 1 — 1 1 — sin 2 2 ( 1,2) sin 2 2 7T AN )
from which

sin2(i,2) sin 2 7r AA f =-p 1 I m (2P — f m )
or

K=%4^T m f {I ^ y } (99)

Or approximately, since I m is small in comparison with 2P o :

*<.=X^jfrfV*<hfl>r> • • • • ) < IO °)

Therefore, the maximum attainable sensibility of a balanced ellip-
tic halfshade of the type discussed is independent of the differ-
ence in order of its two halves (AN), provided that the differ-
ence is great enough to secure the requisite intensity. 1

Although the condition above discussed gives theoretically the
greatest sensibility, it is more usual and in practice easier to make

lr rhe conclusion drawn by Zakrzewski (Zakrzewski, M. C, Bull. Int. dc
I' Acad, des Set. de Crac, pp. 1016-26, Nov., 1907) that a quarter-wave
Bravais biplate (aN= 1 / 4) gives a maximum sensibility is apparently .due
to an invalid approximation.

209

54 L. B. Tuckcrman

(0,2 — 6 o )=90°, i.e. to set the analyzing nicol at right angles to
the plane of polarization of the original light. This gives :

. T/ sin2(i,2)sin 2 7rAA~

Since sin 2 2(i,2)sin 2 2wAiV r is always small in practice, the equa-
tion for maximum sensibility (98), neglecting higher powers, may
be written :

. ,sin2(T,2) (sin 2 7rAA T - — sin 4 ?rAA") r/ . _ N

7 sin 2 ir AA' ■'.v

For low values of AX, sin**AiV may be neglected in comparison

with sitrVAA", and the sensibility in both cases is practically the

same.

For large values of AAT, however, as in the Bravais biplate, where

AN= I /\, the ratio of the two sensibilities may be as great as two

to one.

Of the other factors, a,/3,y, . . . . on which the sensibility de-
pends, the sharpness of the dividing line, which is inherent in the
halfshade, is of the greatest importance 1 ; and in this respect the
Brace halfshade is far superior to the Bravais biplate. In join-
ing the two halves of the Bravais biplate, it is difficult, if not im-
possible, to avoid considerable diffuse reflection with its conse-
quent depolarizing action. In the Brace halfshade the thin edge
of the mica is mounted in balsam of nearly the same index of re-
fraction, so that this effect is reduced to a minimum, and the di-
viding edge is clear and sharp.

Laurent Saccharimeter Halfsliadc. — The sensibility to azimuth
variations is of special interest when the incident light is plane
polarized. Then e o =o and from (95)

4 j sin 2 (o, 1 — OJ) sin 2 ( 1 , 2 ) sin 2 it A t sin 2 it AN

I m ! 1 -j- cos 2 (0,1 — 6j cos 2(1, 2)

I — sin 2 (0,1 — o )sin2 (i,2)cos27rA r cos27r AA"

'Lumnier, O.. and Brodhun, E. Ztschr. f. Instk., vol. 9, pp. 41-50, 1SS9.

2IO

Doubly Refracting Plates and Elliptic Analyzers 55

Differentiating with respect to o and introducing the condition for
a perfect match, 2^(0,1 — o )=o, gives:

3 [A/1 2sin2 (i,2)sin2TrA / 'sin27r AN

<^o lA™ J I+COS2(l,2)

or

c/i / I+COS2(l,2) rtr H \ f n

/+ S1112(l,2)Sin27rA r Sin 27T AiV 7

This will be a minimum for constant I m when sin2mVsin27rA.Y is
a maximum, i.e. N=% and AN=%. This is the condition in
the Laurent saccharimeter halfshade. Then :

s/i ,I+COS2(l,2) ' r „ . , N

M -=- * lin ? (,,,) /^-"-fty > < I0 3)

Substituting

^=I+COS2(l,2)

*

M *-X\jjf^f'V~+P>* • • • • ) ( IQ 4)

or approximately

*K=X\{pJV~*>to* ■ ■ ■ • ) 0°5)

A comparison of the formulae for the maximum sensibility of
these three halfshades — balanced elliptic halfshade, Laurent
saccharimeter halfshade, and Lippich halfnicol — is of interest :

Lippich: 86=^^1^/ (/ m ,a,(3,y, ...'.) (94)

Laurent: 80=^yj^p-f(/ 7ii> a,/3,y, . . . . ) (105)

Elliptic: *e.=X^rp-f(lJ*P,y, • • • • ) (100)

Whatever difference, then, exists between these sensibilities in

practice arises from the constants, a, /3, y, depending

on the sharpness of the dividing line, the parallelism and homo-
geneity of the light, and other incidental factors. Since these
factors have great influence on the value of f(/ M ,a,(3,y, . . . )

211

56 L. B. Tuckerman

the formal equality of the sensibilities shown above can not be
expected to be realized in practice. A careful comparison of the
Lippich halfnicol with the Laurent saccharimeter halfshade, in-
volving a partial discussion of the value oi f (f m ,a,f3,y, . . . )
has been made by F. Lippich. 1 The relative sensibilities of vari-
ous systems actually realized in practice have been discussed bv
Brace. 2

11. Errors in the Use of a Compensator

Since elliptically polarized light is always measured by the use
of a compensator, an estimate of the accuracy of its determina-
tion can only be made by a discussion of the errors involved in
the use of a compensator. If light of ellipticity e o and azimuth
6 is changed by a compensator of order A^ and azimuth \p into
light of ellipticity e 1 and azimuth 0,, the coefficients determining
the errors in the determination of e o and o are the partial differ-

_ . de dt de de n A d0 30 30 3

ential coefficients: ^-% ^> =-f> ^tf' and-^— °. ^-°> -=-f» ^ry •
de x 30 x d\p 3Aj 3<?j 30, dip 3A^

By means of these the accuracy of the determination of c o and o

may be found if the errors 8e v 80 r Si//, and 8A\ are known.

If all azimuths are referred to the same axes of reference, the

second form of the general theorem is the more convenient.

Then in equations (13) letting ^(o, 1 )=</':

P =+P 1

Q o =-j- Qj ( 1 ^2 sin 2 2 i//sin 2 7r A 7 ; )

-\-K x sin 4 \p sin 2 7r N x

+5i sin 2 \p sin 2 it N x
K= + Qj sin 4 ip sinV N Y

-f/dCi — 2cos 2 2i/' sin 2 ?r A^)

— S x cos 2 \p sin 2 7r A\

S = — Qi sin 2 <// sin 2 -k A\
J rK l cos2\ps\r\2irN l

-\-Si • • • COS2ttA^

'Lippich, F. Wicn. Ber., vol. 99, p. 695, 1890; Ztschr. f. Instk., vol. 12,
pp. 333-42, 1892.

2 Brace, D. B. P/iyj. Rev., vol. 18, pp. 70-88, 1904.

212

Doubly Refracting Plates and Elliptic Analyzers 57

then (22) :

From which

S W J Q o cos2^+/C o sin2V
Also (24) :

2^„ 5

Substituting the values of Q o , K and S , in terms of Q v K x and 5,,

1 — C" 1 — c 2,

replacing- these in turn bv 0,=P it- 1 cos 2 0,, K,=P„ — ; — s I sin2^.

j ><i °i-\-e\ i+^x

2 ^
and Si=P„ " ', ' and expressing ^ and r o in terms of Wj and w o ,

defined by the equations, tgw^fj and tgw o =f o , there results:

tg2 ( \p — o )=tg2(«/' — ^ 1 )cos2 7rA 7 ' 1 +sec2(i/'— ^,)tg2 a)jSin2 ttA^ (106)
and

sin 2 to ==sin 2 tOj cos 2 ttA^ — sin2( 1// — L ) cos 2o> x sin 2irN x ( 107)

It is convenient in the differential coefficients, to replace func-
tions of the angles (<//— o ) and (\p — 0,) by their values in terms of
w o , to p and A T V These are given by the following equations. De-
fining for convenience the symmetrical function of w o and a> p s (w,,^)
by ' . __

S ( to o , ix> l ) = 1 COS 2 2 to Q COS 2 2 toj (COS 2 7T A 7 ^ — sin 2 a) o Sin 2 toj- ( 1 08 )

Then :

sin2w- — sin 2 w cos 2 7rA^
sin2(>-0 )= l - r— * — — l -

COS2w o Sin2 7rA / 1
COS 2 (l/>— ) = ^— ? — L -^ r7

cos2w o sin 2 7r A j
„ N sin 2 to, — sin 2 to cos 2 7r A 7 !

sin 2 Wj cos 2 7r AJ — sin 2 w (109)

cos 2 to, sin 2 (7r A 7 !

sin2(i/> — 0j):

COS2 C ^-0/)=--^^ 7

cos 2 <d 1 sin 2ttN x

sin 2 to, cos2 7rAv — sin 2 1

tg2^-e 1 )=~

S (u,,*^)
213

58 L. B. Tuckcnnan

Here it is to be noted that if cos2(i/> — o )=o, then s(to o ,tOj)=o and
COS 2 (if/ — 6^=0.

Differentiating the expressions for tg2(\(/ — 6 o ) and sin2co o , sub-
stituting values for the functions of (if/ — 6 o ) and (\p — #,) which
appear in the coefficients and finally using the relations :

9 3w
d —

o 3-
= cos' 01 ■= —

ae 1 d^j d(Dj dw,

the following results are obtained :

3<?„ o » r

——2 =sec z o> sec 2 w cos z to. sec 2 co. cos 2 it N.

ae 1 ° 1 1

— Sec 2 w tS 2 co COS 2 to, tg^co,

oe n oe n , N „ . '

— ^-= : o7=-s(fl) f ,,io 1 ) sec z w sec2w o (no)

3<?

sec 2 w te;2co cot2 7rvV — sec 2 w sec2co sin 2 to. esc 2^^.

o & 1 ol 1

3^

_d<? o

3 CO

3—

dto o

3-

3—

dcoj

3—

and

30 , ,0

— — -°=:S(co .to.) sec- 2 co cos- to. sec 2 to.

oe 1 °- l

~=I — ^— °=SeC z 2co (C0S27rA, — Sin2co Sin2co ) (11 [)

dtV, di/>

3^

— o A/ =rS ( OJ o' a) i) tg2co o SeC2to o CSC2 7ryV 1

There are two important special cases :

1. The compensator is placed at 45 ° to the incident light, and
the compensated light is plane polarized: cos 2(\p — & )=o and w 1 =o.

2. The compensated light is plane polarized, and the compen-
sator is a quarter-wave plate: co,=o and N=y±.

In the first case cos2(i/' — o )=oand therefore s(w o ,w 1 )=o.

Then :

3g.-_3g»_ 3fl._ 30 o _

— a^ — ~d^ — a^~~ 3^ — ° (II2)

214

Doubly Refracting Plates and Elliptic Analyzers 59

That is: the errors in e o due to errors in the determination of X
and if/, and the errors in o due to errors in the determination of
e x and A\ are at the most of the second order and hence negli-
gible.
If in addition 0^=0:

de de „

— - = — = sec <«>

de Y 971-vYj

and (113)

d$ dd

der i -dj =sec20i »

In the second case, Wj=o and therefore,

5(0^,0^) = ] COS-2(u o ' — COS^WV,

where | sin 2 w o | ^> | sin 2 it A\ |

Then :

de

— sec 2 w sec2w COS2 7TA 7 ;
de, '

3^ 3^„ / — 9 ~> r? 9 / \

— — ?=— -2= — 1 cos^2w — cos-27ryV . sec"w sec2u) o (114)

and

3^"„ 9 jr

- — ^-=sec' : w o tg 2 w o cot 2 7r A ,

7T A\

30

— ^^l'cOS^W COS 1 2irJV . sec 2 2i

3# 30

ZQ^ 1 — g-^=sec-2co o cos 2irA\ (115)

30

:l/cOS 2 2to o COS' 2 2 7rA 7 1 . tg2 U> SeC2 to CSC 2 7T A 7 ,

If in addition, N 1 =%, cos2 7rA r 1 =cot2 7rA r 1 =o, csc27rA r 1 =i, and
locos' 2 2 w y — cos 2 2'n-A 7 1 =cos 2 w u , then;

3^ 3d- 30 dB , ^

^-=^t7=^=I-^t'=0 ( I l6)

3<?j 3Af 3d, d\\i

That is: the errors in e due to errors in the determination of e, and
A 7 ", and the errors in 6 due to errors in the determination of 0., are

1 o 1

at the most of the second order, and hence negligible.

215

60 L. B. Tuckerman

Also:

de o de 2

~dd~dj~~ SeC ~ W ° (117)

de de n

de x ° dirN x s •

The results in the two special cases are almost completely com-
plementary. Placing them together for comparison :

1. ('/'-0,)=45 O %=o

de dc de bo .

-d&rw == ~^ 1 = m =:0 (II2)

de n de n .,

- = - — SPC" U>

de x dirN x
30 30

der l ~^ =sec2M °

2 . w =o N=%

de o _ de o _d0„_ _90 o _

de~~ dN~ dT~ l dj~° (u6)

de de .,

~^=— sec2w (117)

a#

(113)

dirN x

The choice of a compensator to give greatest accuracy in the
measurement of elliptically polarized light depends therefore upon
the relative accuracy of the measurement of e x and X , the ellip-
ticity and azimuth of the compensated light. If e x can be meas-
ured with the greater accuracy, a quarter-wave plate gives the
more accurate determination of 6 o , while a plate of lower order,
ttJV==(d o approximately, gives the more accurate determination of
e u . If X can be measured with the greater accuracy, the reverse
is the case.

216

Volumes I, II, III, IV, V, VI, VII, and VIII of University Studies are
each complete in four numbers.

Index and title-page for each volume are published separately.

A list of the papers printed in the first two volumes may be had on application.

Single numbers (excepting vol. II, no. 3) may be had for $1.00 each.

A few copies of volumes I, II, III, IV, V, VI, VII, and VIII, complete in
numbers, are still to be had.

All communications regarding purchase or exchange should be addressed to

THE UNIVERSITY OF NEBRASKA LIBRARY

Lincoln, Neb., U. S. A.

JACOB NORTH * CO., PRINTERS, LINCOLN

Vol. IX

July 1909

No. 3

University Studies

Published by the University of Nebraska

COMMITTEE OF PUBLICATION

SAMUEL AVERY
C. E. BESSEY
F. M. FLING
DANIEL FO*D

H. ALICE HOWELL
W. K. JEWETT
J. E. LEROSSIGNOL
L. A. SHERMAN

W. G. L. TAYLOR

CONTENTS

• I Financial Legislation in Principal and in
History

IV. G. Langworthy Taylor 221

II Taxation in New Zealand

James Edward LeRossignol and William

Downie Stewart 249

LINCOLN NEBRASKA

: %

University Studies

Vol. IX JULY 1909 No. 3,

I. — Financial Legislation in Principle and in History

BY W. G. LANGWORTHY TAYLOR

Governments have sought to regulate and to monopolize not
only the money of communities but also their credit. It is note-
worthy as a further proof of the dominant position of credit in
the financial world, especially as compared with money, that, not-
withstanding the efforts of governments to control the credit sys-
tem or to monopolize it for the selfish purpose of potentates or of
parties, they have been able to break down, destroy, or to assimi-
late and absorb but a small part of the credit activity of the com-
munity. In Oriental countries, it is true, enterprise is throttled
by taxation, which is the surest means to that end ; but in a coun-
try where credit is well developed, the government is forced to
face the problem of taxation in a spirit of scientific impartiality.
The highly developed credit system of the United States will force
that government into scientific methods of taxation.

Nevertheless, precisely through the channel of taxation, civil-
ized governments have learned to use credit in a way which is
especially open to the abuses which we have seen inhere in a
period of highest expansion, and thus to weaken business credit.
Governments seek to pay their expenses, or rather to obtain credit
for their debts, by the issue of paper money. Probably no gov-
ernment paper money was ever issued which was not expected
to be redeemed in full value at some time, although that time

University Studies, Vol. IX, No. 3, July 1909.

221

2 IV. G. Langworthy Taylor

might be distant. Such a thing as fiat money has never existed
as a proposition embodied in legislation. Nevertheless, the issues
of government money that have not been paid, or the payment of
which has been either formally or tacitly renounced, have been
very numerous, and the term fiat money has been attached to
them. We shall give a very brief statement of the arguments
for and against the issue of government money, and follow it by
some discussion of the regulation of banking by government.

Among the advantages of government paper money has been
mentioned the saving of interest for the government, since by
that means it is able to make a loan free of interest, whereas, if it
borrowed upon bonds, it would have to pay interest. But this
advantage is far overbalanced by the swollen debts 1 incurred in
depreciated currency, that is to say, really at high rate of dis-
count. It is also stated that government money is uniform and
avoids multiplicity of issues by different banks ; but in answer to
this it may be said that it has been found easy to cause private
banks to reduce their issues to uniform appearance and denom-
ination, and that government guaranty of private bank notes gives
them a uniform exchange value, if the government is a sound one.

It is true that, in times of war, finance ministers have frequently
resorted to issues of government paper. The argument has been
made that it was necessary. That argument was made with espe-
cial cogency at the beginning of the civil war in the United States.
Here and there a rigorous economist of the orthodox school, like
Professor Simon Newcomb, the economist-astronomer, raised his
voice in protest. 2 It was claimed that the credit of the govern-
ment in the form of paper money was no better than in the form
of bonds, while the paper money, by virtue of its legal tender
quality, caused the circulation and prices of the country to fluc-
tuate in value with great violence and brought an unnecessary
uncertainty into business. This, indeed, is the strongest indict-
ment against government paper money. It is worthy of note that

1 Professor W. C. Mitchell estimates the loss of the United States Treas-
ury from this source, on account of the civil war, at over one-fifth of the
war debt. History of the Greenbacks, p. 419.

2 A Critical Examination of Oar Financial Policy during the Southern
Rebellion. Appleton, 1865.

222

Financial Legislation in Principle and in History 3

the most enlightened governments have been able to restore or
preserve a good medium of exchange even when the credit of the
country was heavily strained. For instance, the Russian and
Austrian governments, without any notable reduction of the pub-
lic debt, have in recent years restored their money system to a
fairly sound condition.

Nevertheless, at the moment of catastrophe, when means of
somehow coming to a temporary understanding with a vast body
of creditors that have suddenly sprung up, as if from the dragon's
teeth sown by Cadmus, seem to be imperatively needed, it has
been found impossible to avoid a temporary issue of paper money.
This was true of the French government at the time of the
Franco-Prussian war. It is to be remarked, however, that the
French paper money was issued, not directly by the government,
but as notes of the official state bank. One can see that it is sim-
pler for the government, under such circumstances, to give vis-
ible receipts for the services performed by contractors and soldiers
than it would be to keep a book account of such vast debts.
Under such circumstances, it is incumbent upon the government
to fund such receipts or warrants as quickly as possible, in order
that the evil effect of their use as a circulating medium may be
speedily terminated. Accordingly, the French government began
its payments to the bank as early as the year 1874, in order to
enable the latter to contract its issues, and resumption of specie
payments was effected early 1 — January 1, 1878 — whereas, not
until a year later did the United States resume payment of debts
that had been put into the form of government money ten years
before the Franco-Prussian war.

It was said by Professor Newcomb 2 that the national banks
were not an improvement upon direct loans by the government,
as a means of borrowing by the issue of paper money, since their
credit would depend upon the credit of the government, so long
as their reserves contained government paper money rather than
specie. In time of war, however, if the exigency of the moment
is very great, finance ministers resort to all sorts of expedients,

Dunbar. History of Banking, p. 143.
2 Op.cit, ch. VIIT.

223

4 W. G. Langivorthy Taylor

and, in our country, a great many different forms of money were
invented in order to avoid the appearance of an over-issue of any
one kind. This was as truly a means of deceiving the public as
many resorted to by promoters of private schemes.

One of the greatest disadvantages of government money issues
is that, in the present state of public knowledge on such matters,
they cater to a popular misconception as to the nature of the cir-
culating medium, namely, the idea that if anything can be made
to work as a circulating medium it must also be a successful and
trustworthy standard of -value. The public is quite willing to be
deceived as to the circumstances in which the function of a cir-
culating medium may be separated from that of a store of value.
However, that disadvantage may be gradually remedied ,by
education.

Another disadvantage, perhaps greater, is inelasticity of gov-
ernment issue. Even where banks are compelled to put up bonds
as a guaranty for their circulation, there is visually some provision
for expanding or contracting the currency, even though that may
take place slowly. Where the government establishes a state
bank and merely interferes in its operation through appointment
of its officers, as in France and Germany, the circulation may be
highly elastic ; but where the government issues paper money to
pay for supplies and services to the government, taking back the
paper money again simply in payment of taxes or of certain kinds
of taxes, there is no possibility of expanding and contracting it
according to the needs of business. It has been, indeed, proposed
that the currency should be systematically contracted and ex-
panded according to the price of gold, but it will be noticed that
the changes in the volume of currency effected by this artificial
manipulation could not take place until after the price of gold
had fluctuated ; consequently some fluctuation in the value of the
circulating medium would occur before means could be taken to
restore the disturbed parity between the paper money and the
gold. The remedy is based upon the hypothesis of a disease.

But the whole fallacy of the proposition lies in the simple fact
that we have here an attempt to supplant a private circulation by
a public circulation. This, in the nature of things, can never suc-

224

Financial Legislation in Principle and in History 5

ceed, for it has already been demonstrated that the circulating
medium of the country consists in the guaranties accompanying
private business contracts. Those guaranties are there and must
be there to do the work. They can not be excluded, except by
stopping the work of circulation altogether, or at least by stop-
ping the creation of the congeries of contracts which is necessary
to uphold the structure of business. In order to carry on busi-
ness without such contracts, it would be necessary that every par-
ticular act of production, down to the smallest, should be directed
from a central bureau. Such a state of affairs would amount to
a prohibition laid upon private arrangement and private con-
tracts, or, in other words, to an abolition of all thought or respon-
sibility on the part of the people. But there is nothing too absurd
for the imagination of scheme makers. Fortunately, in the United
States, where government money circulates, it has been impos-
sible to prevent dealing in deposits or entirely to exclude the use
of bank notes.

The government is not a producer of industrial values, in the
ordinary sense of the word. It is not to be denied that govern-
ment does produce the values of security, of the administration
of justice, of public recreation ; it also does produce some indus-
trial values in the shape of lighthouse protection, regulation of
rivers, building of roads, and sometimes the building or owner-
ship of canals and of railroads, and even of theaters ; but one can
readily see that these undertakings will not be pushed forward at
periods which will correspond to the fluctuations in private busi-
ness. In fact, public works are often carried on in periods of
depression, in order to give work to laboring men. However
beneficial such charitable activities may be, it is not perhaps to
the benefit of commerce that attempts should be made to expand
the circulation at a moment when the healthy action of the organ-
ism of business requires contraction. Moreover, the product
which the government elaborates is not sold in the market for
goods ; it is apparently given away. Payment comes in the form
of taxation. If the government apparently pays for these gOod
things with paper money, the paper money must be redeemed
some time or other bv means of taxation. Ordinary business

22^

6 W . G. Langworthy Taylor

credit is taken up when the goods are sold and new government
credit is substituted. The substitution of payment by means of
taxation for payment by means of sale and liquidation with fur-
ther organic credit is like the mixing of oil and water. The
movement of government credit does not correspond with the
movement in private credit and is a decidedly disturbing factor.

For instance, preceding a crisis, it is highly desirable for specie
to be exported from a country, in order that bankers and other
debtors may be stimulated to exert a pressure upon those who, in
turn, owe them, and thus, throughout the whole credit structure,
responsibility be encouraged and bad business be weeded out.
The crisis should thus be averted by its early precipitation. Sim-
ilia similibus curantur! In a country, however, even with such
a small proportion of government money as has the United States,
it has been found that this money has left the reserves of the
banks and floated to the seaboard in attempts to cross the ocean,
but, like the potato bug, has been unable to do so. There, heaped
up in the vaults of banks in the great seaports, it has encouraged
speculation at a moment when that should have been discouraged.
The bears in Wall street readily seize a period of depression com-
bined with easy money to hasten on a catastrophe which other-
wise might have passed over with a moderate and reasonable
period of liquidation. 1 The disadvantage from government that
flows from its depreciation and the consequent ruin of creditors
has been so often exemplified in history and has been dwelt upon
so much that we hardly need to discuss it further.

Probably one thing that induces the public to vote for govern-
ment paper money is the idea that government credit is better
than private credit. Undoubtedly, in time of peace, government
credit is better than that of most corporations, but it certainly is
not better than that of the whole business community, whose
credit, as we have seen, is generalized in the circulating medium,
so that each portion of the latter depends upon the solvency of
the whole.

Another popular fallacy, which has supported the policy of gov-

1 F. M. Taylor, Do We Want an Elastic Currency? Political Science
Quarterly, vol. 11, March, 1898.

226

Financial Legislation in Principle and in History 7

eminent paper money is the total misapprehension as to the
organic origin of money. This mistake is unavoidable, since the
perception of the truth in this matter requires no ordinary ability
and education. It is a point, like excessive protection, on which,,
perforce, we must resign ourselves, to wait for the growth of pub-
lic opinion. It is popularly supposed that money "represents"'
present goods, and that it acts as a circulating medium for this
reason. Hence the whole brood of propositions that have been
made and attempted to be enforced, from early times, to "coin all
the production of the country into money."' It has been looked
upon by several party conventions in the United States, as a self-
evident proposition, that the money of the country represented
its produce, and that, therefore, the value of the produce should
be coined in order to circulate it. It was not supposed that a
proposition of that sort needed the slightest discussion ; it was
not supposed necessary to stop for a moment to be more precise
about the word "represent." This is a point that even students
of political economy have not squarely met. The recent develop-
ment, however, of the theory of subjective values enables us to
make the deduction that money does not represent the present
goods, but represents future goods, and consequently the infla-
tionist's argument, so far as it is grounded on a false quantity
theory and neglects the natural, organic genesis of credit in unex-
ecuted contracts, falls to the ground.

Another objection to government money is that, while there is
a gain in payment of interest, the usual depreciation of it puts
upon the shoulders of the government, when the day of reckon-
ing arrives, a burden far out of proportion to the values received.
For instance, it is estimated that the United States has paid sev-
eral times what the civil war cost, on account solely of the depre-
ciation of the paper money issued. Private parties lose on any
money which they happen to hoard, not only the depreciation, but
also the high interest that they are compelled to pay if it is bor-
rowed, in order to make up to the creditor, who expects to be paid
in such money, for the depreciation of his principal. Creditors
lose in so far as they have not foreseen the extent of the depre-
ciation. Curiously, when paper money begins to depreciate, the

227

8 IV. G. Langivorthy Taylor

argument is always made that more money should be issued, in
order to lower the rate of interest. Doubtless, before deprecia-
tion is very pronounced, a small additional issue of money will
have a temporary effect to lower the rate of interest in the local-
ity where it is issued ; but, when the depreciation is rapid and has
gone very far, probably no effects of this sort would be noticed.
Finally, an issue of government paper money is a confession of
bankruptcy on the part of the government; it probably tends to
lower the government credit more rapidly than the issue of gov-
ernment obligations in any other form. It is astonishing what a
vast quantity of government bonds can be absorbed, if only some
time be given in which to issue and market them, whereas the
field for government issues of paper money is strictly limited.

Passing now over to the question of government regulation of
private credit, we shall confine ourselves chiefly to government
regulation of the most . prominent credit institutions, namely,
banks. The following is a short account of the development of
the credit theory as applied to banks, of the growing appreciation
of it by governments and by bankers, and, in general, of the at-
tempts to bring bank regulation into conformity with the real
needs of banking. It will be seen that this question, like any
other, presupposes a knowledge of the facts before it can proceed
to intelligent discussion, and that, when the facts are once
known, the hardest parts of the discussion have already been
accomplished.

Here we may pause to remark that what is known as theory,
and often condemned as such, is really nothing but an attempt to
■get at the facts. To a person that has not made this attempt it
appears to be unnecessary, because the facts are supposed to be
self-evident or to depend simply upon observation. On the con-
trary, facts are not self-evident, and they depend upon an obser-
vation which, to p say the least, can not be made with the outer eye.
The facts once agreed upon, the measures of government to be
taken will depend upon abuses that have been experienced, but
also upon the popular conception of what the facts are. The
measures taken by government upon the facts connected with a
particular form of social service, such as banking, are never the

228

Financial Legislation in Principle and in History 9

same as they would be if the people at large had a different or
more correct idea of what the facts were. A law is a compro-
mise between the popular error as to what the facts are and what
would otherwise be the logical conclusion from the facts
themselves.

Misconception as to the organic nature of credit has given rise
to discussions concerning the elasticity of the circulating medium,
and especially of bank money. The clearing up of this discussion
has depended upon the working out and popularizing of the idea
that "business makes money." In England, William Dunning
McLeod, and in the United States, Professor Charles Franklin
Dunbar, are chiefly to be thanked for the prominence they have
given to this principle. It has been, however, extremely difficult
to bring it into a clean-cut form, even with the help of catchy
phrases. The supposed distinction between notes and deposits
has been the stumbling block in the way of a clear conclusion,
for the theory of banking does not contrast them with each other,
but both with reserves. The popular materialistic preference for
notes and the perverted term "deposit" have led to endless
confusions.

Originally, a banker was a dealer in money. He sat behind a
table or "bank" holding his money, and was little more than a
money changer. It became easy, however, for him to do busi-
ness in exchange, in other words, to buy and sell money for future
delivery ; and in that way he made loans, but these operations
were looked upon purely from the materialistic side. The notes
and deposits that he soon learned to give in making his loans
were called "money." The financial world, even up to the top,
has always been obsessed by the tyranny of this verbal confusion
between the bailment of material money in return for hire, anal-
ogous to the hiring of a horse at a livery stable, and the making
of promises for future delivery of money, instead of perceiving
that those promises for future delivery were not meant to be car-
ried out literally, but were simply used by business men as a guar-
anty for the fulfilment of business contracts. Money theories
have kept as closely as they could along popular, materialistic
lines, and have treated notes and deposits as money, and looked

229

io W. G. Langzvorthy Taylor

upon their value as subject to the same laws as those to which a
commodity is subject. Among- the inflationists, the fallacy per-
sists in a crude form, "that money is what money does," that is
to say, if the circulating function is established, the standard of
value function will take care of itself. And the further fallacy
persists that a bank deposit is practically money, because it is
supposed to represent money deposited in a bank, whereas the
literal deposit of money in a bank is but a survival of an ancient
and superseded business, out of which banking indeed sprung.
However, so far as application today is concerned, the notion is
as fallacious as is the other that a laboring man is a slave because,
in ancient times, labor was done by slaves, and because it may be
historically true that the laboring man is evolved from the slave.
It is along this line of popular thought that everyday language
calls a bank loan a loan of "money," and assimilates it to the hir-
ing of a livery team. The banker is popularly supposed to be a
dealer who takes people's money on deposit, that is, for safe-
keeping, and loans their money out again (lay great stress upon
"again") ; whereas observation shows that there is no more than
the slightest grain of truth in that idea. One would think that
universally the introduction of the business of the safe deposit
company, the facilities of which are often used for deposit of
specie, would cause people to inquire as to the difference between
this revived old deposit business and the modern guaranty busi-
ness ;• but when a form of speech is once rooted in the language
it is almost impossible to eradicate the fallacies that cluster about
it. A large part of the work of students in the political sciences
consists in showing that new meanings attach to old terms. It is
most curious that the misapprehensions here again alluded to
should prevail in the face of the fact that almost everybody deals
with a bank nowadays. He knows that the largest part of his
deposits come from his borrowings in his business. Why should
he not draw the natural conclusion that the orders which he de-
posits come also from loans made by the persons who have made
payments to him? A simple illustration of this sort shows the
crying need for economic, and especially for financial, education.
Although banking business has been developed in practically its

230

Financial Legislation in Principle and in History n

present form for two centuries, the popular theory is still that of
the money changer on the Rialto ; and yet the economist is per-
petually met with the question whether there is any practical ap-
plication of economic theory.

While the banker, himself has accepted some of the false con-
clusions of nominalistic reasoning - , he has rejected others, and is
gradually emancipating himself from the rest. Under the direc-
tion of arbitrary legislation, he opens his profit and loss account
on notes separately from that on deposits ; he looks upon his notes
as issued, not for loans, but for bonds, in this country, in the face
of the obvious fact that he buys his bonds with his capital; and
in foreign countries, where the deposit business is little developed,
he looks upon deposits as a special warehousing business, al-
though he takes the right view there of his notes. And he is only
now, after years of false conservatism and confused timidity,
receiving his education on the similarity of the note to the deposit,
through the efforts of a few statesmen like the Hon. Charles N.
Fowler of New Jersey.

As usual in any campaign of education, it has been necessary
to educate the banker up to this point by inventing the new and
again inaccurate phrase, "an asset currency." This phrase has
taught the bankers of the United States that bank notes are
merely issued in exchange for individual notes, in precisely the
same sense as deposits are exchanged for individual notes, a
point that was fully explained by Dunbar and McLeod thirty or
forty years ago. It remains to educate the banker and the public
as to the peculiar guaranty that this exchange amounts to.

In legislation on the subject of banking we must expect to find
some progress, and, as already intimated, we do find it. Dis-
tinctly, the discussions of- the nineteenth century have led to
clearer ideas and to some improvements in legislation. The in-
fluence of professors of political economy and of closet students
of finance has been, of course, quite indirect. Even what college
students have learned on this subject in the last twenty-five years
has not been clearly retained by them when in the later hurly-
burly of life ; and under the pressure of the practical need of the
moment they have often lost the general bearings of what they

231

12 IV. G. Langworthy Taylor

had been taught. Clearer ideas on any public topic involve a
modification of our ideals, and this modification, in turn, leads
us into a course of conduct more in conformity with the actual
conditions. These conditions, as already implied, consist not only
in the physical opportunities afforded by the physical plant of
modern life, but also in habits and customs which, whether they
be reasonable or unreasonable, are even more slowly modified
than the conceptions which we have just shown are changing to
suit circumstances.

One such fixed form of thought is as to the special nature of
the banking business ; that it is much more important than any
other business, since it involves control of all businesses. While
that view is partly true, doubtless it is exaggerated and leads to
exaggerated conclusions. Is the banking business so different
from all other business that all the demand liabilities of the bank
should be guaranteed by the government? It has been customary
for some governments to guarantee the note issues of their banks,
or to provide, in banking legislation, that the state bank shall
itself put up a guaranty fund for the notes rather than the de-
posits. And from this the step seems very easy to the putting up
of a guaranty for all of the demand obligations, that is to say,
for the deposits also. Some countries, like France, do not guar-
antee even the note circulation. It is significant that the Bank
of France, which already has the largest note circulation and
whose business is practically entirely a note business, is subject
to no legal regulation, except a nominal upper limit of note issue,
and that this same bank carries the biggest reserve of any bank
in the world. In other words, without legislative provision, it
takes the greatest precautions to safeguard its demand obliga-
tion. It is only fair to say that the governor of the bank is ap-
pointed bv the government and that there is considerable room
here for government interference. 1

But the business of raising potatoes is a business of public in-
terest, — everybody consumes potatoes. Potatoes are needed even
more than bank loans. Why should not the government guaran-
tee the price of the potato crop? The proposition for the state

Dunbar. Chapters on Banking, 52.

232

Financial Legislation in Principle and in History 13

to guarantee all bank deposits in this country is unfavorable to
the principle of private enterprise ; but the proposition to encour-
age banks voluntarily to organize themselves into a guild for the
defense or insurance of their notes and deposits may be a reason-
able one in the present state of public opinion on finance and in
the present tendency of businesses and classes toward separatist
organization. 1 Such a scheme could not be one of "free bank-
ing." The guild must pass on its own membership.

So long, however, as the idea generally prevails that a deposit
is evidence of money given to the banker, and that the banker
loans out the money deposited, and also the other inconsistent
idea, that paper money, whatever be its source, is a long-time
standard of value, those ideas will necessarily influence legisla-
tion and constitute a part of the restrictions which hinder rather
than further business. It is impossible to obtain legislation in
advance of the movement of popular opinion. This is a wise
provision of an over-watching Providence, which has put the
welfare of the whole people above that of any particular insti-
tution, such as banking, and which decrees that the imperfections
of particular institutions shall not be removed until the whole
people has been educated up to the highest point.

There have been two great questions to work out in banking
legislation : one as to the elasticity of the currency, and the other,
subordinate to the first, as to the approximation of notes to de-
posits. In early times, notes were used almost exclusively. The
deposit business came in gradually, and for a long time it was
not considered that a business in deposits was really banking;
and when the question of the influence of credit upon crises first
arose, bank credit was almost entirely in the form of bank notes.
On June 8, 1810, during the suspension of specie payments in
England, at the time of the Napoleonic wars, an investigation
into the operations of what was known as the bank restriction
act of 1797, whereby the Bank of England was allowed to refuse
payment on its notes, and in consequence of which the price of

1 For an account of the workings of the Oklahoma deposit guaranty
law, vid. W. C. Webster. The Depositors' Guaranty Law of Oklahoma,
Jour. Pol. Econ., vol. 17, no. 2, Feb., 1909.

233

14 IV. G. Langworthy Taylor

gold and the price of exchange rose considerably in England, led
to the making of the famous Bullion Report, which is, perhaps,
the most masterly document that ever issued from a legislative
committee.

The most of the Bullion Report is occupied by a convincing
argument that the rise in foreign exchange and in commodity
prices was due to inflation of Bank of England notes, as a conse-
quence of the exemption of the bank from the obligation to pay
specie on demand. The key-note of the report is that financial
legislation is interference, and that "sound money" is furthered
by leaving the banker exposed to his natural obligation as
a debtor. But the Bullion Report saw clearly the need of loaning
according to the demands of business ; in other words, that busi-
ness makes money, that the amount of loans is practically equal
to the amount of business. And it went further and indicated
that deposits performed the same function as notes. This state-
ment at that early period is so remarkable that it deserves
quotation :

"The effective currency of the country depends upon the quick-
ness of circulation and the number of exchanges performed in
a given time, as well as upon its numerical amount ; and all the
circumstances which have a tendency to quicken or retard the
work of circulation render the same amount of currency more
or less adequate to the amount of trade. A much smaller amount
is required in a high state of public credit than when alarms make
individuals call in their advances, and provide against accident
by hoarding; and in a period of commercial security and private
confidence, than when mutual distrust discourages pecuniary ar-
rangements for any distant time. But, above all k the same amount
of currency will be more or less adequate, in proportion to the
skill which the great money dealers possess in managing and
economizing the use of the circulating medium. Your commit-
tee are of opinion that the improvements which have taken place
of late years in this country, and particularly in the district of
London, with regard to the use and economy of money among
bankers, and in the mode of adjusting commercial payments,
must have had a much greater effect than has hitherto been

234

Financial Legislation in Principle and in History 15

ascribed to them, in rendering the same sum adequate to a much
greater amount of trade and payments than formerly. Some of
those improvements will be found detailed in the evidence : they
consist principally in the increased use of bankers' drafts in the
common payments of London; the contrivance of bringing such
drafts daily to a common receptacle, where they are balanced
against each other ; the intermediate agency of bill-brokers ; and
several other changes in the practice of London bankers are to
the same effect, of rendering it unnecessary for them to keep so
large a deposit of money as formerly." 1

The Bank Act of 1844, known as Peel's act, professed to be
founded upon the principles of the Bullion Report, which, how-
ever, in some respects, was profoundly misinterpreted by the act,
for the Bullion Report was infused with the spirit of freedom
that prevailed at the time that it was written ; whereas Peel's act
endeavored to restrict the issues of the bank within the narrow-
est limits. The Bullion Report understood that notes were issued
in response to the needs of commerce, whereas Peel's act looked
upon the issue of notes as an issue of money. Peel's act, there-
fore, looked upon notes as a standard of value, whereas the Bul-
lion Report looked upon them as a means of circulating goods.

The act fell into this error, doubtless, also, through the influence
of the materialistic reasoning of the economist Ricardo, whose
doctrines, correct as they are in many respects, and hedged about
with every safeguard against absurdity of conclusion, neverthe-
less gave a wrong turn to analysis of money and credit. Ricardo
was trying to account for the level of prices, and jumped at the
apparently obvious conclusion that the contraction of the amount
of paper money affects the level of prices in the same way that
it is affected by the similar movement of metallic money. 2 Peel's
act, accordingly, sought to make every paper pound in circula-
tion as good as a gold pound. It required that for every pound
of paper money, i. e. Bank of England notes, issued, a corre-

1 The Bullion Report, Sound Currency, vol. II, no. 14, p. 23. Vid. also,
W. G. Sumner's History of American Currency,, Appendix.

2 David Ricardo. Principles of Political Economy and Taxation (E. C.
K. Gonner, ed.), par. 125.

235

i6 W. G. Langworthy Taylor

sponding pound of gold should be put in the reserve. Doubtless
the effect of this legislation was to accelerate the use of deposits,
since no real credit business could be done under legislation of
this sort.

In order to drive this legislation to its logical conclusion, let
us suppose, for instance, in this country, that a "popular" policy
should require the banksto put up a dollar of gold for every dol-
lar of deposits that appeared upon their books. Unless some new
financial expedient were immediately discovered whereby busi-
ness guaranties could continue to be independently made, it is
little exaggeration to say that business enterprise would come to
a standstill, and that the lawyer would have to make his own
shoes, and the shoemaker would have to plead his own cause,
until, at least, the antiquated money system could be resurrected.
But is is not probable that any such extravagance will be legis-
lated, for the simple fact that the logic of events is more power-
ful than the logic of the street corner. Business must have its
guaranty, no matter what the politicians, or the legislatures, or
the statute books think about the matter. Government guaranty
of deposits also is calculated to weaken free competition and
hence responsibility in banking. It gives the politician-banker
an advantage over the tried, experienced banker, and discourages
the latter.

We must look upon the Bullion Report as an academic produc-
tion, and upon Peel's act as an attempt and a beginning of legis-
lative reform. It is admitted to have had the good effect of stim-
ulating the banking department of the Bank of England to keep
a larger reserve in time of crisis, and thus, indirectly, to have
brought into greater prominence the difference between circu-
lating and guaranty functions. The act also recognized that in-
flation comes through credit, although it made the big mistake
of thinking that it comes solely from expansion of notes ; for it
attempted to prevent crises by restricting the issue of notes alone.
The banking department, consequently, was caught with an in-
sufficient reserve against deposits several times thereafter, until
it learned its lesson from experience. It had little to learn from
the act.

236

Financial Legislation in Principle and in History 17

The first two United States Bank acts, those of 1781 and 1816,
recognized the resemblance of notes to deposits to this extent,
that they did not mention the distinction between the two in lim-
iting the amount of obligations into which the bank might enter
to twice the capital together with the reserves; but, as already
mentioned, deposits were in those days insignificant in this coun-
try as well as in Europe, and probably were not thought of espe-
cially in the framing of that provision. The present National
Bank Act made formally a backward step by restricting its guar-
anty fund to the notes loaned. Of course, it could not have guar-
anteed deposits by a dollar-to-dollar guaranty. The mention of
notes at all is a symptom that deposits were, by that time, 1864,
becoming more important. But the act made a step forward in
limiting the amount of notes loaned to the capital, and thus al-
lowing obligations in the form of deposits to be increased indefi-
nitely. Finally, in 1894, under the stimulus of the general
financial discussion that was going on in the country, a plan was
presented at the annual meeting of the American Bankers' Asso-
ciation, held in Baltimore, which proposed to do away with the
deposit of government bonds as security for the notes, but to
secure the notes by a guaranty fund to be raised by a tax upon
the bankers as a guild.

This idea is bearing fruit and has thoroughly permeated recent,
general, intelligent discussion of the banking question. Men are
beginning to ask. Why should bank notes be absolutely secured,
especially when bank deposits are not thus secured and can not
be? It is true that reformers of the more popular order, taking
the other horn of the dilemma, are asking why should not bank
deposits be made just as safe as bank notes? In general appre-
ciation of intelligent people, the "banking principle" in spirit is
now getting the upper hand above the "currency principle." The
movement is not confined to this country. "The proposition to
make a rigid requirement to invest deposits and reserves in abso-
lutely good securities is not a new one ; but it is impracticable.
Among other bad effects, it would completely paralyze a bank
which desired to make a judicious investment of the resources
that it had acquired from third parties ; good bills of exchange,

237

1 8 W. G. Langworthy Taylor

drawn by solvent persons, are preferable to a portfolio full of
stocks and bonds subject to the fluctuations of the stock exchange
and which could not be sold on a falling market in the case of a
crisis. Almost all banks invest temporarily in government bonds,
but the English banks have learned to their cost the disadvantage
of holding English consols for the last two years. Those banks
have been compelled to change their investment in order to stop
the effect of the depreciation of the 'best security in the world,'
which had fallen in a few years from 114 to 911" 1 While the
language of Raffalovich is that of business rather than that of
science, it shows plainly the evils of banking on bonds, and, inci-
dentally, of government interference in the banking business.
The same point has been made by Juglar.

It may be noted in passing that the object of American legis-
lation with respect to banks has been different from that of Eng-
lish. In England it has sought to prevent crises by making
inflation impossible; in the United States the object has been
more democratic, namely, to provide absolute security for the
circulation. It has been supposed that notes were more used by
the common people, and hence more deserving of protection.
Protection of this sort, however, has been accompanied by ine-
lasticity. It would appear, at first sight, that the small circula-
tion in the United States, compared with the business done with
deposits, would make the question of elasticity of the circulation
of comparatively little importance. There is much truth in this
view, and perhaps that is one reason why the country has been
so behindhand in obtaining better legislation upon the circula-
tion. Nevertheless, as Dunbar aptly remarks, 2 we can not tell
how large the circulation might be if it were not restricted by
the requirements of bond deposit. This is only another way of
saying that legislative regulation confining its attention to notes,
like that contained in Peel's act and in the national bank act, has
stimulated unnaturally the growth of the deposit system. Are
we to infer that when legislators thoroughly interest themselves

Arthur Raffalovich. Marche financier, 1901-2, p. 62.
2 Op. cit., p. 75, sqq.

238

Financial Legislation in Principle and in History 19

in deposits also, the banking business will be destroyed? How-
ever, everything points to the view that the deposit system must
ultimately almost entirely supersede the circulation. So long as
circulation is wanted, however, it should be properly regulated,
if regulated at all, and should not be regulated in such a manner
as to derange the level of prices and the rate of interest, or to
stimulate stock speculation.

The law of June 3, 1864, under which the national banks of
the United States were organized, constituting really the third
national bank of this country, abolished the limit of bank indebt-
edness that had been set for the first and second United States
banks. This change may be looked upon as a distinct advance
in the line of elasticity of bank obligations, and, in view of the
restrictions imposed on the circulation, as a decided favoring (or
neglect) of deposit business. On the other hand, it followed the
prevailing fashion in concentrating the regulating and paternal
care of government upon circulation, following in this respect the
so-called "free banking system" of New York, as well as Peel's
act. The inconveniences connected with this sort of regulation
were keenly felt by the business world at the time of the rapid
payment of the United States national debt under secretaries
Manning and Windom in the ninth decade of the last century.
As the debt was paid off. the bonds deposited for secured circu-
lation were rapidly retired, and the circulation with them.

Consequently, in 1894, the convention of financiers in Balti-
more formulated a new plan, henceforth known as the Baltimore
Plan, which proposed to follow the so-called "safety fund sys-
tem," also of New York, the. central idea of which was simply
the formation of a fund to secure the circulation through a tax
upon the banks. This proposition, of course, marked a step to-
wards more ideal conditions, for it removed the government guar-
anty, and to that extent placed the circulation more on an equality
with the deposits, and gave it freedom of expansion. But it was
merely a project, and, as such, was the starting point of a long
agitation, the end of which has not yet been reached. This move-
ment was followed by the Indianapolis Convention of January,
1897, which discussed thoroughly the principles of monetary

239

20 W. G. Langworthy Taylor

finance from a scientific point of view, and made progressive
recommendations. 1

After the strenuous monetary political campaign of 1896, and
in view of the then impending campaign of 1900, congress was
compelled to take action upon the action of the currency, and
passed the Act of March 14, 1900, which is a monument of timid-
ity. The first object of the act was to secure the gold standard,
and this it sought to do by increasing the treasury reserve against
government notes, and by giving to the United States Treasurer
additional facilities of borrowing in order to maintain it. The
best way to maintain the gold standard would undoubtedly be to
abolish government paper money altogether, and to enforce
strictly redemption of bank circulation by the banks themselves.
It was not, however, felt that the country was ready for such a
liberation from financial swaddling clothes; the labors of a long
series of monetary reformers were neglected. So the act made
a slight move towards greater note elasticity by allowing the
banks to issue notes up to 100 per cent of the bonds deposited,
instead of the 90 per cent theretofore permitted, by allowing
them to reissue notes just after they had retired them, instead of
the period of delay which a law of 1882 had prescribed, by re-
ducing the tax on circulation, and by reducing the interest on
the bonds put up as security. Action of this sort is noticeable
for our purposes chiefly as showing that the question of elasticity
of the currency was under actual discussion, and that the legis-
lature, although reluctantly, was compelled to acknowledge the
pressure of enlightened ideals.

The Hon. Charles N. Fowler has, in a series of often amended
projects, offered to the country a measure of real reform, and
must be looked upon as one of the best educators of public opin-
ion to be found in political circles. Even his proposed bills do
not go to the full extent of complete freedom of issue, but are
largely influenced by the German model. He proposes to remove
the bond guaranty ; he advocates the safety fund ; and, until his
last bill, he proposed to tax additional note issues at an increas-

1 Vid. Report of the Monetary Commission of the Indianapolis Conven-
tion, 1898, by J. Laurence Laughlin.

240

Financial Legislation in Principle and in History 21

ing rate. For some reason he has advocated, in his latest propo-
sition, a uniform tax on all issues.

The safety fund principle would appear to be in accord with
the political movement of the times. The tendency now is for
all interests to unite, each in its own domain, thus forming sep-
arate guilds or economic classes. The consolidation of the labor-
ing classes into national trade unions on the one hand, and of
almost numberless manufacturing interests into national and in-
ternational trusts, on the other hand, is an evidence of this spirit
of the age. That legislation should go along to help the banks
to combine into one national guild is not surprising, although
quite inconsistent with the protestations of the legislature that it
is deeply concerned to maintain competition which is understood
by it to mean "small businesses." The law recently passed by
the United States congress, 1 facilitating the union of banks in
different sections of the country, is quite along this line, and, in
this political sense, indicates a movement in advance, although
the requirement of deposit of the private notes' purchased with
the emergency circulation is retained. These local associations,
however, are trivial affairs, as they only have authority over the
emergency circulation, which is to be taxed 10 per cent per an-
num. Mr. Fowler has also proposed that the banks should as-
sume the redemption of the United States notes, and had pro-
vided a measure by which the latter should finally be paid off by
the banks without expense to the government. But this enlight-
ened provision has also been dropped.

We must content ourselves with this brief sketch of legislation
on the subject of credit, designed less for information about the
various acts mentioned than to afford some notion of the extent
to which the organic conception of credit is getting a foothold.
History of banking legislation is only one phase of the history of
corporation legislation in general. Corporations were originally
chartered in order to secure the benefits that would accrue to a
large number of different persons of moderate means who might,
by laying thei/ capitals together, create a fund adequate to the

1 Approved May 30, 190S.

241

22 W. G. Langworthy Taylor

size of the enterprises of exploration, trade, and manufacture,
which the growing markets of the modern world invited. In-
deed, it has always been possible for persons of means to do this.
The first encouragement from governments consisted, however,
in privileges of monopoly and of the exercising of sovereign
power in foreign parts, which made it seem more attractive and
safe for these large partnerships to be constituted. Subsequently,
the principle was extended to the more modern business enter-
prises of manufacturing and banking. It was noticed that the
associates often suffered very seriously from legal responsibility
which they were subject to with respect to enterprises over which
they had little or no control, and with which they had little or no
connection, except the important fact that, through the society
they had formed, they contributed to them their capital. The
idea that responsibility for management was all too strictly asso-
ciated with contributions of capital was awakened by the fact
that many of the contributors were women and minors, persons
that were not supposed to be fully competent in business matters,
and therefore deserving of the protection of the law. Conse-
quently, a general course of legislation was entered upon in all
countries, tending to render the associates in business enterprise
free from responsibility for the failure or mismanagement of the
enterprise, beyond the sums which they had severally contributed,
or, as in the United States National Banks, beyond a limited
multiple of such sums.

Thus, the legislative encouragement towards the laying to-
gether of capitals was followed by a separation of economic in-
terests from economic responsibility, and out of that weakening
of individual responsibility sprang up bad management, incapac-
ity, flagrant abuse, and peculation. The attempt to cure the
second series of evils was not met by removing the original
cause, 1 namely, the privileges and immunities whereby the asso-
ciates were induced to come together. Doubtless that could not

Parallel with this remedying of the evils of limited liability of stock-
holders by a system of checks and balances is the remedying of the evils
of note-inelasticity by a mechanical note-redemption enactment. The re-
quirement of a pledge of bonds made the notes inelastic. The radical cure
lies in the repeal of the requirement, as proposed in the Fowler bill.

242

Financial Legislation in Principle and in History 23

be done. The world needs large capitals, and in the event of the
failure, say, of the United States Steel Corporation, it would
seem ridiculous to exhaust the little remaining property of a man
of small means simply because he owned a share or two in that
corporation.

However, enlightened legislation should look partly in that
direction. If the responsibility of the shareholder were greater,
persons would be more careful in putting their means where they
would have little influence in the management of them, and while
the amount of capital brought together might be somewhat less,
with that lessening the growth of monopoly would be checked,
and the tendency would be to make the management more con-
servative. But our modern legislation seeks to cure the evil, not
by removing the cause, but by an elaborate system of palliatives,
a system of "checks and balances," by inspection, by registration,
by sworn prospectuses, by prescribing the substance and form of
the organization, and, finally, by official valuation of the assets.
Perhaps, in the view of the state of public opinion, that is the
best that could be done. Certainly there are ways of doing this
well, and of doing it ill. European countries have been more
thorough in this detailed legislation- than the United States, al-
though the United States is moving rapidly in the direction of
elaborate checks and balances. It is to be noted that the Euro-
pean laws, excellent as they are and formulated by mixed com-
missions of legislators and economists, after inter-parliamentary
sessions lasting many years, have been unable to prevent many
cases of most flagrant abuses of trust, on the part of banking and
other institutions, from arising. The involving of the Leipziger
Bank in the failure of the Cassel Trebertrocknung concern was
one of the most notable cases of this sort in recent years. "In
Germany the great banks take a very active part in industry and
commerce. Naturally the risk is very great, if the directors and
officers are unable to resist temptation. This is the price
that must be paid when financial institutions make industrial
investments."' 1

Banks, along with other corporations, have gone through all

'R'affalovich, op. cit., p. 54.

243

24 W . G. Langivorthy Taylor

of the stages of attempt to cure the results of bad theories of
paternalism with more paternalism, — of attempts to increase com-
petition by regulation of the form of business, rather than (what
is the manifest duty of legislation) by simplifying, expediting,
and sharpening remedies for wrong doing between man and man.
Democratic tenderness at the possibility of offending a citizen
who is a voter has played its part in this misdirected legislation,
which has erected the corporation as a man of straw which can
be clubbed when anything wrong happens, and thereby the sense
of justice be appeased for the moment, at least, by the erroneous
impression that an evil-doer has been punished.

The object of legislation should be to recognize a clear dis-
tinction between organization for the purposes of production, on
the one hand, and individual responsibility on the other. The
former should not be allowed to interfere with or to obscure the
latter. The fact that the stockholder is removed from responsi-
bility should not destroy the amount of personal responsibility
to be located somewhere in connection with the enterprise. Some
one must always be found who has the full original amount of
responsibility. Apparently, the proper person is the corporation
officer. Suppose that the corporation officer has small pecuniary
interest in the concern and that he has no property : obviously
the only way of securing responsibility is by criminal process.
No organization for protection should be allowed to stand be-
tween the wrong-doer and his punishment. The official who
loots the stockholders through the fiction of a corporation, and
then of a construction company or similar misuse of the purposes
of the corporation form, should not be protected. The courts
have been heretofore too much inclined to protect evil-doers of
this stripe, not because they were blind to the evil, but because
they could not see their way out of the corporation legislation,
and because the legal fiction of a corporate person or entity has
very naturally, in the minds of men of the legal profession, over-
shadowed the plain economic responsibility, which is always to
be found in natural persons alone. If, however, they had recog-
nized from the first that corporation legislation was strictly for
the purpose of production, and that, when it comes to a question

244

Financial Legislation in Principle and in History 25

of responsibility and wrong doing there is no such entity as a
corporation, perhaps they could have given a better turn to the
law.

REFERENCES ON THE BANKING PRINCIPLE

Adam Smith, Wealth of Nations, bk. II, ch. II (vol. I, pp. 293-
322, cf. p. 309, Bohn ed.) ; Jevons, Mechanism, chs. XVIII, XX,
XXII, The Cheque Bank, pp. 291-300; Conant, Modern Banks
of Issue, ch. I ; Conant. Banking upon Business Assets, Sound
Currency, vol. IV, no. 23 ; Conant, The Principles of a Bank Cur-
rency, Sound Currency, vol. VI, no. 9, September, 1899 ; Greene,
A Proper Paper Currency, Sound Currency, vol. IV, no. 22;
Fowler Plan, Sound Currency, vol. IV, no. 20 ; Laughlin, The
Principles of Money, ch. VII, par. 6 (at p. 264) ; Kelley, Pro-
posal for Currency Reform, Sound Currency, vol. Ill, no. 22;
Price, Currency and Banking, ch. Ill, pp. 96^172, ch. II, pars.
I, II; Warner, Practical Bank Currency, Sound Currency, vol.
IV, no. 6 ; Tooke, II, p. 369 ; see discussion in the Annals of the
American Academy of Political and Social Science, March, 1893 ;
Mill, bk. Ill, ch. XIX, par. 4; J. D. Warner, Currency Famine
of 1893, p. 4 (Failure of National Bank Currency System), p. 7
(Course of National Bank Currency), Sound Currency, vol. II,
no. 6; L. Carroll Root, New England Bank Currency, Sound
Currency, vol. II, no. 13; The Baltimore Plan, Sound Currency,
vol. IV, no. 12; The Carlisle Plan,, Sound Currency, vol. IV, no.
3 ; Ford, Foreign Exchanges and the Cold Movement, Yale Re-
view, August, 1885, or Sound Currency, vol. II, no. 22 ; Laugh-
lin's Mill, chart XII, p. 359 ; Sumner, History of American Cur-
rency, pp. 211-27; Jevons, Mechanism of Exchange, p. 236
(Elasticity); White, Money, Baltimore Plan, p. 458; White,
Harter, Hepburn, Walker, Bacon, on Extension of U. S. Banks,
Annals of American Academy, March, 1893 ; John B. Hender-
son's Plan, New York Tribune, July 3, 1893 ; The Nation, Capi-
tal will come from Europe, if the United States Government zvill
retire from the Banking Business, May 21, 1896, p. 387; The
Nation, The Indianapolis Conference: Government more likely
to Suspend Specie Payments than Banks, January 21, 1897, p. 43;

245

26

W. G. Langworthy Taylor

A. L. Ripley, Two Plans for Currency Reform, Yale Review,
May, 1898; Report of Monetary Commission, (Elasticity) pp.
309, 324, (Redemption) pars. 207-25; F. M. Taylor, The Ob-
jects and Methods of Currency Reform in the United States,
Quarterly Journal of Economics, April, 1898; Breckenridge,
Paper Money of New France, Journal of Political Economy,
June, 1893 ; Breckenridge, Report of the Monetary Commission,
Journal of the Canadian Bankers' Association, April, 1898.

REFERENCES ON THE CURRENCY ACT OF MARCH IzJ., I9OO

F. W. Taussig - , The Currency Act of 1900, Quarterly Journal
of Economics, May, 1900; R. P. Falkner, The Currency Law of
1900, Annals of American Academy, July, 1900; J. L. Laughlin,
Recent Monetary Legislation, Journal of Political Economy,
June, 1900; J. F. Johnson, The Currency Act of March 14, 1900,
Political Science Quarterly, September, 1900; Mitchell, Value
of Greenbacks during the Civil War, Journal of Political Econ-
omy, March, 1897; Mitchell, Greenbacks and the Cost of the
Civil War, Journal of Political Economy, March, 1897; Taylor,
Currency Reform in the United States, Quarterly Journal of
Economics, vol. XII ; Kinley, Independent Treasury.

REFERENCES ON THE CURRENCY PRINCIPLE

Dunbar, Deposits as Currency, Quarterly Journal of Eco-
nomics, July, 1887; Jevons, Mechanism, ch. XVIII, Methods of
Regulating a Paper Currency, pp. 216-37, also pp. 314-18, Clear-
ing House, ch. XXI (see also Bolles, Practical Banking, part
III), Elasticity, p. 236; Walker, Money, ch. XIX, pp. 422-33,
The Currency Principle vs. Banking Principle, also chs. XVIII-
XXII (cf. p. 60) ; Suffolk System and Free Banking, Report of
the Comptroller of the Currency (J. J. Knox), 1876; Horace
White, Banking, bk. II, chs. IX, X, XI; L. Carroll Root, New
York Bank Currency, Sound Currency, vol. II, no. 5 ; Bonamy
Price, Currency and Banking, ch. II. par. II; McLeod, pp. 1020-
43 (currency principles defined) ; Laughlin, The Principles of
Money, ch. VII, par. 5 ; Conant, Modern Banks of Issue, ch.

I

246

Financial Legislation in Principle and in History 27

XXIII; Laughlin, (Use of notes) Report of Monetary Commis-
sion, p. 309; Bowen, American Political Economy (Chart of
fluctuations of greenbacks during Civil War), ch. XIV; F. M.
Taylor, Do we Want an Elastic Currency? Political Science Quar-
terly, March, 1896; J. F. Johnson, Proposed Reforms of the Mon-
etary System, Annals of the American Academy, March, 1898,
(Answer to suggested irresponsibility in proposed Levering
bill) ; Jules Guthridge, Currency Legislation of 56th Congress,
Sound Currency, March, 1901, p. 33, sqq.; F. A. Cleveland, Final-
Report of the Monetary Commission, Annals of American Acad-
emy, January, 1899, (Retirement of greenbacks inefficacious to
raise total reserve) ; Ward A. Cutler, Insolvent National Banks
in City and Country, Journal of Political Economy, June, 1899,
(Large and city banks less likely to fail than small and country
banks) ; A. D. White, Paper Money Inflation in France; R. M.
Breckenridge, The Comptroller's Objections to Currency Re-
form, Journal of Political Economy, March, 1899, also Sound
Currency, vol. IV, no. 4, (On difference between notes and de-
posits. Same points, Knies, ch. XIV, esp. p. 448) ; Chas. G.
Dawes, Comptroller of Currency, December 4, 1898 (Banking
on Assets; Branch Banking; Preference of Note Holders) ; An-
drews, 91 ; (Government loans do not correspond to a "produc-
tion period") Hooper, speech, January 19, 1863, Congressional
Globe, 1862-63, p. 384; (Government loans do not correspond
to "business exigencies") Mitchell, Suspension of Specie Pay-
ments, December, 1861, Journal of Political Economy, June,
1899, pp. 317-18.

REFERENCES ON GOVERNMENT PAPER MONEY

Bank of England: Walker, ch. XX, Convertible Paper Money
in England, pp. 443-79 ; Gilbart, vol. I, 3, pp. 30-102, The His-
tory of the Bank of England (Charter of 1833, p. 80; Bank Act
of 1844, pp. 91, 326-65) ; Bonamy Price, ch. II, par. 2; Levi,
History of British Commerce, p. 207; Lombard Street, ch. Ill,
Origin of Lombard Street, ch. VII, Government of the Bank of
England, ch. IX, Joint Stock Banks, ch. X. Private Banks.

Scotch Banks: Gilbart, vol. II, par. XXIII, part II, A Com-

247

28 W. G. Langworthy Taylor

parison between Banks of Scotland and those of England, pp.
204-16; Jevons, Mechanism, p. 319; Levi, p. 282; Hamilton, ch.
IV, par. VIII, Scotch Bank Currency; Adam Smith, Wealth of
Nations, bk. II, ch. II, p. 297 (Bohn'3 ed.), also in Sound Cur-
rency, vol. II, no. 8 ; Conant, Scotch Bank Currency, vol. IV, no.
4; McLeod. ch. XIII, par. III.

United States: Dawes, The Banking System of the United
States; Bolles, Practical Banking, part I, ch. Ill, The National
Bank System, pp. 9-14, ch. V, Hotv Banks are Organized and
Issue Notes, pp. 16-24 ; Walker, Money, ch. XXI, pp. 443-79 ;
Rhodes, Journal of Banking, March, 1890, p. 217 (Unprofitable-
ness of investment in U. S. bonds) ; Juglar (Banking on bonds
a bad system); White, Money, pp. 134-235; McLeod, p. 907;
The World of Finance; The Central Reserve Bank, quoting from
A. B. Stickney's address before the Marquette Club of Chicago,
Harpers Weekly, December 28, 1901 (cf. 1335, no. 2349. of The
Nation, December 19, 1901, p. 467, Branch banking) ; Root, Cur-
rency Elasticity, Sound Currency, vol. Ill, no. 23 ; Andrews,
pars. 92, 93, 142-45; Gouge, The Curse of Paper Money; New-
combe, Financial Policy of the United States, ch. VIII; Hendrix,
Banking not a Monopoly (cf. Nation, August 25, 1898, p. 141) ;
McVey. The Populist Movement, p. 192 (Fundamental ideas of
those demanding government money) ; Knies, Credit, vol. II, p.
230 (Banking on bonds), p. 454 (Government money not issued
for economic but for administrative purposes).

General References: Sumner, History of Banking; Conant,
History of Modern Banks of Issue; Davisson, History of Bank-
ing: Rogers, Economic Interpretation of History, ch. X, pp. 205-
24; International Monetary Conference of 1881, p. 219; Cun-
ningham, Growth of English Industry, vol. II, p. 222 (Goldsmith
Bankers), p. 390 (Rise of loan system) ; Paul Leroy-Beaulies,
Condition for American Financial Supremacy, Sound Currency,
vol. Ill, no. 3, p. 3 (Why a government should not maintain a
paper currency).

248

II. — Taxation in New Zealand

BY JAMES EDWARD LE ROSSIGNOL AND WILLIAM DOWNIE STEWART
A. TAXATION BY THE GENERAL GOVERNMENT

The New Zealand government is different from both the Fed-
eral and the State governments of the United States in that the
power to levy taxes of all kinds is practically unrestricted. The-
oretically, the British government, in the exercise of its supreme
legislative authority, has the right to tax all parts of the Empire,
but the right is never exercised. The principle established by the
American Revolution, that there shall be no taxation without
representation, still bears fruit in the practical autonomy that
New Zealand and the other self-governing dependencies enjoy.

Under the Constitution Act of 1852, 1 certain sums were made
payable to the British government for defraying the salaries of
the governor, the crown ministers, and the judges, and the list
of these is known as the Civil List, but as power was given to
the New Zealand Parliament to alter these amounts, with the
consent of the British government, and as this power has been
frequently exercised, and the Imperial government has never
withheld its consent, the taxation thereby imposed is merely nom-
inal and such as the Dominion requires to impose in its own
interests.

It should also be stated that certain bills dealing with taxation,
such as bills imposing differential duties which bestow excep-
tional advantages upon foreign over British trade, and bills which
appear to be inconsistent with Imperial treaties, must be reserved
for the approval of the Imperial government ; otherwise the Do-
minion is free to regulate its commercial policy and its entire
system of taxation as it sees fit. 2

*15 and 16 Vict, cap. 72.

2 The Constitution and Government of New Zealand, Wellington, 1896.

University Studies, Vol. IX, No. 3 July 1909.

249

1SSU

and W. D. Stewart

The New Zealand government is not hampered by any consti-
tutional restrictions as to the purpose for which taxation may be
levied, nor is there any prohibition of 'class legislation nor any
clause in the Constitution Act forbidding the taking of private
property for public purposes without due process of law, although
as a matter of fact this is never done. The government has a
free hand. It may and does levy duties on imports from Great
Britain and other parts of the Empire ; it imposes taxes not only
for revenue, but also as a means to social reform ; and many of
its laws, as the graduated land tax, would doubtless be regarded
as class legislation by American courts. It goes without saying
that cities, boroughs, counties, and the other local governing
bodies derive their power to tax, as well as all their other powers,
from the general government, which in its turn derives its powers
from the Imperial government.

The following are the chief heads of revenue and expenditure
for the year 1907-8 of the Consolidated Fund, which includes
the revenue and expenditure of the post and telegraph depart-
ment and the railway department, but not that of the other gov-
ernmental enterprises, for which there are separate accounts.

2=;o

Taxation in New. Zealand

REVENUE AND EXPENDITURE

REVENUE

£

£

EXPENDITURE

£

£

Balance on 31st Mar.,
1907

717,825

9.055,946
8,043

His excellency the
governor

7,000
62,795

14,692

2,187.427

29,486

62,375

330,802

1,963,428

843,311

707,146
352,163

145,999

214,670

109,591

144,989

82,785

33,096
49,579

66,292

46,261
9,668

31,243

67,169

33,253

29,047
33,979

20,000

21,000
172,551
342,168

3,103,565
113,973

1,550,934
537.846
304,905

2,765,395

129,166

42,217

218,342

289,603

Ministers' salaries
and allowances . ..

Interest and sinking
fund charges

Exchange and com-
mission . .

Pensions, civil and

Stamps (including
postal and tele-
graph cash receipts

Railways

Registration and

Old age pensions . ..

Territorial revenue. .

Public instruction ..
Postal and telegraph

Other receipts —
Recoveries in re-
spect of expendi-
ture of previous

Judicial and legal. ..
Hospitals and char-
itable institutions.
Defense (including

Subsidies to local

Department of agri-

Mental hospitals

Valuation depart-

Marine (including

harborsand lights)
Printingand station-

Registration of land
and deeds, births,
deaths, and marri-

Public buildings and
domains and main-
tenance of roads..

Public health de-

Labor department..

Tourist department.

Contribution to civil
service superannu-
ation fund

Grant to New Zea-
land International
Exhibition

Miscellaneous ex-
penditure

Territorial expendi-

•

Other expenditure-
Transferred to pub-
lic works fund . . .

Balanceon March31,
1908

8,213,965

800,00
767,849

•

9,781,814

9,781,814

251

4

/. E. Lc Rossi znol and IV. D. Stewart

Of the total revenue, as shown here, less than one-half was
derived from taxation, and the amounts thus raised were as
follows :

HEADS OF TAXATION

AMOUNT COL-
LECTED

Taxation per head
of mean popula-
tion (excluding
Maoris) 1907-8

Customs and excise

£

3,217,538
537,846
304,905
585,465

£ s. d.
3 9 6

Land tax

11 7

Income tax

6 7

Stamps (taxation only)

12 8

4,645,754

5 8 4 1

It is worth noting - , as indicating a centralization of power far
greater than that which exists in the United States, that the ex-
penses of public instruction, amounting to £843,311, are defrayed
by the general government, that the large sum of £800,000 was
transferred to the Public Works Fund for the construction of
roads and other public works, that £145,999 was expended on
hospitals and charitable institutions, and that the sum of £109,591
was given in subsidies to local bodies. The total revenue of all
the local bodies for the year 1906-7 was only £2,812,440. Of
this amount £1,338,536 was derived from rates, licenses, and
other taxes, including, in the case of the cities and many bor-
oughs, special taxes for water and other utilities supplied by the
municipal governments.

The sum total, then, of general and local taxation is about
£5,984,290 ($28,000,000), or £6.3 ($30) per head of the total
population. This is far greater than the total of federal, state,
and local taxation in the United States, which does not exceed
£4.3 ($20) per head. Of this amount 52 per cent is derived from
duties on imports, and the rest chiefly from direct taxes of various
kinds. The revenue from taxation has greatly increased in recent

'If the calculation be made including the Maoris, the amount per head
of population would be £4 15s. 5d.

252

Taxation in Nczv Zealand 5

years. In ICS97-98 the general and local taxes were only £4.4
($21.38) per head of the total population. This extraordinary
increase in revenue has been due chiefly to the great prosperity
of the Dominion during the past ten or twelve years.

CUSTOMS AND EXCISE

The subject of excise may be dismissed in a word. There is
an excise duty on beer, which yielded £113,973 in the years 1907-9.
The manufacture of spirits is prohibited, but the import duties
on spirits yield a large revenue. In the year 1906-7, £304,733
was derived from this source. Licenses for the sale of intoxi-
cating liquors are granted by the local bodies. In the year 1906-7
the local bodies derived £48,865 from this source, which yielded
£53,635 in the year 1896-97. The revenue from licenses is de-
clining, chiefly because of the spread of local prohibition under
"The Alcoholic Liquors Sale Control Act, 1893." However, the
consumption per head of alcoholic liquors has somewhat in-
creased, probably because of the general prosperity of the people. 1

The customs duties are the government's chief source of rev-
enue, yielding 66 per cent of the total amount derived from tax-
ation. The foreign commerce of New Zealand is very important.
The imports for the year 1907 were valued at £17,304,861
($84,000,000), being £18 ($87) per head of the European popula-
tion. The revenue derived from customs in the fiscal year 1907-8
was £3,103,567, being 18 per cent of the value of the imports and
about £3.26 ($15.84) per head of the population. It is worth
noting that in the year 1906-7 the imports of the United States
were valued at $1,434,421,425 (£300,000,000), being about $17
(£3.5) per head of the population, and that the customs revenue
was $332,233,363 (£69,000,000), or 23 per cent of the value of
the imports, and only about $4 (£0.8) per head, estimating the
population at 85,000,000.

The history- of the tariff may be divided roughly into three
periods. During the first of these periods, extending from the
establishment of constitutional government in 1854 until about

1 Year-book, 1908, p. 395.

253

6 /. E. Le Rossignol and W . D. Stewart

1879, the tariff was on a purely revenue basis, although the rates
were too low to secure a maximum of revenue. Before 1854 the
duties were chiefly ad valorem, said to have been unfair to the
"conscientious trader.'' The tariff of 1854 consisted of low spe-
cific duties on 21 selected articles. In 1873 Sir Julius Vogel
again reverted to the ad valorem system and imposed an all-
round tariff of 10 per cent. In 1878 Ballance, then treasurer of
the Grey government, condemned the ad valorem system, saying
that it had resulted in a fall in revenue of £33,788 since 1875,
notwithstanding the unprecedented prosperity of the Colony. At
that time the tariff comprised 250 headings, of which 98 were
specific and the rest ad valorem. Ballance took 20 headings from
the latter class and made them specific, at the same time reducing
the duty on tea from 6d. to 4d. a pound and on sugar from id.
to J /2&. per pound.

The second period extends from the crisis of 1879 to the year
1900 and was dominated by the idea of securing a maximum of
revenue while at the same time affording protection to colonial
industries.. The reaction from the boom period of the "roaring
seventies" had set in, and the statesmanship of the next decade
consisted chiefly in trying to make the country pay its way. Suc-
cessive ministries vied with each other in seeking fresh sources
of taxation to supply the deficiency. The issue of free trade
versus protection became the chief political question of the day.
Innumerable pamphlets were issued, long debates arose in Par-
liament, and the trade unions came into active politics for the
first time on this question.

In 1879 Atkinson raised all articles then standing on the tariff
at 10 per cent to 15 per cent. A commission which was set up
in 1880 to report on local industries recognized the fact that the
tariff was "distinctly though inequitably protective," and recom-
mended that great caution should be exercised in making any
changes except for purposes of revenue, lest one set of industries
should be promoted at the expense of others. The tariff was
revised in 1882 and again in 1888, when the duties on a large
number of articles were raised from 15 per cent to 20 per cent,
and many specific duties were raised proportionately. In 1895

254

Taxation in New Zealand • 7

the tariff was again altered in the direction of further protection.
Up to this time the highest rate had been 25 per cent. Some du-
ties were now raised to 40 per cent, such as the duty on clothing
made to order for residents in the Colony.

The third period began in 1900, when the Colony had become
so prosperous and the revenue from customs duties so abundant
that the Treasurer was able to take the duty entirely off kerosene,
rice, and salt and to make substantial reductions on other neces-
saries of life. The next important step, taken by the Seddon
government in 1903, was the establishment of preferential duties
in favor of British goods. This did not involve a reduction in
the tariff but an increase, since the duties on goods imported
from Great Britain and other parts of the Empire remained as
they were, while a substantial surtax was imposed on 37 classes
of goods of foreign manufacture. On 9 classes of goods the ad-
ditional taxation amounted to 20 per cent of the dutiable value;
on 2j classes it was one-half of the duty payable under the regu-
lar schedule ; while on cement the additional duty was equal «to
the regular duty. However, the duty on tea grown in any part
of the British dominions was wholly removed except on tea in
packets not exceeding one pound in weight. 1

This additional taxation, while it did not prevent a slight in-
crease in imports from foreign countries, seriously checked the
importation of those goods on which the surtax was imposed,
and was correspondingly advantageous to the colonial and Brit-
ish manufacturer, but especially the former. The value of the
imports from foreign countries was £2,140,533 in 1903; in 1907
it was £2,360,678. In the same time the value of imports of boots
and shoes from the United States fell from £102,054 to £33,466,
printing paper from £40,206 to £7,577, furniture from £14,206
to £13,818, and so on, while the import of goods not subject to
the surtax considerably increased. The preferential tariff had a
less serious effect on goods imported from Germany, although
New Zealand imports four times as much from the United States
as from Germany. The combined imports from the United
States and Germany amount to 75 per cent of the total imports

l The Preferential and Reciprocal Trade Act, 1903.

255

8 /. E. Le Rossignol and W. D. Stewart

from foreign countries. The preferential tariff, therefore, is
protective in its character rather than productive of revenue, and
is shrewdly contrived so as to give a maximum of benefit to the
New Zealand manufacturer and a minimum of advantage to his
British competitor, whom, at first sight, it appears to favor.

In 1906 a reciprocity treaty was entered into with South
Africa, involving a reduction in the duties on feathers, wines,
sugar, tobacco, maize, fish, and tea, the admission of 'dried and
green fruits free of duty, and a reduction of 25 per cent on all
other goods except spirits. As the trade between the two col-
onies is insignificant, little importance as yet attaches to this
treaty.

A revision of the tariff' was brought about in 1907 under the
direction of the Minister of Customs, the Hon. J. A. Millar. The
chief features of the new act are as follows :

1. Some more articles of household use, as sugar and molasses,
were placed upon the free list in furtherance of the principle of
a "free breakfast table."

2. Reduction or abolition of the duty on the raw materials of
colonial manufacture.

3. Further protection to local industries.

4. Further extension of the principle of preference to British
goods, or, rather, discrimination against non-British goods, so
as to cover in all 198 items. 1

It is not likely that the tariff will be touched again for some
years to come. At present the duties of the ordinary tariff range
from 5 per cent to 40 per cent ; those of the preferential tariff
run as high as 50 per cent or more, as in the case of the cheaper
grades of American-made shoes. The tariff is approved of in
the main by the manufacturers and workers, although the manu-
facturers claim that they do not receive sufficient protection to
compensate them for the high wages they are obliged to pay
under the awards of the Arbitration Court. The farmers, as a
class, are opposed to the tariff, holding to the policy commonly
known as the "three F's" — Freehold, Free Trade, and Free Con-
tract. There are also people who consider that the indirect taxes

'The Tariff Act, 1907.

2=6

I

Taxation in New Zealand 9

are far too high, and that relatively more revenue should be
raised by the land and income tax, death duties, and other direct
taxes. The followers of Henry George, who are quite numerous,
Jiold the usual single-tax doctrine, that the whole revenue should
be raised by a single tax on the unimproved value of land. The
government pretends that it has made substantial "concessions"
from time to time since the year 1900, but these have been more
than counterbalanced by increased duties in other directions. In
the year 1900 the revenue from customs was 17.85 per cent of
the value of the imports; in the year 1908 it was 17.99 per cent
of that value. As in the United States, so in New Zealand, prom-
ises and pretenses of tariff reduction are largely illusory.

THE LAND AND INCOME TAX

As far back as the year 1844, Lord John Russell sent a circular
letter to the colonial governors of Australia and New Zealand
recommending a tax on land as the form of taxation most suit-
able to the conditions prevailing in a new and growing commu-
nity, but thirty-five years elapsed before such a tax was imposed.
In 1844 Governor Fitzroy, who was an ardent advocate of free
trade, passed an ordinance abolishing customs duties and substi-
tuting a graduated property and income tax of 1 per cent on prop-
erty and income combined up to £1,000, but no taxpayer was
liable for more than £12. The change was welcomed by the
traders and whalers, but the settlers ignored and evaded the law,
which soon failed as a means of raising revenue, and was replaced
by a new customs tariff. No further attempt was made to impose
direct taxation until 1878.

At that time the colony was prosperous, though on the eve of
a crisis, and Ballance considered that the burden of taxation
should be readjusted, in order to make the landowners pay a
larger share of the interest on the public debt, which had been
incurred chiefly for the building of roads and railways, which
had greatly increased the value of land. Ballance's Land-tax
Bill was carried, but stirred up much opposition, and, after the
fall of the Grey government in 1879, tne Act was repealed. 1

1 Land-tax Act, 1878. Reeves, State Experiments, vol. 1, p. 258.

257

10

/. E. Le Rossi gnol and W. D. Stewart

Atkinson now brought forward a bill to establish a general
property tax on the American model, and the Act was passed on
December 19, 1879. 1 ^ provided for a tax of one penny in the
pound (five-twelfths of 1 per cent) on all assessed real and per-
sonal property, with an exemption of £500. Atkinson admitted
that much was to be said in favor of taxing used lands held for
speculative purposes, but considered the policy impracticable. An
income tax, also, he rejected as "too inquisitorial and unavoid-
ably open to great inequalities," nor did he think it desirable to
attempt to break up the large estates by means of a progressive
land tax. The property tax remained in force until September
8, 1 89 1, when it was repealed. The following table shows how
the tax was paid in the year 1881 :

AMOUNT OF

TAX

NO. OF TAXPAYERS

Under £1

5417

£ 1 and

under

£ 5

9048

5 and

under

10

3267

10 and

under

20

2146

20 and

under

50

1390

50 and

under

100

480

100 and

under

200

194

200 and

under

300

66

300 and

under

400

27

400 and

under

500

14

500 and

under

1000

23

1000 and

under

2000

12

2000 and

under

3000

1

3000 and

under

4000

4000 and

under

5000

1

5000 and

under

6000

6000 and

under

7000

1

22 087

The property tax. though by no means onerous, soon became
unpopular, chiefly among the small farmers and tradesmen. The
usual objections, some valid, but many trivial and baseless, were
urged against it. The small farmers disliked paying taxes, how-
ever small, upon buildings, implements, and live stock. They
suspected their rich .neighbors of successful evasion. The trades-

1 Property Tax Act, 1879.

258

Taxation in New Zealand n

men thought that they paid too much as compared with profes-
sional and salaried people, although they shifted a large part of
the tax to the shoulders of their customers. It was said that in-
come from property paid too much as compared with income
from professional services and salaries. Also, it was held that
the law took no account of the earning power of a man's capital,
and that people doing a large business on a small capital paid
less than their fair share, quite ignoring the tendency of profits
towards equalization. Mr. Reeves said in Parliament that the
tax was equal to an income tax of 4s. in the pound on a man who
was making 6 per cent on his capital, and only 6d. in the pound
on a man making 17 per cent. 1 Mr. Reeves also says: "Manu-
facturers, shopkeepers, and trading companies also found the tax
unjust. It hit them as hard in bad years as in good. 2 This, of
course, is an objection that can be urged against almost any form
of taxation, since a government requires practically as much rev-
enue in bad years as in good, and a system of taxation which
would yield a fluctuating revenue would be highly unsatisfactory.

Mr. Reeves further says : "To these solid grounds for discon-
tent was added the sentiment nourished by the writings of George
and Wallace. Avowed single-taxers were, indeed, very few in
number, as they still are; but the doctrines of land-nationalizers
and single-taxers were acceptable to the extent of distinguishing
between real estate and personal property as subjects for taxa-
tion. A line was also drawn between ground values and improve-
ments. Large tracts of most of the great freeholds were unim-
proved. Feeling ran high against land monopoly in 1890, and
higher still against absentee ownership. The land and income
tax bill of Ballance was greeted as a measure of revolution. It
did indeed herald a species of political revolution, which is still
in peaceful progress." 3

Another reason for abolishing the property tax was that the
government required more revenue, and it was thought that this
could be secured more easily by taxing the wealthy classes than

1 Parl. Debates, vol. 71, p. 190.
"State Experiments, vol. 1, p. 259.
3 State Experiments, vol. 1, p. 260.

259

12 J. E. Le Rossignol and W. D. Stewart

by increasing the tax on property in general, which would have
aroused a storm of opposition. But, whether rightly or not, the
property tax was condemned by the small farmers and trades-
men, and when, in 1891, these classes got the upper hand, with
Ballance, the author of the land tax of 1878, as premier, they
repealed the Act of 1879 an< ^ passed the Land and Income As-
sessment Act in its stead.

Behind all the arguments against the property tax was the de-
termination of the small proprietors to pay little or nothing in the
way of direct taxes, but to make the wealthier people pay all.
They also wished to break up the large estates, and in this they
were strongly supported by the laboring class, who desired that
they or their sons might occupy relatively improved and well-
situated land instead of having to endure the hardships of pioneer
life in the back blocks. Again, the small proprietors, who were
mostly borrowers, wished to get at the money lenders by means
of a tax on mortgages. Also, they used the arguments of single-
taxers and other theorists in so far as it suited their purpose to
do so, although the small farmers, who formed the backbone of
the new democracy, were anything but single-taxers. A special
tax was levied upon absentee landholders, who were thought to
be a particularly undesirable class of citizens, and the income tax
was designed to tax the wealthy mercantile, manufacturing, and
professional people of the towns.

The original act 1 has been amended from time to time. The
Consolidation Act of 1900 is now in force, with later amendments.
The most notable features of the Act are the ordinary land tax,
including the tax on mortgages on land, the graduated land tax,
the tax on absentee owners, the graduated income tax, and the
total exemption of small properties and incomes.

The ordinary land tax is assessed on the unimproved value,
that is, the capital value less the value of all improvements. The
Act of 189 1 allowed deductions for improvements up to £3,000,
but. by the amendment of 1897, the value of all improvements
was exempted. The rate is fixed by the annual taxing act. At

*Land and Income Assessment Act, 1891.

260

Taxation in New Zealand 13

present it is id. in the pound on the unimproved value. Owners
of land of which the unimproved value is £500 or less pay no tax.

The tax on mortgages on land was formerly the same as the
tax on land, but in 1902 the rate was lowered to }4d. in the pound
and has not since been changed. The tax is paid by the mort-
gagee, that is, the mortgagee and the mortgagor are treated as
joint owners of the land. In making up the total assessed valua-
tion on which an owner pays taxes, the amount of mortgages
owing by him is deducted from the unimproved value, while the
amount of mortgages owing to him is added thereto. If such net
value is not over £500 the owner pays no taxes; if it is £1,500 he
pays on £1,000 and there are diminishing exemptions up to
£2,500, at which point the exemption ceases and the owner pays
on the full unimproved value.

When the tax on mortgages was first imposed it was said that
it would fall on the borrowers, since the lenders would charge a
rate of interest sufficiently high to recoup themselves. Mr.
Reeves states that such has not been the case, 1 but the tax was
small and its effects were obscured by changes in the rate of in-
terest due to other causes. From 1891 until about 1898 the rate
of interest on mortgages declined, but afterwards rose. In the
year 1898-99, about 58 per cent of the money lent on mortgages
was lent at 5 per cent or less, but in the year 1906-7 only 53 per
cent was lent at such rates. It seems probable that, if the tax
had not been imposed, the rate of interest would have fallen more
during the former period and would not have risen so high in the
past few years. At the present time, which is a time of financial
stringency, borrowers find it hard to get money either from the
government or from private lenders, and the chambers of com-
merce of the Dominion seem to be unanimous in the opinion that
the mortgage tax prevents capital from coming to New Zealand,
and forces New Zealand capitalists to lend their money else-
where. 2 Certainly, a good deal of New Zealand capital has been
invested abroad in recent years.

The government is urged to abolish the mortgage tax and to

1 State Experiments, vol. 1, p. 261.

2 Evening Post, Wellington, April 13, 1909.

261

/. E. Le Rossignol and W. D. Stewart

make incomes derived from mortgages subject to the income tax.
To do this would be to sacrifice some revenue and to discriminate
against resident lenders, who could not evade the income tax, but
the borrowers would probably gain more than the government
would lose. For this reason it would be only fair to make them
pay additional taxes on their land. The total revenue from the
land tax, including the tax on mortgages, for the year 1907-8
was £537,846. For the year 1906-7 the revenue was £447,342,
of which the ordinary land tax yielded £321,413 and the gradu-
ated land tax, including the tax on absentee owners, yielded
£125,929.

The graduated land tax, which was designed chiefly to compel
the large holders to sell or otherwise subdivide their estates, has
recently been altered in the direction of increasing the tax on the
larger holdings. 1 It begins with a tax of x / 16 of a penny in the
pound when the unimproved value in any assessment is not less
than £5,000 and is less than £7,000, and increased by sixteenths
to 13 /ie 0I a penny when the unimproved value is between £35,000
and £40,000. When the unimproved value is £40,000 the rate is
suddenly increased to 8s. in every £100 (0.4 of I per cent), and
for every additional £1,000 of unimproved value the rate is in-
creased by 1 / 5 of a shilling in every £100. The rate reaches its
maximum at £200,000, when it is 2 per cent on the total unim-
proved value. For and after the year ending March 31, 1910,
the progressive taxes on estates over £40,000 are to be increased
by 25 per cent in the case of land other than business premises.

The total ordinary and graduated taxes paid by the owners of
very large estates are now very heavy. An estate of which the
unimproved value is £200,000, exclusive of business premises,
pays a graduated tax of 2.y 2 per cent in addition to the ordinary
land tax of id. in the pound (0.41 of 1 per cent), making 2.91 per
cent in a-11. But the graduated tax is increased by 50 per cent in
the case of absentee owners, so that the absentee owner of an
estate of which the unimproved value was £200,000, if such an
estate existed, would pay a tax of 4.16 per cent. By the Amended

*An Act to Amend the Land and Income Assessment Act, 1900. October
26, 1907.

262

Taxation in New Zealand 15

Act of 1907 a person is deemed to be an absentee "unless he has
been personally present in New Zealand for at least one-half of
the period of four years immediately preceding the year in and
for which he is assessed for graduated land-tax." 1

The land tax, together with other legislation and the natural
tendency toward the division of large holdings, a tendency not
so strong in pastoral as in agricultural countries, has doubtless
had some effect in reducing the size of the great estates. In the
year 1896-97, 17.5 per cent of the holdings were of 320 acres and
over and 90 per cent of the total acreage was thus held, while in
1907-8 such holdings were 20.94 per cent of the whole and com-
prised 87 per cent of the total acreage. These figures do not
show any marked change, and it was not to be expected that they
would, for an estate of 320 acres is a relatively small holding in
a pastoral country like New Zealand. The great estates, how-
ever, show a considerable decline both in number and per cent of
acreage. In 1896-97 there were 501 holdings of 10,000 acres
and over, containing 54 per cent of the total acreage, and in
1907-8 there were 484 of such holdings, containing 44 per cent
of the total acreage. In 1896-97 there were 112 holdings of 50,-
000 acres and over, comprising 30 per cent of the total acreage,
while in 1907-8 there were only 84 estates of this class, compris-
ing only 22 per cent of the total acreage. 2

But some, at least, of these estates, instead of being broken up
and sold to small holders, have been divided among the members
of families, before or after the death of the owners, so that the
power of these families remains almost as great as before, while
the government loses something in the way of graduated tax.
This loss has not been great, having amounted to only £9,153 in
the ten years 1896 to 1906. The government has lost a good
deal more by having purchased and subdivided certain large hold-
ings, as the Cheviot estate. The total loss in graduated taxes
that would have been paid had the estates remained intact has
been estimated at £82,909 for the ten years from 1895 to 1905. 3

J 7 Edw. 7, 1907, no. 18. Year-book, 1908, pp. 563, 669.
2 Year-book, 1908, p. 469.

'Returns Presented to Parliament from the Land and Income Tax De-
partment, B.-24b., and B.-24a., Session of 1905.

263

i6

/. E. Lc Rossignol and W . D. Stewart

But the graduated tax was originally designed to break up the
large estates, and when this work is accomplished the revenue
which it now yields will have to be raised in some other way.

An official return presented to the House during the session of
1906 showed that there were 63 rural estates with an unimproved
value of £50,000 and upward, 14 with an unimproved value of
£ 1 00,000 and upward, one estate of 218,866 acres valued at £214,-
978, and one of 101,221 acres valued at £276,118. The capital
value of these great estates was £296,990 and £335.405. During
the session of 1906 the government brought in a bill to limit the
holdings in rural land of any individual or company to an unim-
proved value of £50,000. The bill met with strong opposition
and was dropped, and in the session of 1907 the act which has
been described was passed, which, although condemned by some
as a socialistic measure, has the merit of being logical and prac-
ticable, which could hardly be said of the previous plan. A re-
turn laid before the Council by the Valuation Department during
the session of 1907 shows that there are no longer any estates in
New Zealand having an unimproved value of £200,000 or over. 1

The taxation of unimproved values naturally brought about a
radical change in the methods of valuing property, but before
the year 1906 there was no uniformity in this matter. The Land
and Income Tax Department periodically employed a small army
of temporary valuers, and every local authority had its own
method of making up its roll for the levying of rates. But on
October 17, 1896, the Government Valuation of Land Act was
passed (since amended several times), for the purpose of secur-
ing uniformity in valuation, particularly in the administration of
the land tax and the rating on unimproved values. 2

The Act provides for the appointment of a valuer-general and
district valuers to hold office during pleasure. The district val-
uers reside in their districts, soon become expert in their work,
and generally command the confidence of the people. There is
little or no corruption or bribery. At first the valuation was

Return to an Order of the Legislative Council, dated July 26, 1907, no. 8.
-Year-book, 1908, p. 594.

264

Taxation in New Zealand 17

about 10 per cent less than the true selling value, but presently
much less, because of increase in land values. At present, how-
ever, the valuation seems to be rather high from the investor's
point of view. The valuation is not made at stated times, but is
constantly being revised, although it is sometimes out of date.
The officials say that there are no insuperable difficulties in the
way of determining unimproved values as distinguished from the
value of improvements.

The Act of 1896 defined unimproved value as "the difference
between the total capital value of the whole property and the total
capital value of all buildings and improvements," but the defini-
tion was found to be inadequate, and the amendment of 1900
gives a number of more elaborate definitions, thus :

"Capital value of land means the sum which the owner's estate
or interest therein, if unincumbered by any mortgage or other
charge thereon, might be expected to realize at the time of valua-
tion if offered for sale on such reasonable terms and conditions
as a bona fide seller might be expected to require."

"Improvements on land means all work actually done or mate-
rial used thereon by the expenditure of capital or labor by any
owner or occupier of the land ; nevertheless, in so far only as the
effect of such work or material used is to increase the value of
the land, and the benefit thereof is unexhausted at the time of
valuation, but shall not include work clone or material used on
or for the benefit of land by the Crown or by any statutory public
body, unless such work has been paid for by the contribution of
the owner or occupier for that purpose ; provided that the pay-
ment of rates or taxes shall not be deemed to be a contribution
within the meaning of this definition."

"Land means and includes all land, tenements, and heredita-
ments, whether corporeal or incorporeal, in New Zealand, and
all chattel or other interests therein, and all timber or flax grow-
ing or standing thereon ; provided, that native bush or native
trees which have been planted for shelter or ornamental purposes
on an area not exceeding" twenty-five acres shall not be included
in the definition of land in this section."

"Owner means the person who, whether jointly or separately,

26 s

1 8 J. E. Le Rossi gnol and IV. D. Stewart

is seized or possessed of or entitled to any estate or interest in
land."

"Unimproved value of any piece of land means the sum which
the owner's estate or interest therein, if unincumbered by any
mortgage or other charge thereon, and if no improvements ex-
isted on that particular piece of land, might be expected to realize
at the time of valuation if offered for sale on such reasonable
terms and conditions as a bona fide seller might be expected to
require."

"Value of improvements means the sum by which the improve-
ments on an owner's land increase its value; provided, that the
value of improvements shall in no case be deemed to be more
than the cost of such improvements estimated at the time of valu-
ation, exclusive of the cost of repairs and maintenance."

The valuation of all the land and improvements in New Zea-
land was completed in 1898. The unimproved value was given
as £84,401,244, and the value of improvements £54,196,103. In
the year 1908 the unimproved value was £161,324,763 and the
value of improvements £92,115,409. The valuation is useful not
only as a basis for taxation but as a basis for the granting of loans
and as a guide to all who desire to ascertain for any purpose the
selling value of land. 1 However, the Advances to Settlers Office
has its own valuers, and the work of the valuation department
does not seem to be regarded as final, even by the government.
Certainly, private lenders and purchasers do not blindly follow
the government's valuation, but, on the contrary, the government
seems to have too closely followed market values.

Of late years there has been a good deal of speculation in new
lands, and speculative values have in many cases run ahead of
permanent investment values, and the Valuation Department has
been accused of encouraging speculation by overvaluing the land.
In a recent debate in the House, Mr. T. Mackenzie said : "The
tendency of the department has in recent years been in the direc-
tion of unduly increasing the unimproved value and undervaluing
the improvements, which is entirely wrong, and against the spirit

1 Year-book, 1908, sec. 20.

266

Taxation in New Zealand 19

of the Act." Mr. Major said: "The unimproved value of land is
always assessed at a higher rate than it should be, and the valua-
tion for improvements is invariably too little. That is brought
about by reason of the fact that there are certain improvements
that are lost sight of, and are not visible to the eye of the average
valuer. Some of the valuers are not sufficiently competent to
assess the improvements at their true value." 1

There are several other reasons why the valuation tends to be
too high. In the first place, the department wishes to make a
high valuation in order to secure a large revenue from the land
tax. Secondly, the government likes to show a high valuation
because it is an indication of prosperity and strengthens the Do-
minion's credit in the loan market. Thirdly, owners like to have
a high valuation when they come to sell their land or to borrow
from the Advances to Settlers Office or from private lenders.
Fourthly, if the owner insists on a low valuation, the government
may purchase the land at the owner's valuation. True, the owner
has, under the Act, the right to demand that the government pur-
chase his land at the government's valuation, or to have his valu-
ation reduced, but there may be reasons why an owner might not
want to do this. At any rate, there has been little protest against
the government's valuation until recently, when speculative values
have fallen off and the land tax has become a burden. The gov-
ernment has promised to revise the valuation and it is probable
that it will be considerably reduced. 2

The income tax is complementary to the land tax, being levied
upon incomes derived from sources other than land and mort-
gages on land. It is a graduated tax, with an exemption of £300
($1,458), which, however, is not allowed to absentees. Life in-
surance premiums on the taxpayer's own life are exempted up to
£50. On the first £1,000 of taxable income, after allowing the
exemptions, the rate is 6d. in the pound (2.5 per cent) ; on in-
comes in excess of £1,300 the rate is is. in the pound (5 per cent).
For example, a person with an income of £300 would pay no tax ;
a person with an income of £1.300 would pay 2.5 per cent on

1 Parl. Debates, vol. 144, p 427, August 26, 1908.
"Evening Post, Wellington, March 9, 1909.

267

2o /. E. Le Rossignol and I V. D. Stewart

£ 1,000; and a person having an income of £2,300 would pay 2.5
per cent on the first £1,000 and 5 per cent on the second £1,000.
Companies enjoy no exemptions, and their incomes are taxed at
the rate of is. in the pound, but friendly societies, building soci-
eties, savings banks, cooperative dairy companies, and charitable
and educational institutions are wholly exempted from the income
tax. No distinction is made between incomes derived from prop-
erty and those derived from earnings.

The department is very strict in the administration of the tax,
using an elaborate system of inspection and investigation and
inflicting penalties for incorrect or fraudulent returns, so that
there is very little concealment of incomes derived from invest-
ments in New Zealand. The tax on incomes from investments
abroad could be more easily evaded. The yield of the income
tax for the year 1907-8 was £304,905 ($1,500,000).

Farmers complain that they are taxed more heavily than mer-
chants and professional men, but, in view of the large profits
which they have gained in recent years, and the great increase in
the value of their land, they do not seem to have any serious
grievance. Besides, although the land tax, when first imposed,
may have been a considerable burden, later purchasers, allowing
for the capital value of the tax, have paid less for the land than
they would have paid if there had been no tax, and thus, in a
sense, they pay no tax at all on the profits of farming. Again,
profits in all kinds of business tend to equality, and no class of
people except landowners can derive a permanent benefit from
exemption from taxation. Also, the small farmers, as well as
the small shopkeepers and all other people of small means, are
wholly exempted from the land and income tax, which is paid
altogether by the more well-to-do people, and of these the more
wealthy pay the greater part of the taxes. The land tax, there-
fore, is quite different from the single tax proposed by Henry
George, who would have society appropriate the whole rent of
land, whether owned by large or small proprietors.

The success of the small proprietors in getting rid of the bur-
den of taxes by substituting the land and income tax for the hated
property tax was truly remarkable. In the year 1889 the num-

268

Taxation in Nezv Zealand 21

ber of taxpayers paying property tax was 26,327, or 4.3 per cent
of the population (exclusive of Maoris). In the year 1892-93
there were 12,360 persons paying land taxes and 3,448 paying
income taxes, making in all 15,808 taxpayers, or 2.5 per cent of
the population. In fact, the number of taxpayers was somewhat
less than this, since some persons paid both land and income taxes.
In the year 1889 there were 2,242 persons under the class "work-
ing storemen, mechanics, laborers, shepherds, etc.," who paid
in property taxes £4,053 ; in the year 1892-93 there were only
249 persons in this class, paying only £543 in land and income
taxes. In the year 1889 there were 3,156 persons in the class
"tradesmen, wholesale and retail shopkeepers, etc.," paying £14,-
721, and 8,611 persons in the class "graziers, sheepfarmers, etc.,"
paying £81,544; in the year 1892-93 there were 1,809 persons in
the former class, paying £11,978, and 5,883 persons in the latter
class, paying £89,341. In the year 1889 the property tax yielded
£354,167; in the year 1892-93 the land and income tax yielded
£ 3 74,o88. 1

The number of persons paying land and income taxes has in-
creased both absolutely and relatively since 1893, because of
more careful administration and because of the increase in wealth
of a considerable class of the people, formerly struggling farmers
and shopkeepers. In the year 1907-8 there were 28,991 persons
paying land taxes, out of 150,000 freeholders and 24,179 Crown
tenants. In the same year there were 10,420 persons paying in-
come taxes, making in all 40,411 taxpayers, or 4.3 per cent of the
population, paying in all £842,751. In the session of 1903 a re-
turn was laid before the House showing that out of 115,713 land-
holders only 15,864 paid any land tax at all, while of these 9,287
paid less than £5 apiece, so that by far the greater part of the
taxes were paid by 6,577 landholders. 2 The same condition pre-
vails at the present time. The number of persons paying direct
taxes is very small compared with the total population or with
the number of voters, and to this may be traced much of the

1 Report by the Commissioner of Taxes, C. B. Crombie, July 28, 1893.
Year-book, 1893, p. 425.

'Landholders and Land Tax, 1904 B. 20.

269

22

J. E. Le Rossienol and IV. D. Stewart

laxity in public expenditure characteristic of the democracy of
New Zealand. Back of this inequality in the payment of taxes
lies, of course, a corresponding inequality in the distribution of
wealth.

STAMP DUTIES

A large revenue is raised by means of stamp duties, amounting
to £585,465 in the year 1907-8. These taxes are paid upon a
great variety of instruments, including affidavits, agreements,
annual licenses of companies, assignments, bills of exchange,
promissory notes, bank notes, bills of lading, sea insurance poli-
cies, certificates of incorporation, conveyances, deeds, receipts,
transfers of shares, letters of administration.

The duty on receipts is id. (2 cents), irrespective of value re-
ceived. The duty on transfer of shares begins with a duty of is.
(24 cents) when the purchase money does not exceed £50 ($243) ;
when it exceeds £20 and* does not exceed £50 the duty is 2s. 6d.
(60 cents) ; for every additional £50 the duty is 2s. 6d. Upon
any transfer of shares not an actual sale the duty is 10s. ($2.40).
These duties are obviously intended to discourage speculation in
shares. 1 The duty on bank notes is equal to one-half of 1 per
cent upon the average quarterly circulation. The maker of a
promissory note pays a duty of 6d. (12 cents) for any sum not
exceeding £25, is. for any sum exceeding £25, and not exceeding
£50. and is. for every additional £50 or part of £50. The duty on
bills of lading is is., paid by the consignee. The duty on leases is
2S. 6d. when the yearly rent does not exceed £50, and 2s. 6d. for
every additional £50.

A considerable revenue is derived from licenses granted to
racing associations and other users of a betting machine called
the totalisator. The duty is \]/ 2 per cent upon the gross takings.
In the year 1907-8 the total takings of the totalisator were
£1,999,757, and the government's share was £29,996 ($145.000). 2

An important source of revenue is the progressive tax on the

1 An Act to Consolidate and Amend the Laws Relating to Stamp Duties,
1882.

2 Stamp Acts Amendment, 1891. Year-book, 1908, p. 638.

270

Taxation in New Zealand 23

estates of deceased persons, which is high, rising to 13 per cent
in the case of large estates left to strangers in blood. The duties
are levied according to the following schedule :

1. When the value does not exceed £100 No duty

2. Upon any amount exceeding £100 but not exceeding

£1,000—

On the first £100 No duty

And on the remainder 2 x /z per cent

3. Upon any amount exceeding £1,000 but not exceeding

£5,000 3% per cent

4. Upon any amount exceeding £5,000, and up to £20,000. ... 7 per cent

5. Upon £20,000 and any amount over that sum 10 per cent

6. Strangers in blood, excepting adopted children 3 per cent

additional

Property left to husband or wife of the decedent is not duti-
able. The duties apply also to deeds of gift, so that persons of
wealth can not legally evade the tax by giving their property to
their heirs before their death. Such transactions are very care-
fully watched, and there is very little evasion of the duties, which
yield about £250,000 ($1,250,000) a year. 1

It is impossible to estimate exactly the revenue derived from
stamp duties ; for in some cases, as in affixing stamps on receipts,
ordinary postage stamps are used, and the revenue from the sale
of these is counted as part of the revenue of the Post and Tele-
graph Department.

The people of New Zealand are very much taxed, notwith-
standing the fact that the government carries on a number of
enterprises which one would think should yield a profit and so
afford relief from taxation. But these governmental enterprises
are not managed so as to earn profits, and in some cases they re-
sult in a deficit. The railway deficit for the year 1907-8 was
about £230,000 ($1,017,000), about twice the revenue derived
from the beer duty. The interest on the net public debt, that is,
the gross debt less the value of productive investments, was about
£1,000,000 ($486,000), more than enough to eat up the entire
revenue from the land and income tax. Then there is the sum
of £330,802, given to the aged poor in the form of pensions, which

1 An Act to Enforce and Collect Duties on the Estates of Deceased Per-
sons, 1881. Amendment Act, 1885.

271

24 /• E- Le Rossi gnol and W . D. Stewart

is about two-thirds of the revenue from the stamp duties. There
has also been some extravagance in the public administration, due
chiefly to the prosperity that has prevailed during the past ten
years. Finally, there has been for some years a large surplus of
revenue over expenditure, most of which has been transferred to
the Public Works Fund, chiefly for public buildings, roads, and
bridges.

It is possible, and even probable, that there will be reform in
public expenditure in the near future. The government has lately
announced its intention to try to make the railways pay at least
the interest on the capital cost. It is possible that the unproduct-
ive part of the public debt may some day be paid off and the enor-
mous burden of interest be thereby taken away. The government
has recently proposed a drastic system of economics in the civil
service, which, as Sir Joseph Ward said, "will effect a total sav-
ing exceeding a quarter of a million sterling ($1,200,000), and
this, so far as the portion affecting the public service is concerned,
without impairing its efficiency or inconveniencing the public in
any way." 1

But it is not at all likely that these or other economies will bring
relief to the taxpayers. There may be a larger surplus to spend
on roads and bridges, or some of the public debt may be paid off,
or the amount expended on old-age pensions may be increased,
but it is not likely that taxes will be diminished, for the political
power has for the most part passed away from the wealthy class,
who pay most of the taxes, into the hands of a democracy of rela-
tively poor people who are now taking their turn at exploiting
the rich, and regard the capitalist as a cow to be milked or a goose
to be cherished for the sake of its golden eggs.

B. LOCAL TAXATION

The revenue of the cities, boroughs, counties, road boards, and
©ther local governing bodies is derived only in part from taxa-
tion. In the year 1906-7 their total revenue was £2,812,440, of
which £192,932 was received from the general government,

'Speech of Sir Joseph Ward at Upper Hutt, April 2, 1909. The Press,
Christchurch, April 3.

272

Taxation in New Zealand 25

£1,386,459 from licenses, tolls, rents, and other sources, and
£1,233,049 from rates. Of this amount £889,716 consisted of
general rates, and £343,337 special and separate rates, for water
and other special purposes. The sum of £79,593 was raised by
licenses, and £25,894 by other taxes, making £1,338,536 alto-
gether, which sum is equivalent to £1 9s. 8d. ($7.18) per head
of the European population. Since the total of general and local
taxation is equal to £6.5 ($31.59) per head of the European pop-
ulation, the local taxes are only about one-fourth of the total.
The relative unimportance of the local bodies is largely due to
the fact that the system of public instruction is wholly supported
by the general government, at a cost of £843,311 in the year
1907-8. The general government also grants large subsidies to
the local bodies. 1

Before the year 1896 rates might be levied upon the capital
value or the annual value of real estate, at the option of the local
authorities. The Rating Act defines annual value of property as
"the rent at which such property would let from year to year, de-
ducting therefrom twenty per centum in the case of houses, build-
ings, and other perishable property, and ten per centum in case of
land and other hereditaments, but shall in no case be less than
five per centum of the fee-simple thereof." Capital value is de-
fined as "the sum at which the fee-simple of any ratable property,
if held in possession free from incumbrances, is assessed." 2 The
system of rating on annual value is preferred by most of the bor-
oughs, while the counties usually levy on the capital value.

The passage of the Land and Income Assessment Act of 1891
called the attention of the local bodies to the possibility of a third
form of rating, the rating on unimproved values, which had been
strongly urged by the followers of Henry George. Besides, there
were the usual objections to the existing methods of rating, and
there was a certain amount of speculation in land, which in some
places was withheld from sale and kept unimproved in anticipa-
tion of enhanced values. The laboring class, too, complained of

"■Year-book, 1908, p. 299.

2 An Act to Consolidate the Law for Regulating the Making and Levy-
ing of Rates. October 9, 1894.

273

26 /. E. Le Rossignol and IV. D. Stewart

high rents. Also, the proposed Government Valuation of Land
Act, passed on October 17, 1896, promised to give the local bodies
a basis for taxation without expense to them. For all of these
reasons, but largely through the activity of a few "single-taxers,"
the Rating on Unimproved Value Act, of August 13, 1896, was
passed, giving the local bodies a third option in regard to the basis
on which rates might be levied. The bill was first introduced as
part of the General Rating Bill in 1893, and then as a separate bill
in 1894, 1895, and 1896, in which last mentioned year it was finally
passed. In every case the Upper Chamber was responsible for its
rejection. One of the most interesting points in the debates was
the strong country element among the advocates of the bill. It
might have been thought that, if the measure was to be regarded
as a step towards single tax, it would have excited unbounded
hostility from the rural constituencies. On the contrary, many
of the best speeches in support of the bill came from rural repre-
sentatives, and some of the best in opposition to it came from the
city and borough members. Several speakers who championed
the bill strongly disavowed any leanings towards what one of
them called "that infamous proposal, the single tax." Needless
to say, the bill was heartily supported by the few single-taxers in
Parliament. Mr. O'Regan enthusiastically declared that "even
Henry George himself could not have drafted a more logical bill
than this." A good deal of reliance was placed on the fact that
a similar act had been passed in Queensland in 1890. Indeed, one
industrious historian unearthed the interesting discovery that
under an old provincial ordinance in Taranaki in 1858 rating on
unimproved values had there been in operation for many years.
The ordinance stated that "within the town district an uniform
rate per cent to be assessed on the value of all lands within the
district, exclusive of all buildings, erections, and improvements
whatsoever, shall in every case be imposed, such value to be as-
certained as hereinafter provided." This ordinance was in oper-
ation for many years before Henry George became an influence
in the colony. Since this form of taxation is a partial application
of the principles -of Henry George, it is of more than local interest
and deserves more than passing notice.

274

Taxation in New Zealand 27

RATING OX UNIMPROVED VALUES

The Act provides for local option in taxation, in that boroughs,
counties, town districts, road districts, and other rating bodies
may decide as to whether their rates shall be levied on the unim-
proved value, as determined by the government's valuation, or
upon the annual or capital value of real estate as formerly. A
written demand, signed by from 15 per cent to 20 per cent of the
ratepayers, according to the number of ratepayers in the rating
district, must first be presented to the chairman of the district,
requesting that the Act be submitted to a vote of the ratepayers,
and the vote must be taken between twenty-one and twenty-five
days after delivery of the demand.

Under the original act it was necessary for at least one-third
of the ratepayers to vote, and a majority of their votes carried the
proposal. Because of this provision the Act failed to be carried
in a number of districts, but now the Local Government Voting
Reform Act of 1899 provides that a bare majority of the valid
votes recorded is sufficient to adopt the Act. If the Act is adopted,
no rescinding proposal can be submitted to the ratepayers until
the expiration of at least three years, and if a rescinding proposal
is carried no adoption proposal may be submitted until after three
years have elapsed.

Section 20 of the Act reads as follows : "This act shall not ap-
ply to water rates, gas rates, electric-light rates, sewage rates, or
hospital and charitable-aid rates." The reason for the exclusion
of these rates was that, as they represented service to buildings
alone, they should be exceptional rates and be levied upon the
gross value and not on the unimproved value. 1 In committee Mr.
O'Regan, an ardent single-taxer, moved an amendment having
for its object the levying of these exceptional rates on the unim-
proved value, but this was lost by a large majority.

A similar attempt was made during the parliamentary session
of 1905, when a bill was introduced into the House by Mr. Henry
George Ell to amend the principal act so as to permit the local
authorities to levy "all or any of the rates mentioned in sec. 20

'Pari. Debates, vol. 85. p. 192. 1806.

275

28 /. E. Le Rossignol arid IV. D. Stewart

upon the unimproved value." This proposal excited great oppo-r
sition and a spirited debate, and the bill was lost. It shows, how-
ever, that the single-taxers of New Zealand are not satisfied with
the small measure of land taxation which, they have secured, and
that they favor local option only as a means to an end, and, if pos-
sible, would make rating on unimproved value not optional but
mandatory in every rating district in the Dominion.

Up to May 15, 1899, tne Act had been submitted to the rate-
payers in 23 districts, and in 21 cases received large majorities,
the minorities in most cases being remarkably small. In 8 cases
less than one-third of the ratepayers voted, and the Act was re-
jected, but in all of these districts it was carried at a later date.
Up to March 31, 1906, the Act had been rejected by 12 districts
and adopted by 69, including 2 cities out of a total of 4, 19 coun-
ties out of 97, 38 1 boroughs out of 97, 9 road districts out of 214,
and one town district out of 32. In the year 1904 the Act was
carried by 6 districts and rejected by 1 ; in 1905 it was carried by
6 and rejected by 6; in 1906 it was not voted on in any district;
in 1907 it was carried in 4 districts and rejected in 2. On March
30, 1908, the borough of North-east Valley, which had adopted
the Act on January 12, 1905, by a vote of 202 to 172, voted to
rescind by a vote of 354 to 185. This is the first case of rescission,
although three other proposals to rescind have been made, and
in two cases a strong opposition was developed. In the third case

'The boroughs represent the class of local bodies in which the evils of
land speculation are most felt. Their populations range from a few hun-
dred to 10,000. They come midway in the scale of local bodies. They are
neither purely rural nor purely urban. Their improvements constitute a
greater percentage of their value than do the improvements in the rural
districts. At Ihe same time these improvements are not uniformly dis-
tributed. The boroughs contain many vacant sections — sometimes held in
blocks for a rise in value — sometimes held as grazing paddocks. Hence,
in the boroughs, the evils of land speculation press on the notice of even
the casual passer-by who may never have heard of the doctrines of Henry
George. At the same time it is in the boroughs that cases of hardship
most frequently occur. Some market gardener or small dairy farmer finds
himself confronted with increased rates, while he himself is void of offense
so far as concerns the evils against which the system is ostensibly directed.
These two considerations account to some extent for the large number of
boroughs which have voted, and also for the rejection, in some cases, of
the proposal. No doubt, also, the concentration of population as compared
with the counties makes it easier to obtain a vote.

276

Taxation in New Zealand 29

the vote on both sides was less than when the Act was carried.
The vote is seldom a large proportion of the total ratepayers.

The indifference of many ratepayers to the rating on unim-
proved values is probably due chiefly to the fact that the rates in
most districts are not a heavy burden upon the owners of prop-
erty. The general government supports the public schools and
many charitable institutions, spends large sums of money on roads
and other public works, bears the expense of valuation, and even
grants subsidies to the local bodies. The chief items of local ex-
penditure are for roads, bridges, drainage, harbors, charitable aid,
and hospitals. Besides, over half of the local revenues are de-
rived from licenses, rents, governmental subsidies, and other
sources. In the year 1906-7 the total revenue from rates in all
the local bodies was £1,233,049, and of this amount only £889,711
was derived from the general rates, which are practically the only
rates that can be levied upon the unimproved value. In the same
year the total unimproved value was £149,682,689, so that the
total general rates were only 0.6 of 1 per cent of the total unim-
proved value. In counties and small boroughs the rates are' low,
but much higher in the larger towns. In Wellington the gen-
eral rate is 0.83 of 1 per cent of the unimproved valuation, in
Christchurch (Central Ward) 1.2 per cent, in Invercargill 1.2
per cent, in Devonport 0.6 of 1 per cent, in Stratford I per cent,
and in North-east Valley 1 per cent. These figures show clearly
that the rating on unimproved values is by no means a thorough-
going application of single-tax principles.

On April 5, 1906, the Secretary of State of the British Govern-
ment sent the following telegram to the governors of New South
Wales, South Australia, and New Zealand: "Please send home,
as soon as possible, any reports or other information available as
to the working of taxation on unimproved land, both for munic-
ipal and State purposes. Information especially desired as to
effects of land value taxation on building trade, on rent, on in-
cidence of taxation on house property and vacant sites respect-
ively, and on land speculation. — Elgin."

In compliance with this request the New Zealand government
sent a circular to all local authorities rating on the unimproved

277

30

/. E. Le Rossiffnol and W. D. Stewart

value, asking for a report on the lines required, and 52 replies
were received. A digest of the reports was made and forwarded
to the British government on July 9, 1906, together with a mem-
orandum on the subject by Mr. P. Heyes, the Commissioner of
Taxes. This, with the reports from South Australia and New
South Wales, was published as a blue-book by the British gov-
ernment in November, 1906. 1

Of the 52 replies received about 38 were fairly satisfactory, but
only a few covered all the points about which information was
requested. The following is a rough classification of the replies :

1. There is a general agreement that rents have not been re-
duced, and that the incidence of taxation has been changed, so as
to fall more heavily upon unimproved land and upon land on
which there are improvements the value of which is less than the
unimproved value. Out of 11 opinions concerning the justice of
this change of incidence, 4 say that it is more equitable, while 7
say that it is unjust or onerous.

2. As to speculation in land, 15 replies say that it has been dis-
couraged, and only 1 holds the contrary opinion, while 3 say that
vacant sites have been broken up and put upon the market.

3. As to the building trade, 12 say that it has been encouraged,
8 think that it has not been affected, 1 says it has been discour-
aged, and 1 holds that it has been unduly stimulated to the point
of overcrowding.

4. Out of 25 replies expressing opinions as to the general pop-
ularity of the system, 20 say that it is satisfactory or beneficial,
and 5 say that it is not so.

On the whole, the replies were not very satisfactory, perhaps
because the questions were not sufficiently specific, but more prob-
ably because of the difficulty of forming a just opinion of the
effects of such legislation or even of the state of public opinion
on the subject. Besides, the replies show a tendency to theorize,
and in many cases represent merely personal opinions of the offi-
cials as to the effects that might be expected to follow the intro-

1 Papers relative to the Working of Taxation of the Unimproved Value
of Land in New Zealand, New South Wales, and South Australia. Lon-
don, 1900.

2/8

Taxation in Nezv Zealand 31

duction of the new system. This is markedly true of the mem-
orandum of Mr. Heyes, who seems to interpret the facts from the
viewpoint of a confirmed single-taxer. However, Mr. Heyes is
in a better position to observe the effects of the system than the
town clerks or other local officials, and his opinion must be ac-
corded much weight. Summarizing the results of the investiga-
tion, he says : "In the large majority of cases the system has been
only a short time in force and in these cases no opinion is ex-
pressed as to the merits or otherwise of the system. It is extend-
ing more rapidly as the effect is seen in the places where it is
adopted and it becomes better understood. The reports, as will
be observed, show the results to have been beneficial. From the
reports received, and the most reliable sources of information
available based on personal observation and inquiry, I am of opin-
ion that the effect of the system of rating on the unimproved value
would be correctly summarized on the lines required as follows :

"Building Trade: The effect has certainly been to greatly stim-
ulate the buikling trade. The object and tendency of this system
of taxation is to compel land being put to its best use, so that the
greatest amount of income may be derived from it, and rendering
it unprofitable to hold land for prospective increment in value. It
has been the direct cause of much valuable suburban land being
cut up and placed on the market and thus rendered more easily
available for residential purposes, and of the subdivision of large
estates in the country, resulting in closer settlement.

"The effect on urban and suburban land has been very marked.
It has compelled owners of these to build or sell to those who
would — it has thus caused a great impetus to the building trade.
An owner of land occupied by buildings of little value, finding
that he has to pay the same rates and taxes as an owner having
his land occupied by a valuable block of buildings, must see that
his interests lie in putting his land to its best use. The rebuild-
ing of this city (Wellington) which for some years past has been
rapidly going on is largely attributable to the taxation and rating
on land values, so that the supply of building materials could not
at times keep pace with the demand.

"Rent: The tendencv of this svstem of taxation is not to in-

279

32 /. E. Le Rossignol and IV. D. Stewart

crease rent, but, on the contrary, as the tax becomes heavier, it
tends to bring into beneficial occupation land not put to its best
use and so reduces rent, the improvements being entirely free
from all rates and taxes. In some cases where land suitable for
building sites is limited high rents have been maintained, notwith-
standing the tendency of the system.

"Vacant Sites: The effect has been to cause vacant sites being
put to their best use by expenditure on improvements. On vacant
sites the rates and taxes are increased and continue to increase as
the adjacent sites which have been improved increase in value.
It thus becomes unprofitable to continue to hold land unimproved.

"Incidence of Taxation: The taxation, on building property,
where the improvements exceed the unimproved value, is de-
creased ; where the unimproved value exceeds the improvements
the taxation is increased.

"Land Speculation: The tendency is to discourage speculation
as the tax partially or wholly discounts the rise in value, but land
speculation has not ceased in some districts where the system has
been adopted, because :

"(i) The tax has not been sufficient to render speculation un-
profitable in the large cities, though it has been a factor to be
reckoned with.

"(2) The rapid increase in values has caused speculation in
spite of the tax.

"In my opinion the exemption of all improvements (in con-
junction with the Lands for Settlement and Advances to Settlers
policy of the government) has to a large extent contributed to
the solid prosperity of the Colony."

Before the government's report was accessible the present
writers made a similar investigation by means of a series of ques-
tions sent, in December, 1906, to the clerks of all the local bodies,
69 in number, that had adopted the Act. Forty replies were re-
ceived, of which 35 gave fairly satisfactory answers. The ques-
tions and a summary of the replies are here given :

1. Has the system had any marked effect in discouraging the
holding of land for speculative purposes? Yes, 12; no, 19; in-
definite, 4.

280

Taxation' in New Zealand 33

2. Has the system unduly forced people to part, with land used
for private gardens ? Yes, 4 ; no, 22 ; indefinite, 9.

3. Do you attribute to the system any alteration in the prosper-
ity of your county, district, or borough ? Yes, 7 ; no, 22 ; indefi-
nite, 9.

4. Has the system caused any appreciable increase of buildings
or other improvements? Yes, 12; no, 14; indefinite, 9.

5. Has the system caused buildings to be erected in advance of
requirements ? Yes, 3 ; no, 32.

6. (a) Do you consider the system to work equitably? Yes,
19; no, 9. (b) Do you know of any cases of hardship? If pos-
sible, give details. Yes, 14; no, 10.

7. Has it had any effect in (a) cheapening land, or (b) mak-
ing it easier to get? (a) Yes, 5 ; no, 28. (b) Yes, 12; no, 22.

8. Do the ratepayers and public seem satisfied with the system ?
Yes, 22; no, 3; indefinite, 10.

In further explanation of these questions and answers it should
be noted :

1. The tax is too slight to have any marked effect in discour-
aging speculation, especially in view of the general rise in land
values, but in a number of cases weak holders have been com-
pelled to sell to stronger holders, or to buyers of small lots for
building.

2. In a few places, as in Wellington, where there is a great
scarcity of building sites, the tendency already existing toward
overcrowding has been increased. A higher tax would have a
still greater effect in this direction. It is indisputable that since
its inception there has been a continual process of cutting up gar-
dens, concentration of buildings, and increase of slum areas. The
rapid increase of land value has undoubtedly largely contributed
to this result. But it seems equally clear that the new system of
rating has been a contributing factor. This was clearly foreseen
by the present Chief Justice (Sir Robert Stout), who led the op-
position to the bill in Parliament. He predicted that the effect
of the bill would be to do away with the vacant spaces — with the
lungs of the cities. He emphatically declared that, while in other
lands reformers were struggling to get open spaces, this proposed

281

34 ' /• E. Le Rossignol and IV. D. Stewart

legislation would lead in exactly the opposite direction in New
Zealand.

3. The prosperity of New Zealand is chiefly due to the natural
resources of the country, as yet only partially developed, and to
the high prices for mutton, wool, and dairy produce that have
prevailed during the past ten years. The effects of the land leg-
islation have therefore been obscured. The policy of the govern-
ment in encouraging closer settlement has doubtless contributed
to the development of the country, but the rating on unimproved
value has probably had little, if any, effect in promoting or re-
tarding general or local prosperity.

4. The increase of buildings and other improvements has been
due chiefly, if not altogether, to the general prosperity of the
country, and the consequent increase of population. Districts
where the old system of rating has been retained have prospered
as much as the others. From 1901 to 1906 the population of New-
Zealand, exclusive of Maoris, increased by 15 per cent. The cities
of Wellington and Christchurch, where rating on unimproved
value is in force, increased by 25 per cent and 18 per cent respect-
ively, while the city of Auckland, which has kept to the old sys-
tem, increased by 22 per cent. Two of the suburbs of Auckland,
Devonport, and Grey Lynn, under the new rating, have increased
by 35 and 43 per cent respectively, yet the more conservative sub-
urbs of Remuera, Mount Albert, and Epsom show gains of 42,
75, and 112 per cent. Karori and Onslow, suburbs of Wellington,
which adopted rating on unimproved value in 1898 and 1901. have
increased by 42 and 82 per cent, while the suburban boroughs of
Petone and Miramar, which did not adopt the new rating until
1905, have increased by 56 and 95 per cent. The borough of In-
vercargill, which adopted the Act in 1901, has increased by 16
per cent, and the borough of Tnvercargill South, under the old

& rating, has increased by 22 per cent. The boroughs of Waimate
and Hamilton, where the new system has been in force since 1901,
have increased by 20 and 75 per cent, yet the boroughs of Timaru
and Gisborne, with the old rating in force, show gains of 18 and
108 per cent. The total population of the 21 boroughs which
adopted the Act before 1904 shows an increase of 24 per cent,

282

Taxation in Nejv Zealand 35

while the total population of all the boroughs in New Zealand
has increased ty 22 per cent. The total population of the 10 coun-
ties where the Act was adopted before 1904 has increased by 10
per cent, and the total county population of New Zealand has also
increased 10 per cent in the same time. So there is no evidence to
show that the rating on unimproved value has either advanced or
retarded the growth of the districts in which it has been adopted. 1

5. The tax is not sufficient to stimulate building to any marked
extent, but if it were, and a large number of people improved
their land for the sake of securing some revenue, and not in re-
sponse to increased demand, rents in general would fall, and the
owners of improved property would lose as much as they had
gained by exemption from taxation, or more. At the same time
the propertyless class would gain by the reduction of rents.

6. The question of equity in the majority of cases has trans-
formed itself into a question of the interests of the several classes
concerned. There are two classes of owners : those whose unim-
proved value is much greater than the value of their improve-
ments, and those who own a relatively greater value in improve-
ments. Owners of the latter class are well satisfied with the
rating on unimproved value, since it has reduced their taxes.
Owners of the former class complain when their taxes are mate-
rially increased, but since land values have risen almost every-
where, most of these people have lost nothing and feel no great
burden unless they are holding large quantities of unimproved
land. There are many individual cases of hardship, as where a
poor person in a borough has a large vegetable garden or a pad-
dock for a cow. Some industries, too, such as lumberyards,
foundries, and dairies, situated within a borough, have had their
taxes greatly increased, and have been compelled to move to the
country, where land is cheap. Not infrequently people owning
large houses built upon small lots have had their taxes reduced,
while some of their poorer neighbors have paid more. As a rule,
however, a large house is built upon a large piece of land and a
small house upon a small allotment. Moreover, rich people as a
rule own more unimproved land- than poor people. Therefore

'Census of 1006.

283

V

36 /. E. Lc Rossignol and W. D. Stewart

the adoption of the new system involves a shifting of the burden
of local taxation from the many to the relatively few, and those
few, in a progressive community, are usually those best able to
bear it. In a stationary or declining community the case might
be quite different.

Where the system has been adopted in counties containing
towns, the taxes on rural property are relatively increased and
those of town property relatively decreased ; so that the country
people complain and demand a system of differential rating, or a
separation of the towns from the rural districts for purposes of
rating. Again, in rural districts the rates fall more heavily upon
the holdings of new settlers than upon the improved holdings of
their more prosperous neighbors.

7. Land values have risen greatly, notwithstanding the tax.
This, together with the slight amount of the tax, is probably the
cause of the general indifference of ratepayers to the question.
There is still a great deal of speculation in land, and land values
are probably too high, in view of a possible and even probable
fall in prices of mutton and wool because of increasing compe-
tition on the part of Australia and Argentina.

8. Many of the ratepayers, if not a majority, have had their
rates reduced and are well satisfied with this result. Many others
are indifferent. The working class, who are interested in the se-
curing of lower rents, are largely in favor of rating on unim-
proved values, but only those who own property can vote on the
question. Town clerks are inclined to favor the system because,
if adopted for all rates, it would permit of a simplified system of
bookkeeping. The minority who suffer hardship do not seem to
have sufficient influence to have the system abolished.

The case of North-east Valley is of particular interest since it
is the onlv district that has adopted the svstem and afterward
^'♦feifelilttdoned it. The borough has a population of 4,467. It
adopted rating on unimproved values on January 12. 1905, and
voted for rescission on March 30, 1908. In reply to the govern-
ment's circular, the borough reported as follows : "Decreases
rates on buildings. Increases rates payable on land. Encourages
building operations. Attracts population. Does not materially

284

Taxation in Nezv Zealand 37

reduce rents. Oppresses holders of land unsuitable for building.
Discourages land speculations. Reduces number of vacant sites."
In reply to the writers' circular the answers were, in brief : "Dis-
courages speculation in land. Forces people to sell private gar-
dens and other land. Has increased prosperity, causing a large
increase of building and influx of population. Has not unduly
stimulated building, but there is danger of this. Is hard on the
farmer. Differential rating should be allowed. It has made land
cheaper and easier to get. The majority are eased and therefore
satisfied. The minority feel the additional burden."

A number of people in New Zealand, particularly the followers
of Henry George, give a glowing account of the success of rat-
ing on unimproved values wherever tried. The Hon. George
Fowlds, Minister of Education, holds that the land taxes, both
general and local, have been among the chief causes of the pros-
perity of the Dominion during the past ten or twelve years. Mr.
Ell, M. H. R., is strongly in favor of the new system, and would
have water rates, gas rates, and all other rates, general and spe-
cial, levied upon the unimproved value. Mr. George Laurenson,
M. H. R., said in the House : 'T can assure you that the rating
on unimproved values system will yet be adopted by every mu-
nicipality in New Zealand. In the next ten years it will be
adopted in connection with every class of rates that may be levied
in this Colony."

But the facts do not seem to warrant optimistic conclusions
such as these. The benefits of rating on unimproved values are
not so obvious as to command unanimous approval or to persuade
all the rating districts to adopt it without delay. The opposition
to the system appears to be growing stronger as people are com-
ing to recognize its relation to the propaganda for single-tax.
The small landowners like to shift the burden of taxation from
their own shoulders to those of their wealthy neighbors, but they-
are strong supporters of freehold tenure and will not readily con-
sent to have their property confiscated by any radical extension
of the principle of taxation of unimproved values.

The growing political power of the laboring class, for whose
benefit much of the recent legislation of New Zealand has been

~~

38 J. E. Le Rossigno! and W. D. Stezuart

enacted, may ultimately bring about the nationalization of land,
but surely not until the Dominion has become an industrial na-
tion, rather than a pastoral and agricultural community as it is
today. Up to the present time the effects of rating on unimproved
values have been insignificant. The most notable feature of the
system is the shifting of the burden of local taxation from one
class of taxpayers to another. It is an interesting phase of the
tendency which prevails throughout Australasia toward an equal-
ization of wealth by means of a legal transfer of the property of
the wealthier classes to the pockets of their poorer neighbors.
How far this process will go it is impossible to foretell, but that
its ultimate results will be beneficial to the majority of the people
is by no means certain.

Viewing the New Zealand system of taxation as a whole, it is
seen to be more like European than American systems in that it
derives large revenues from income taxes and stamp duties,
sources generally neglected in the United States, except in time
of war. No doubt the New Zealand system is well adapted to the
conditions of the country, and the only serious criticism that could
be made is that too much is taken from the taxpayers and too little
returned to the people in the form of social benefits. That the
taxpayers' burdens will be reduced does not seem at all likely, but
that economy in expenditure will increase the sum total of social
benefit may at least be hoped.

■

^86

T^v "

"S,

-*••■■

Volumes I, II, III, IV, V, VI, VII, and VIII of University Studies are
each complete in four numbers.

Index and title-pas;e for each volume are published separately.

A list of the papers printed in the first two volumes may be had on application .

Single numbers (excepting vol. II, no. 3) may be had for $1.00 each.

A few copies of volumes I, II, III, IV, V, VI, VII, and VIII, complete in
numbers, are still to be had.

All communications regarding purchase or exchange should be addressed to

THE UNIVERSITY OF NEBRASKA LIBRARY

Lincoln, Neb., U. S. A.

JACOB ITO^-H * CO., PRINTERS, LINCOLN

Vol. IX

No. 4

University Studies

PUBLISHED BY THE UNIVERSITY OF NEBRASKA

COMMITTEE OF PUBLICATION

C. E. BESSEY P. H. GRUMMANN

F. M. FLING W. K. JEWETT

L. A. SHERMAN

CONTENTS

I Three London Theatres of Shakespeare's Time

C. IV. Wallace 287

II The English Lyric: A Study in Psycho -genesis

H. B. Alexander 343

LINCOLN, NEBRASKA

University Studies

Vol. IX OCTOBER ipog No. 4

THREE LONDON THEATRES OF SHAKE-
SPEARE'S TIME.

#3' Charles William Wallace.

I

NATURE OF THE NEW DOCUMENTS.

The records presented in the following pages came into my
hands in the natural course of research conducted in European
archives by myself and wife the past few years, resulting in a
series of similar discoveries on the stage and drama of Shake-
speare's time. They belong to the Court of Requests, of the
reign of James I, and are preserved in the Public Record Office
at London, the great national archives of England, where are
admirably kept the most varied and extensive sources of history
in existence.

The pleadings of this branch of equity for the period in hand
are uncalendered, or unindexed, and have lain unexamined for
three hundred years. They were prepared by the officials for
inspection upon my request. Skins, or parchments, ranging from
twehe or fifteen square feet to occasional scraps an inch wide,
compose the chief bulk of the proceedings. Most of them are
as large as a sheep-skin would cut to straight edges, and the finely
written nnes run the entire width of the skin. Depositions, re-

University Studies, Vol. IX, No. 4, October 1909.

287

2 Charles William JJ'allace

ports, &c, are on heavy hand-made paper. All, except the mis-
cellaneous books, have long been well and cleanly preserved in
great canvas-covered bundles nearly three feet square. When
they were prepared for my examination, the fine old bundles,
because of the difficulty experienced by the office in handling
their great bulk and weight, were broken up into two or three
parts each. Some of the documents are mouldered, rotted away
in places, or matted together from damp and parasitic diseases
peculiar to archives, while others are not only as perfect as the
day they were written, but have acquired that additional beauty
which comes only from the tone of time. The condition of the
present collection is sufficiently indicated below.

It is often thought that the finding of valuable materials in such
masses is a mere matter of chance or " luck." The preposterous-
ness of such a notion would be demonstrated at once to any one
who should attempt research upon such a basis of mere hap-
hazard. Out of the hundreds of archives, you must, upon sure
information, determine whether you will search in the one or the
other, and in following out a system, you will find yourself led,
as I have been, first into one, then another, and another. Once
in, you must know what class of documents to search. For
example, at the Public Record Office alone, there are some
thousand classes and sub-classes of documents. The same con-
ditions, on a smaller scale, exist in the other archives. Out of all
these you must, by some definite information or clue, determine in
what class the records lie that will give the information you
desire. A chance result may, of course, come to any one, just as
has been the case in this very field. But chance cannot be de-
pended upon. A continued series of results is achieved, not
reached by a hand thrust at random into the dark.

In my own researches, neither the present discoveries nor any
others have been the result of accident, or chance, or " luck."
They have come from severer, surer methods. I was led into
this particular class of records, just as I have been led into all
others, in following out definite clues in a rigorously scientific
and systematic course of research. It is comparatively easy to
examine any class of records after you know where and what

288

Three London Theatres of Shakespeare's Time 3

that class is, and what to hunt for. But one might search a
life-time, as many illustrious men. some of them my prede-
cessors, have done, without finding any of these. It looks all
very simple after it is done. And it is simple, — after it is done,
— as illustrated by the famous story of standing an egg on end.

I may add that we have examined every document preserved
in the Court of Requests for the period in hand, and are able
to report that the following are the only records that still exist
there in the cases of Woodford vs. Holland, Smith vs. Beeston,
and Alleyn vs. Henslowe.

The contemporary records now presented reedify three old
London theatres of Shakespeare's time, revivify their owners
and actors, and make us see and realize and share in the exist-
ence of each, as if we were of and in and properly belonging
to that long past that was just as real and just as human as
our own present. These old theatres were not things of romantic
wonder, nor were the actors glorified beings that trod the boards
with god-like movement and divine passion. Both were as real
and as common as life and its means of existence. Partly from
their contemporaneousness with Shakespeare and partly for their
own sakes in a revered past, the dramas that first spoke to the
little audiences from the lips of these actors, and from the stages
of these theatres, and through the financial risks of these share-
holders and managers, have come down to us with so much
of idealization and so little of these living voices that we have
long been wont to think romantically, rather than really, about
them. But it is good to walk among living men, to meet them,
talk with them, know and feel their lives, careless of what may
come of it, but sure in the end that such good is best. If these
documents did that only, then they would be well worth reading.
But they inform, as well as bring us to a proper mental attitude.

In presenting the new information I have not followed the
severe scientific methods of my own models and ideals, because
these records are but fragments of large history, and I desire
here mainly to put the matter into print for future reference
of both myself and others who may engage in the scholar's
task and privilege of editing data into truth. I do not feel,

289

4 Charles William Wallace

however, that a mere report would be either adequate to the
materials or just to the student of literary history. Both scien-
tific accuracy and faithfulness to matter and reader justify and
require the printing of these documents in extenso, even though
they be verbose and prolix. The writers of them, three cen-
turies ago, did not have an eye to our present day ignorance of or
unfamiliarity with or injudicial criticism concerning their forms
of expression, methods of spelling, punctuation, &c. In being
faithful, therefore, to the documents in word and letter, so far
as the present printer's facilities allow, I am doing neither more
nor less than honest dealing with them demands.

In this sort of work the ideal for the scholar is the original
document itself. The next approach to it is the photographic
facsimile. Next to that is the type-facsimile, with all signs of
contraction presented. It is falling somewhat short of my ideal
to have none of these. But since the signs of contraction would
require to be specially cast for this matter, I follow the next
best method, by expanding into italics all signs of contraction,
and making a type-facsimile of all else. When no sign of con-
traction is found in the original, the shortened form is not here
expanded. There is, therefore, in these expansions no " method "
or " system " or " uniformity," such as only the unscholastic could
wish, but a rigid adherence to the documents themselves, such as
every scholar has a right to demand. You will find, for example,
such as " pi", " pit ", " pl l ", and plaintiff, all for the same thing,
because only in this last form does the original have a stroke
above or through the short form which the present fonts are not
provided with. If faithfulness of representation alone did not
demand keeping these ununi fortuities, they should still be re-
tained for the very flavor of antiquity they give. If such forms
and the irregular spellings, with capitals and punctuation dis-
tributed at random, seem to some no more than merely " quaint,"
their effect will not have been wholly lost.

Superior letters are kept, long "/" is represented by modern
short " s ", and signs of contraction, as above, are expanded
into italics. Otherwise the print aims to be faithful to the origi-
nal. Words in square brackets [thus] are not in the documents,

290

Three London Theatres of SJiakespeare's Time 5

but are inserted by me. Such insertions at the head of the docu-
ments merely explain. Those in the body indicate illegibility,
from decay, and are supplied either from the context or from
some other record of the series.

This matter has gone through the press during my absence
from the University. But as the proof-reading has been done
under the direction and care of the editor and the committee of
the Studies, it is hoped that it will be found to be accurate.

II

THE RED BULL THEATRE.

To J. P. Collier, despite his colossal forgeries, we owe great
credit for new knowledge and the assembling of old informa-
tion on the theatre and drama of the period best designated as
Shakespearean. His knowledge of the Red Bull was slight, but
it was more than had been found out prior to his first publication
in 1 83 1. He did not know the date of its erection, but inferred
it to be late Elizabeth. He ascertained that it was located at
the upper end of St. John street, but erred in supposing it origi-
nally an inn yard, like the Bell Savage of Ludgate Hill. He
found that it was occupied at some undetermined time in the
reign of James I by Queen Anne's men, and then, after her
death, March 2, 1618— [19], by some of the same actors under
a new name, the Revels company ; that it was, as mentioned in
Prynn's Histriomcistix, in 1633 one of the "two old playhouses"
and had been " lately reedified and enlarged " ; that, under the
regime of the Puritans of the Commonwealth, it was, for exam-
ple in 1647, used clandestinely by once famous actors in play
presentations; that it was, after 1660, under the Restoration,
used by Thomas Killigrew's royally licensed company; and that
before 1663 it was tenanted only by fencers and spiders.

We have, since Collier's day, added to this information. A
picture from Kirkman's Drolls (1672), certainly much older
than its date indicates, shows crudely a portion of the interior
and the arrangement of the stage. While this gives us informa-
tion of a kind, it is of doubtful value in its customary applica-

291

6 Charles William Wallace

tion to any theatre of Shakespeare's time. Among the Patent
Rolls at the Public Record Office (7 James I, part 39), is a
patent of 15 April, 1609, granted by King James to ten actors,
servants to the Queen, then acting at the Red Bull and the Cur-
tain. This was first printed by T. E. Tomlins in The Shake-
speare Society's Papers, 1847. Dr. F. J. Furnivall published in
The New Shakespeare Society Transactions (1877-1879) cer-
tain extracts from the Lord Chamberlain's accounts, preserved
in the Public Record Office, showing the amount of red cloth
granted for the King's Procession through London at his corona-
tion in 1604, to William Shakespeare and his associates at the
Globe, who were known as the King's Men, to the Prince's actors
at the Fortune, and to the Queen's men, who then or soon after
occupied the Red Bull. We know also some of the plays acted
there, and the names of the chief actors throughout the reign
of James I.

In 1885 Mr. James Greenstreet, who, for many years during
his genealogical researches at the Public Record Office and else-
where, was employed by Mr. J. O. Halliwell-Phillipps to report
to him any documents bearing on Shakespeare or the stage,
chanced upon a number of valuable records. Among these was
a Chancery suit between members of the Red Bull company, the
will of Thomas Green, and three of the minor documents, of
easy access, in the Woodford-Holland series presented entire in
the following pages. He published his discoveries in Nezv
Shakespeare Society Transactions and The Athenaeum, as also
separately, in 1885. All of them are reprinted in F. G. Fleay,
A Chronicle History of the London Stage (1890).

Thomas Green's will, when isolated, furnishes little informa-
tion about the Red Bull. But it is of some service when cor-
related with other matters. The Woodford-Holland order of
May 15, 1613, the decree of June 23 following, and the affidavit
of July 6, the three which Greenstreet found, fall into proper
place in the following new series, so far as the great gaps and
losses allow. They are also now printed for the first time ac-
curately. The Chancery suit of May, 1623, yields invaluable
information on the management of the company. But as that

292

Three London Theatres of Shakespeare's Time y

suit comes at a later date than the Wood ford-Holland and the
Smith-Beeston suits here presented, and as I hope later to pub-
lish other documents that supplement the Chancery suit, I shall
not here deal with its materials.

The following sets of documents increase our information.
In spite of their repetitions and verbosity, they furnish us more
information about the organization, management, and dissolution
of the Red Bull company than all previous documents, except the
Chancery suit, and besides throw out valuable new hints as to
the methods prevalent in other theatres of the Shakespearean
period. I desire here merely to call attention to salient points of
interest, reserving for volumes already announced the privilege
of adequate correlated presentation and analysis of the history
involved.

The Wood ford-Holland documents present an anomalous con-
dition. Time has played many pranks with ancient records, and
we may well be glad that he has not finished with these as he has
with so many. In our long search through some million of
records, and indexed names in multiplied number, we have again
and again traced a document to its lair, only to find it no longer
existed. It is our experience in some classes of documents that
nearly all are extant, and in others, of high historical importance,
that only about one document in ten or twelve is now preserved.
The rest have perished. Sometimes an entire class of docu-
ments is gone. The records are well cared for now ; but when
you see the moulded, rotten, or massed condition of some of
them, the result of damp or even neglect in past centuries, you
marvel at the perfect preservation and even beauty of others
side by side with them, and are thankful for the information
they yield in any form, whether whole or fragmentary. The
anomaly of the Woodford-Holland records is, that we have left
from the ravages of Time and his assistants a complete set of
the court's proceedings in a case begun in 1613, but none of the
pleadings; and in 1620-21 a complete set of pleadings in prac-
tically the same case renewed, but not a single scrap of evidence
of the court's proceedings. No witnesses were examined for
either Woodford or Holland in the suit of 1620-21, as shown

293

8 Charles William Wallace

by the perfect lists of witnesses, term by term, kept in the court's
witness-books. A commission was issued to Dyott and Gold-
smith to examine witnesses in the 1613 suit, but Goldsmith's
report indicates they examined no witnesses, but instead called
the plaintiff and defendant together in his office and arrived at
a basis of settlement.

The matter in controversy is easy enough to follow. But some
of the most valuable points of history are only incidental to the
suits, and are elusive. They must be supplied from other sources.

It appears there was some sort of building known as the Red
Bull in St. James, Clerkenwell, prior, to the theatre that was built
on the same place. It was owned by Christopher (?) Bedding-
field, whose wife and administratrix, after his death, leased it to
Aaron Holland. Holland, at some unknown date before 1605,
built the Red Bull theatre there, and leased it out. The date of
erection, as shown under the Smith-Beeston documents, must
have been between 1603 and 1605.

Following the example set by Shakespeare and his associates
in dividing the Globe into shares, as presented in the now famous
Osteler-Hemynges documents which I made public in the London
Times, Oct. 2 and 4, 1909, the Red Bull likewise was divided into
shares. It was evidently leased to Queen Anne's company in or
before 1605 ; for Thomas Swynnerton, a lessee of one share or
seventh part in that year, with the official position of gatherer —
the box-office man of that day — was a member of her company.

About three years later, Swynnerton sold his share or one-
seventh part to Philip Stone, who, like Holland, was too ignorant
to read or write. A new lease, or indenture, dated in February,
1608, was made accordingly by Holland to Stone, presumably on
the same terms as formerly to Swynnerton. In 1612, about the
time of Thomas Green's death, when the company underwent
several changes, Stone, needing money, sold out to Thomas
Woodford, a man little known to historians of the stage, but con-
nected, I find, with nearly every theatre in London. He was a
merchant, and traded extensively in continental Europe.

The consideration from Stone to Swynnerton and in turn from
Woodford to Stone was 50/. outright for the one-seventh part

294

Three London Theatres of Shakespeare's Time 9

of the profits, and 50.?. yearly for one-seventh of the rent of the
theatre of the Red Bull. Woodford claims that the profits on
one share or seventh part amounted yearly to about 30 1. Ap-
proximately three months after his purchase, Woodford went
beyond the seas, and left the business of the Red Bull in the
hands of his agent, Anthony Paine, and Holland. During his
absence, Paine, he says, failed once to pay the rent on the day
it was due. whereupon Holland claimed forfeiture of the share.
So, when Woodford a few months later, in 161 3, returned, fail-
ing to agree with Holland in an equitable settlement, he brought
suit against him in the Court of Requests. He asks full restitu-
tion of his share, as well as the position of gatherer attached to
it, and the profits, which he estimates at about 30 /. yearly.

The documents themselves best tell the long, hard fight in dif-
ferent suits and courts for a period of nine years to establish
what Woodford believed to be his rights. In the main, the Court
of Requests sustained Woodford, and the Kings Bench overruled
both him and the Court of Requests. Had it not been for the
bitter feeling of these two courts toward each other, this case and
many another would have been settled shortly. To a student of
the English judicature in one of its most visible and rapid periods
of evolution, with Sir Edward Coke on one side and Sir Julius
Caesar on the other, this case is highly instructive merely from
the legal point of view. But the Smith-Beeston case is illuminat-
ing in showing how even the parties summoned were affected by
the war of the courts in their contempt for the judicial authority
of the Court of Requests. I shall later present another in which
the contempt becomes comical.

The market value of a share in the Red Bull and its profits
furnishes a new basis for estimating the incomes of theatrical
shareholders. The Osteler-Hemynges documents, just referred
to, estimate the annual profits of one-fourteenth of the Globe at
300/., and one-seventh of the Blackfriars at 300/. But I have
previously pointed out that this is an excessive estimate and can-
not be taken as a proper basis. I am publishing still other docu-
ments which show a very conservative and quite accurate esti-
mate of the profits in the Globe. As I deal there with the present

295

io Charles William Wallace

estimate as well as others now available, I need not re-present the
matter here. It is sufficient now to note that on the basis
furnished by the present documents, the cash value of the Red
Bull shares was 350/. as a profit-producing concern, its annual
rental value was 17/. 10^., and its net profits, 210/. yearly.

In the 1613 suit, the most important point, for us, concerns
" the gatherer's place," the pay for which at the Red Bull was on
a percentage of 5% % of the total receipts at each play; or, as
here put, the eighteenth part of every penny. On this point there
is a palpable error in commissioner Goldsmith's report, 22 June,
1613. It is clear that the actual basis of settlement was, not as
Goldsmith by hasty error puts it, but, first, that Holland should
yield a point and re-grant to Woodford the share or one-seventh
part formerly held in succession by Swynnerton, Stone, and him ;
and second, that Woodford should, in turn, yield up to Holland
the gatherer's place and its profits of one penny out of every
eighteen collected or received. Goldsmith has simply confused
the share in the theatre and the perquisites of the gatherer in his
first two articles.

We have long known that the contemporary theatres had
" gatherers." But this is the first hint of either the amount or
method of pay in any one of them.

The Woodford-Holland documents, with their gaps and inter-
ruptions, are here presented in chronological order.

WOODFORD VS. HOLLAND.

Court of Requests Proceedings, Uncalendered, James I.
[1613-]

BILL AND ANSWER.

[Not extant. Date, probably Hilary, 1613, or possibly Easter.]

Decrees and Orders, Easter Term, 11 James I, Vol. 26, />. J30.

io° Maij a ii° et 46V

Towelling the cause at the sute of Tho : Woodford compl 1 againste

Aaron Holland def 1 , vpon the mocion of M r Dyot of counsaill w th

the said compl 1 yt is ordered that the said def 1 having convenient

296

Three London Theatres of Shakespeare's Time 1 1

notice of this order shall at his pmll attend this court, vpon
friday next to shewe cause why a decree should not be made
to put the pl l in present possesion of the profits of that part
of the play howse called the redd Bull in question, whereof the pi'
had A lease, and why he should not make vnto the said compl 1
A newe lease according to the fornw lease, made of that part of
the saide howse to one Tho: Swynerton, w ch lease by meane as-
signement came to thandf.? of the compl 1 , & also to shewe cause
why he the said def 1 should not be accomptable for such moneys
as he hath receaued for the pi*, & why also the arrerages of
eighteen pence A weeke due to the gatherers place, & deteyned by
the saide def 1 should not be referred to some indifferent men
texamine & certifie.//

[A transcript of this order, dated n May, n James I, evidently served
by the Messenger of the Chamber on the defendant, is found also in one
of the bundles of the uncalendered records of the Court of Requests.]

Decrees and Orders, Easter Term, n James I, J'ol. 26, p. y8o.

xv t0 die Maij A° R Regis Jacobi Anglie
ffr: et Hibmiie n° et Scotie 46 ./

Woodford I n the matter of varyau/zce depending before his ma tie & his

Holland J r °

highenes Counsaill in his ho : Court of Whitehall at the sute of
Thomas Woodford gent compl 1 against Aaron Holland def 1 ,
Being amongest other things for & concerning the compl tes
demaund of the eightenth penny and the eighteenth part of such
moneys & other comodities as should bee collected or receaued
for certen yeares yet enduring for the profits.? of the Galleries
or other places in or belonging to the Play howse called the Red
Bull at the vpper end of S { Johns streete London, as in & by the
said compl tes bill of complaint is declared, Vnto w ch Bill the said
def 1 hath made answere, Wherevpon it is now Ordered by his
ma tes sa i(j Counsaill by & w th the consent of both the said parties
that the said matters of the compl tcs bill, & the def tes answere
shalbe wholly & absolutely referred to the hearing and ordering
of Anthony Dyot & Clement Gouldsmithes esq 1 " Counsailo rs at
lawe being seucrally of counsaill w th the said parties, who are

297

12 Charles William Wallace

content to take paines for the composing of the same con-
trouersies, ffor w ch purpose A Commission vnder his highenes
Privie Seale shalbe directed vnto the said m r Dyot & m r Gold-
smith, authorising them thereby to call before them both the
said parties, together w th all such witnesses as by either partie
shalbe no;/zi»ated And to examine them the said witnesses by
theire othes in due forme of lawe, vpon such articles Jnterr as by
either partie ministred towching the matters of the said bill &
answere, And by all such good wayes & meanes as to them shall
seeme meete to searche & fynde out the veritie of the premisses,
And therevpon finally to Order & determine the same con-
trouersie if they can, But if they cannot so doe Then to certify
theire wholl doings and proceedings therein into this court on
the Ouindezim of tholy Trinitie next cominge, Wherevpon his
ma tes said Counsaill are pleased to take vpon them the vmperage
of the same matters, & finally to determine the same — /

Decrees and Orders, Trinity Term, n James I, Vol. 26, p. 835.

xv to die Junij A° RRcgis Jacobi Anglie
ffr: et Hibmiie xj° et Scotie 46 ./

W HonL°nd Towching the cause at the sute of Thomas Woodford compl 1
against Aaron Holland def* vpon opening thereof in presence of
Counsaill on both sydes it is ordered that the said def 1 having
convenient notice of this order shall at his perill attend in person
in this court vpon monday next (sedenfe Curia) to shewe cause
why he should not make A sufficient lease to the compl 1 according
to the certificat or report of Anthony Dyot esq r A former Com-
issioner in this cause, And also why the profetts of the xviij th
part of the play howse in question should not be sequestred into
ihsmdes of A third person indifferent, to be preserved vntill the
said lease be made.//

Commissioners' Report. Found among the uncalendered Pro-
ceedings.

Accordinge to a Commission vnder his Mat ies Privie seale to M r
Anthonie Dyett of the Inner Temple Esquio 1 ", and my selfe

298

Three London Theatres of Shakespeare's Time 13

directed from his Ma ties Courte of Requestes and the Councell
thereof to here and determine of the cause in Controu<?rsie de-
pendinge in the said Courte betweene Thomas Woodford p: u
and Aron Holland defend*, touchinge an interest claymed by the
p.ites bin i n the i8: tinth parte of the profits of the plaiehouse
called the Redd Bull in the parishe of S 4 James at Clarkenwell.
Wee, in whitsune weeke last, did meete at 2 seu^rall tymes at my
chamber in Grayes Inne callinge both the parties before vs, and
heard all Allegac/ons on both partes, and p^rvsed the Indentures
made by the defend. 1 vnto Stone and the Covenanted therein,
and in the end wee both as I then conceaved did agree and
assented vnto these 4 Articles and things to be performed by the
said parties viz://

iffirst that a newe graunte should be forthw th made by the defen. 1
vnto the p : u of the i8. tinth parte of the profits of the said plaie
house, for the Remainder of yeares yett to come in the graunte
made to the said M. r Stone, whose interest the said p. u claymed
w th the like Covenants and Condicons as were before in Swin-
nerton or Stones graunte/.

2 Secondlie that the defend. 1 should enioye the gatherers place then
in question betweene theme and not the p : u /.

3 Thirdlie that M r Holland should be discharged as against the p. u
for the meane profits that he hath receaved since the forfeiture
in regard that the gatherers place had heretofore beene detained
and kept from him by the p. u and those from whome he claymeth
his interest./

4. Lastlie that in Consideradon of this newe graunte, the p." should
paie vnto the defend. 1 vj. u xiij 3 iiij. d and be discharged of the
halfe yeares rente due at our ladie daye last past w ch came to 25 : s
With this Agreement we acquainted both parties whoe then
seemed vnto vs as we then conceaved to be well pleased w th the
same/.

This at the request of the defend. 1 I am bould to Certifye
vnto this Honourable Courte, the rather for that the said p."
hath procured a single Certificate from the said M r Dyett, never
makeinge me acquainted w th the same leavinge neverthelesse the

299

14

Charles William Wallace

cause to the further grave and Iudicious Censure and considera-
c/on of this Honorable Courte/

Cle :* Goldsmyth
22 die Junij 1613.

Decrees and Orders, n James I, I'ol. 26, p. 890. [Document
badly damaged.]

xxiij° die Junij A° &c 11° et 46 ./

W Hotiand I n tne matt er of varyauwee depending before his ma tie , and his
highenes Counsaill in his ho : Court of Whitehall at the sute of
Thomas Woodford gent compl 1 against A[aron] Holland def 1 ,
Being amongest other things for & concerning the compl tcs
[d]emaund of the eighteenth penny and eighteenth part of such
moneys and other comodities as should be collected or receaued
for certen yeares yet enduring for the profits of the Galleryes
or other places in or belonging to the Play howse called the red
Bull at the vpper end of S* Johns streete London according to A
deede Jndented made & sealed by the said def 1 vnto Phillip Stone
gent his executo rs administrato rs & assignes and certen cove-
naitntcs therein for the considerac/ons & vnder the yearely rent
of fiftie shillings quarterly to be payed by [eve]n pordons in
such manner as in the bill is expressed, w th proviso that [in
de] fault of payment of the said annuall payment at the dayes
for [paymjent thereof, the benefit & comoditie graunted as
aforesaid together [with] the said Indenture should cease, Which
said Phillip Stone hath [graunted] and assigned over by good
conveyau/ice in writing his state and [inter] est in the premisses
vnto the compl 1 and his assignes, And the compl 1 [entrusted] the
said Holland w th receipt of the profits thereof to the [use of the
compl 1 ] who promised to deale well w th him in his absence beyond
[the seas] And that he would not take advantage of the breache
of anie [covenant that mig]ht happen in the time of his absence
(if any such shoulde . . . [happen]) Neuertheles the said compl 1
did take speciall order with [one An]thony Payne that he should
performe the sayd yearely payments [of fift]ie shillings at the
dayes wherein the same moneys should growe [due] who neglect-

300

Three London Theatres of Shakespeare's Time 15

ing one quarters payment being xij s vj d for the space [about] of
one day or two the said def 1 afterwards refused to accept of the
[sam]e and seeketh to take the benefit and advantage of forfei-
ture of [the] said Jndenture and refuseth to accompt w th the
compl 1 for the profitts [recei]ued by him wherein the compl 1
prayeth releife as in his bill of [comp]laynt is declared. Vnto
w ch Bill the said def 1 by way of [ans]were amongeste other
things hath sett furth that if the said compl 1 [sh]all satisfie and
pay all such sommes of money as he the compl 1 or anie other
from whom he claymes haue vniustly deteyned or caused to be
deteyned from him, he is well contented to make A newe Jnden-
ture vnto the compl* in his owne name, vnder such covena/mts
articles provisoes condidons & agreements as are conteined in
the said Jndenture formerly made by him to the said Phillip
Stone, As by his said answere may appear, Vpon opening of
which matter before his ma tes said Counsaill in presence of the
counsaill learned of both the said parties, and vpon consideraa'on
had of the said def tes said answere & other circumstances of the
cause, And for that the said def 1 hath not made apparant to
this Court what moneys are iustly due vnto him from the said
compl 1 , Jt is therefore Ordered by his ma tes said Counsaill that
the said compl 1 his executo rs & administrato rs shall fromhence-
furth haue and receaue the profitts and benefitt of all the said
premisses in as lardge and ample manner, and in such manner
& forme as he or the said Phillip Stone before him or any other
person for or on the behalf of the said comp[l l ] or of the said
Phillip Stone ever heretofore had and enioyed the same without
the lett denyall disturbauwee or contradica'on of the said def 1 or
any other person or persons clayming in by from or vnder him,
vntill such tyme as other and further order shalbe in this court
taken and made to the contrary And it is further ordered that
the said compl 1 s[hall] and may [dr]awe A newe Jndenture or
deede Jndented to theffect of the former w th such covenaunts
& provisoes as in the former Jndenture graunted to the saide
Phillip Stone is conteyned w ch the said def* shall furth w th vpon
request in that behalf to be made seale & deliurr as his deede and

301

i6

Charles William Wallace

exe[cu]te the same to all intentc? and purposes as the said
former Jndenture [w]as made and executed notwithstanding any
pretended forfeyture there [of] And for the other demaundw
aswell of the compl 1 as def 1 the said par [ties are given] libertie
to proceede according to the ordinary course [o]f this Co[urt.
And] yt is lastly ordered that an Jniunccion vnder his ma tes
Pri[vie Seale] vpon paine of CCC 1 shalbe directed to the said
def 1 and [euery and all other] person or persons clayming in by
from or vnder him to whom [in this case] it shall apperteine,
for the due performaunce of the present ord[er] //

Process Book, Trinity Term, n James I, vol. 183, fol. 3/j.

Tertio die Julij

An Jniunccon to Aron Holland and others to
performe An order at the suite of Tho: Wood-
forde gent

Process Book, Trinity Term, 11 James I, vol. 183, fol. 3/8,
dorso.

Quinto die Julij/

An Attacht to the Sheriffs of London midd/e- 1

sex and ffleete to Attache Aaron Holland at the kxv° michae/is

suite of Tho: Woodforde j

Affidavit Book (Draft), 9-13 James J, Miscellaneous Books,
128.

6° Julij. 1613

jnr Towching the cause at the sute of Tho: Woodford gent compl'
against Aron Holland def 1 : Iohn Penkethman of the parishe of
S l Dunstans in the West Scrivener maketh othe, that vpon the
fyvth day of this instant moneth & also vpon this present day,
he served his ma tes writt of Iniuncc/on vnder his highenes P. S.
vpon the said def c for performance of an order made in this
court betwen the said parties dated the xxiij th of Iune last &
this depon 1 yesterday did offer to reade the order & Iniunccion
vnto him w ch he refused to hear but the def tes sollicito 1- this

302

Three London Theatres of Shakespeare's Time \J

present day did reade them both, & tolde the def 1 the effect there-
of, And this depon 1 & also the said compl 1 did tender to the saide
def 1 an Indenture drawne & engrossed according to the said
order \v th wax ready put thereynto requiring the def 1 to seale the
same, but he refused so to doe

Joh: Pen keth man

Court of Requests Proceedings, Uncalendcrcd, James I.
[1620.]

woodford's bill.

[Upper left and right portions of Bill decayed, and small parts gone.
A few words illegible, and the entire Bill difficult to read. Often the
ink is gone, and only its impress in the parchment remains, which can
still be read with the aid of good light and a magnifying glass.]

[Date of filing, in dorso,] xxxj die [Martij] Anno R Regis Iacobi
Anglie ffranc et hibrrne xvij° et Scotie lij d0 ./
Vocetur defend per nuntium Camere./

To the Kinges most
Excellent Ma : tie
[Humblie] Complayninge sheweth vnto yo r most excellent Ma : tie
yo r humble and faythfull Subiecte and Complain' Thomas Wood-
ford of Southwarke in the countie of Surry gentleman that
wheras one Aron Holland of the parish [of St James] Clerken-
well in the Countie of Middlesex yoman was lawfullie possessed
of and in one messuage or tenemente with thappurtena/mces
[Com]onlie called and knowne by the name of the Redd Bull
scituate in the parish of S l [James] Clerkenwell aforesaid by
force of a lease therof for manie yeares yet induringe to him
therof made by Anne Beddingfeild late wyeffe and administra-
trix of the goods and Chattels of Cristofer(?) Bedding-
feild deceased and he the said Aron [soe being] e therof pos-
sessed did afterwards erecte builde and sett vpp in and vpon
some parte of the same messuage or tenement diu<?rs and sundry
buildings and gallerfies w ch he afterwardes] leased for a play-
house [for acting] and [settinge] forthe of playes comedies and
tragedfies] or to doe other exercises at and in the same. After
w ch he the same Aron Holland soe beinge possessed as aforesaid

303

1 8 diaries William Wallace

of all the same premises w th their ap[purtenances] did by his
Indenture of lease [bearinge date the . . . day of . . .] in the
third yeare of [the] reigne of yo r Ma tie over this yo r highnes
Realme of England made betwene the said Aron Holland of the
one partie and Thomas Swynnerton of the other pcrrtie demise
and graunt a seaventh parte of the said playhowse and gallaries
with a gatherers place there [to] belonginge or app^rteyninge
vnto the said Thomas Swynnerton for dyvers yeares then and
yet by efluction of tyme to come by force wherof he the said
Thomas Swynnerton therunto [entered] and was therof pos-
sessed accordingly and he soe beinge therof possessed vpon com-
mimicacon and speech therein had betweene them the said Aron
Holland and Thomas Swynnerton and one Philipp Stone of
London gentleman it was concluded agreed and condiscended
betwene them in manner and forme followinge vizt That the
said Thomas Swynnerton should surrender and yeild vpp his
said lease interest tytle and tearme of yeares in and to the pre-
mises vnto the said Aron Holland to the end intent and purpose
That he should make such and the like lease for the same for
soe manie yeares as weare then therein to come, vnto the said
Phillipp Stone at the yearelie rent therein before reserved to be
payed quarterlie by twelve shillinges and six pence at the foure
vsuall tearmes Dayes and tymes in the yeare or within fourteene
daies then next ensueinge everie of the said ffeastes and daies
in consideracion of ffiftie powndes to be payed by the said Phillipp
Stone vnto the said Thomas Swynnerton of w ch ffiftie pownd^j
he the said Thomas Swynnerton should lend twentie pownd^y
to the said Aron Holland for a whole yeare gratis In considera-
c/on wherof the said Aron Holland was to make the said lease
to the said Phillipp Stone as aforesaid w ch he did then or sone
after accordingly But when the said newe lease was to be soe
therof made renewed and graunted to the said Philipp Stone as
is aforesaid he the said Aron Holland to defraude deceaue and
abuse the said Phillipp Stone beinge a simple and ignorant man
who reposed much trust confidence and creditt in the said Aron
Holland, and to whome he did referr the renewinge and make-
inefe of the same newe lease in such sorte as the former was w ch

304

Three London Theatres of Shakespeare's Time 19

was soe graunted vnto the said Thomas Swynnerton accordinge
to the Counterparte therof w ch then remayned w th the said Aron
Holland he the said Aron, Holland did alter and chaunge
the same in dyvers and seau^rall materiall pointes therof dif-
feringe from the said agreement and from the said former
lease soe therof made vnto the said Thomas Swynnerton as
is aforesaid to the greatt losse and praudice of the said
Phillipp Stone and his assignes w ch he then did not knowe
nor was acquainted w th , And namelie in this That wheras
the former was a lease and graunte the other later was made
without anie lease or graunte at all but onelie bare and single
Covenants therein And sealed the same as an Jndenture of lease
w ch the said Phillipp Stone did verilie beleeve and creditt vpon
the wordes affirmac/ons and solempe protestacon of the said
Aron Holland he the said Aron Holland did scale and delyvere
his acte and dede the one parte therof vnto the said Phillipp
Stone as the same Phillipp Stone alsoe did the other parte therof
vnto the said Aron Holland w th out any examinaczon or si f tinge
all of the truth W ch said Jndenture beare date aboute ffebruarie
Anno domini 1608 and in the sixth yeare of yo r Ma tes happie
raigne over yo r highnes Realme of England. And afterwards
that is to wytt aboute the tenth yeare of [yo r ] Ma tes raigne of
England the said Phillipp Stone then wantinge money and beinge
desirous to bargaine w th yo r said subiecte for the same seaventh
parte of the said playhowse and galleries called the Redd Bull
w ch had then before that tyme byne graunted to the said Thomas
Swynnerton for dyvers yeares from thence to come w ch the
said Phillip Stone pretended and thought [had byn] vnto him
well and duly renewed leased and graunted of and in the same
by the said Aron Holland he the said Phillip Stone did offer the
same to yo r said Subiecte for ffiftie pownds makeing him be-
leeve that he then had a good lease and graunte therof for the
same tearme of yeares therein to come whervnto yo r said sub-
iecte gyveinge fayeth and credit did accepte the same at the hand
and motion of the said Phillipp Stone and gaue him for the
same the said ffiftie pounds in law full money payed according
to the said price and offer and thervpon [entered] thervnto and

305

20

Charles William Wallace

did quietlie and peceably possesse and enioye the same seaventh
parte accordinglie vntill aboute one quarter of a yeare after that
yo r said Subiecte beinge then desirous to trauel beyond the Seas
tooke his ioyrney and departed out of this yo r Ma tes Realme of
England w th greate loue frendshipp and kindnes then to him pre-
tended by the said Aron Holland in whom yo r said Subiecte then
and in his absence reposed much trust and confidence in respect
of his faire speeches promises and pretences in trustinge the
said Aron Holland w th the rentes yssues and profits of the
said seaventh parte duringe his tyme of absence beyond the
Seas, w ch he did receaue vntill his retorne for and to the vse of
yo r said Subiecte and to pave over the same vnto one Anthony
Payne a servant of yo r said Subiectes to be disposed as he had
appointed the same. But yet he yo r said Subiecte did will and
appointe the same Anthonie Payne to see the said rente of
twelue shillings and sixe pence quarterlie as it should growe due
to be satisfyed and payed duelie vnto the said Aron Holland.
\X ch when the same Holland found and that that tyme was a
fvtt tyme and opportunitie in yo r said Subiecte absence beyond
the Seas offered for the said Holland to work his will and por-
pose for the forfeiture of the same into his hand^ againe then
he plotted to effecte his said drifte or purpose and indeavored
vndulie to overthrowe the said interest and tytle of yo r said
Subiecte and to that intent did w th faire wordes and kind prom-
ises of loue care and respecte vnto yo r said Subiecte overcome
and imboulden the same Anthonie Payne to be remisse and care-
lesse therein and relye vpon the confidence and trust of the said
Aron Holland and vpon his protestac/ons not onelie of good will
regard and favour to yo r said Subiecte to neglecte a daie or two
of the said rent quarterlie to be payed as is aforesaid. But
alsoe of not takeinge anie advantage against yo r said Subiecte
but to further and aide him all that the said Aron Holland could
therein or in any other matter w ch did lye in his power w ch the
said Anthonie Paine beleevinge to be spoken from his harte and
true meaneinge did omitt to observe the daie of payment therof,
but w th in a daie or two after tendered and offered the same
rente vnto the said Aron Holland w ch he refused contrarie to his

306

Three London Theatres of Shakespeare's Time 21

speeches promises and protestac/ons therein made, and did most
conynglie and vnknowne to the said Anthonie Payne demaunde
the same rent at the verie daie lymitted and appointed for the
payment thereof and for defaulte of payment therof sought and
endevored to take all the advantage and benefytt w ch he could
thereby pretendinge and alledginge a forfeiture and reentrie for
the non payment therof, And from that tyme w ch was aboute
nyne yeares last past hithervnto detayned and kepte the profitt^
and benefytt of the said seaventh parte to his owne vse and be-
hoffe refusinge to yeild the same or anie parte therof vnto
yo r said Subiecte or to make unto him any manner of reckoninge
or accounte for the same amountinge yearelie to thirtie powndc.?
or theraboutes or yet to gyve or allowe anie thinge at all vnto him
for or in consideracon of the said ffiftie pownd^ by him payed
for the same. Whervpon yo r said Subiecte exhibited his bill
heartofore in this yo r Ma tes Courte of Requests aboute eight
yeares last past to be therein releeved against the said Aron Hol-
land who appearinge thervnto the first of Alaie in the seaventh
yeare of yo r Ma tes raigne of England, answered his said then bill
there, And beinge moved and pricked in his conscience somewhat
therein did in his then answeare vpon his oath thervnto plainely
and trulie confesse, that he thought the said tearme of years ther
be efluction of tyme to come and not elapsed he soe made vnto
the said Phillipp Stone as is aforesaid did in all equitie belonge
and appcrtaine vnto yo r said Subiecte the then Complayn 1 , and
did then therein alsoe proffer and offer voluntarilie vpon his
oath that if the said then complayn 1 would well and truly satisfie
and pay such somes of money as weare iustlie due vnto the said
Aron Holland by the said Phillipp Stone or anie from whome he
claymed, he the said Aron Holland would be contented to make
a newe lease vnto yo r said Subiecte in his owne name w th the like
Covenants articles Condicons and agreementes as weare con-
tayned and specified in the same Jndenture formerlie made by
him to the said Phillipp Stone whervpon shortlie after that is to
saie the three and twenteith day of June in the same eleaventh
yeare of yo r Ma tes said raigne of England vpon openinge of the
same matter before yo r Ma tcs Counsell of the said Courte of Re-

307

22 Charles William Wallace

quests in presence of the Councell learned of both the said par-
ties, and vpon consideradon had of the said def end tes answeare and
other circumstances of the cause And for that the said defend 1 had
not made apparant to the same Courte what monies weare iustlie
due vnto him (there beinge in truth none at all) from the said
complayn* yt was therefore ordered by yo r ma tes said Councell
of the same Courte, that the said Complayn* his executo rs and
administrators should from thencforth haue and receaue the
profitte.? and benefyt of all the premises in as lardge and
ample manner and in such manner and forme as he the said
Phillipp Stone before him or any other person for or in the be-
half of the said Complayn* or of the said Phillipp Stone ever
before that time had and enioyed the same w th out the lett deniall
disturbance or contradiction of him the said def* or anie other
person or persons claymeinge in by from or vnder him vntill such
time as other and further order should be in that Courte taken
and made (w ch hath not hithervnto byne) to the contrarie. And
it was then alsoe further ordered That the said Comp: 11 should
and might drawe a newe Jndenture or deede Jndented to
theffeete of the former w th such Covenants and provisoes as
in the said former Jndenture graunted to the said Phillip Stone
was contayned w ch the said def 1 should forthw" 1 vpon request in
that behalf to be made seale and delyver as his deede and exe-
cute the same to all intents and purposes as the said former
Jndenture was made and executed notw th standinge anie pre-
tended forfeiture therof. And for the other demaunde aswell
of the said Complayn 1 as def* the said parties weare lefte at
libertie to prcceede accordinge to the ordinarie course of that
Courte. And it was lastlie then therby ordered That an Jniunc-
tion vnder his Ma : tes privie Seale vpon paine of 300" should be
directed to the said defend 1 and all and every other person and
persons claymeinge by from or vnder him to whome in that case
it should appertaine for the due performance of the same order
as thereby may appeare Whervpon presently after, did according
to the same order cause a new paire of Jndentures to be drawen
and ingrossed betwene the said Aron Holland and yo r said Sub-
iecte like and agreable to the former w ch weare soe had and made

308

Three London Theatres of Shakespeare's Time 23

betwene the same Holland and Phillipp Stone as is aforesaid,
and did offer and tender the same vnto the said Holland to be
sealed and delyvered accordinge to the same order, w ch was then
alsoe shewed vnto him w th a writt or Jniunction under yo r Ma : tes
privie Seale de execuc/one ordinis therein for the performance
therof W ch he the said Aron Holland then seemed willinge to doe
accordinglie But for asmuch as at that tyme he pretended he
was vtterlie vnlearned and illiterate not beinge able to reade ; and
then knewe not whether the same weare agreable to the former
Jndenture, and to the said order he therefore requested yo r said
Subiecte to forbeare a little tyme and to gyve him soe much
libertie onelie as his then Councell Ra/phe Wormeleighton Es-
quier might pervse the same and see whether those newe Jnden-
tures did agree w th the former Indentures of the said Phillipp
Stone and w th the said before recited order because he could not
reade them nor compare them togeather promisinge then alsoe
that assoone as his said Councell might pervse the same he would
seale and delyver the one parte therof as his acte and deede vnto
yo r said Subiecte if the weare soe agreable or fittinge for him to
seale and delyver, The other parte whervnto yo r said Subiecte
yeilded and delyvered him the same ingrossed booke for that
purpose to be seene and pervsed by his said Councell who vpon
examinaofon therof (as it is saied) fynding it to agree both w th
the said order and former Jndenture made to the said Phillipp
Stone did narrowlie search consulte and consider with the said
Aron Holland howe to find a meanes or way to evade and over-
reach or prevent the said order, and therby to avoyd the sealinge
and delyveringe of the said Jndenture by the said Aron Holland
Wherein it is credeably reported and verie like that they thus
proceeded and resolved as followeth, That is to saie That he
the said Aron Holland should gyve vnto his sayd Councell a
good Some of money to crosse the proceedings of this honor-
able Courte and to effecte and worke the same And that his said
Councell should be bound by his obligac/on or bound vnto the
said Aron Holland to performe the same and to leaue yo r Sub-
iecte without remedie either in lawe or equitie w ch was alsoe
accomplished. Whervpon they pretended and by agrement be-

309

24 Charles William Wallace

tweene them gaue forth in theire seaverall speeches vnto yo r said
Subiecte that his said Councell was soe much busied and im-
ployed otherwise that he could intend to pcrvse and dispatch the
same speedilie but must take longer tyme therein w ch should then
shortlie after be done to the good likeinge and contentment of
yo r said Subiecte. And then shortlie after they concluded and
agreed that his said Councell should move in his Ma tcs Bench
for a prohibia'on in the said Cause, and obtaine and serve the
same against yo r said Subiecte w ch was clone accordingly to w ch
end and purpose the protractinge and lingeringe aforesaid vntill
the said prohibicion was graunted was onely invented and
soe devised Jn respecte that the said Indenture made by
the said Aron Holland to the said Phillipp Stone was not
anie lease at all but onelie an Indenture of Covenants w ch
yo r said Subiecte before that time did not vnderstand but
nowe p^rceavinge that the Counsell of yo r Ma tes said Courte
of Requests and he himself had byne soe much deluded and
abused therein by his Counsells indirecte procedinges did re-
sorte vnto his owne Counsell learned in the lawe to be therein
advised what he should doe whoe did then p^rswade him to ex-
hibit a newe bill in yo r Ma tes said Courte of Requests for the
same matter in the name of the said Phillipp Stone against the
said Aron Holland haveinge authoritie vnder the hand and Seale
of the said Phillipp Stone soe to doe, w ch he soe alsoe did, and
thervpon procured the said Aron Holland to be warned by the
then officer or messenger attendinge yo r Ma tes said Councell in
yo r honorable Courte of Whitehall to appeare then and theire to
answeare the same newe bill in the said Phillipp Stones name
but by the helpe and intervena'on of his the said Aron Hollands
Counsayle to prevent the daunger of his said bond the said Phillip
Stone was sought out by one Marie Phillipps for tenn shillings
to be brought vnto him the said Holland to be dealte withall and
prrswaded to drawe the said Phillipp Stone to release (as he
thervpon in the end did) the same suite and all Covenants
acc/ons and demaund^ vnto the said Aron Holland to the intent
to defraude and defeate yo r said Subiecte therein and to avoyde
and discharge the same newe bill and defraude the said order

S 1 ©

Three London Theatres of Shakespeare's Time 25

and the true intent and meaneing therof w ch new bill he the same
Aron Holland could not otherwise answere or avoyde then by
pleadinge therevnto (as he did the same release soe made and
gotten from the said Phillipp Stone vndulie and vnconscionably
and by [fraude] coveyne and deciepte as aforesaid) to the prau-
dice and hurte of yo r said Subiecte and to the manifest abuse and
apparant contempte of this honorable Courte. Sithence w oh tyme
soe it is alsoe if it may please yo r Ma tie That the said two
seaurrall deedes or Indentures made by the said Aron Holland
to the said Phillipp Stone, and thother by the said Phillipp Stone
vnto yo r said Subiecte and both of them of right belonginge and
apprrtayning to him yo r said Subiecte are nowe by casuall meanes
come vnto the handes and possession of the said Aron Holland
and Phillip Stone whoe by coullo r of haueinge therof haue not
onely vniustly and wrongfully without anie lawfull right entered
into the same premises therby demised or intended to be so
graunted But alsoe haue betweene themselues and certaine other
persons to yo r said Subiecte as yet vnknowne made and contryved
certaine secrett and subtill estate and Convayancr^ of and in
the premises to the intent yo r said Subiecte should not knowe
whome to sue for the same and for the rentes yssues and profits
of the premises by them receiued and detayned vniustlie and
vnconsionably from yo r said Subiecte for w ch therefore and that
he doeth not knowe either the certaine and sure contents or
dates of the same seaurrall deeded indented and release or
wherein the same are or either of them is contayned whither in
bagge or boxe sealed Chest truncke or Cubbord locked or other-
wise, yo r said Subiecte is w th out all remedie by the strickt course
of the Comon lawes of this Realme or elswhears then in equitie
In tender considerac/bn wherof And to thend and purpose that
the full and whole truth therein concerninge the said matters and
premises may appeare by the Answeares of the said Aron Hol-
land and Phillip Stone vpon theire oathes w ch yo r said Subiecte
hopeth that they will confesse and desireth may be done accord-
inglie And for that alsoe yo r said Subiecte maybe righted and
releeved therein and the said Courte satisfyed at leangth for the
same And that the said order of this Courte should not be

3ii

26 Charles William Wallace

deluded and defrauded but iustly satisfyed and performed ac-
cordinge to theffecte and true meaneinge therof And alsoe that
the said Aron Holland may be compelled to make good and per-
forme his owne offer vpon his oathes aforesaid voluntarily made
by his said Answeare and accepted by yo r said Subiecte and the
said Courte accordinge to the said recited order As by all lawes
he should and ought to doe And that the meane profittes by
them vniustly detayned may be restored allsoe to yo r said Sub-
iecte May it therefore please yo r Ma : tie to graunte vnto yo r sub-
iecte yo r Ma : tes most gracious writt of Privie Seale to be directed
to the said Aron Holland and Phillip Stone thereby comaundinge
them and either of them at a certafneday and vnder acertaine paine
therein to be lymitted to be and appeare before yo r Ma : tie and
Councell of Whitehall then and there to answeare the premises
And further to stand to and abide such further order and direc-
tion therein And [sic = as] to yo r Ma: tie and yo r said Coun-
cell shalbe thought fittinge And yo r said Subiecte accordinge to
his bounden dutie shall pray &c. Ra/phe Wilbraham

Holland's answer

[Damaged. Small part of upper left hand corner gone. Date line placed
there partly gone, partly illegible. Whole document difficult to read; ink
sometimes rubbed or mouldered off].

The Answere of Aron Holland gent def 1 to the
vntrue and scandalous Bill of Thomas wood-
ford alms Simball yeoman Comp. u /

The [said defendant] by protestacon not Confessinge anie the
thinges or matters in and by the said Bill of Complainte Con-
tained to be true in such sorte manner and forme [as in] and by
the same they are and bin Contained, but verily thinketh this suite
is meerely begunne to putt this def. 1 to vnnecessary Cost*?.? and
Charges in the lawe rather [then] vppon anie iuste or true
grounde soe to doe, And the rather this def. 1 is induced soe to
thinke for that the pi.* was in the very same suite formerly by him
exhibited [in] this Courte againste this def.' after manie moc/ons
& vppon longe debatinge of the Cause in his Ma : tes high Courte

312

Three London Theatres of Shakespeare's Time 27

of Kinges Bench in the presence of Councell learned [on] bothe
sides prohibited by his Ma tes most gracious writt of prohibicion
beareinge date [the] Sexto die Novembn'.? 11 [Anno] R Rs
Jacobi w ch accordingly was served vppon him his Councell and
Attforney] in the said Corte of Requests wherevppon hee
surcessed his said vexacious suite but after Commenced the like
suite in the name of the said Phillipp Stone in the Bill mencioned
w th out his priuity as the said Stone said and testified vnder his
hand when takinge notice thereof very honestly vnder his hand
and seale disavowed & disclaimed the said suite as in & by the
same ready to be shewed to this Ho : bIe Courte may appeare,
wherevppon this def. 1 was againe dismissed and not herew th Con-
tented the said Woodford for farther vexac/on Comenced suite
againste this def. 1 in the name of the said Phillip Stone in his
Ma: tes high Courte of Kinges Bench & w th out his privity as this
def. 1 verily thinketh it beinge followed & sollicited by the said
woodford and att his Costly & Charges as this def. 1 hath Crediblye
heard, w ch suite Cominge to tryall before the right Ho. ble the
now Lord Cheefe Justice of England in the Guildhall london
after full evidence the matter beinge proved Cleere for this def. 4
the said Phillip Stone became nonsuit, Att w ch tryall the badd
dealinge of the said woodford was apparantlie proved before his
good Lordshipp And this def. 1 denieth hee ever did abuse the
said M. r Phillipp Stone, or that the said Jndenture of graunte
was otherwise made to him then accordinge to his owne agreem. 1
& by his owne Consent direccon and advise & by his owne Councell
for this def.* saith hee is vnlettered & therefore referred the
same in all thinges to the truste & Care of the said Phillipp Stone,
And this def. 1 directly denieth that M. r wormlaighton his Councell
did ever give him anie manner of advise to frustrate the orders
of this Courte, for he saithe M. r Clement Gouldsmith was then
of Councell w th him and in whome this def. 1 relyed and what was
done therein and all thinges touching that suite or procureinge the
said prohibicon was done by the advise of the said M. r Gould-
smithe and not by the said M. r Wormlaighton, And therefore this
def. 1 saith vppon his othe that the said M. r wormlaighton did
never become bound by anie bond or obligac/'on vnto this def. 1 to

313

28 Charles William JJ'allace

doe or prrforme anie thinge as in & by the Bill is moste slander-
ously and w th out anie pretext or shadowe of truthe alleaged or
was ever bound to this def. 1 for anie Cause or thinge whatsoever
and as this def. 1 verily beleeveth in his Conscience the Comp. u
meerely suggesteth & deviseth the same of his owne head w th out
anye Color of truthe soe to doe, And this def. 1 further saithe
that longe after all the surmises in the said Bill mencioned & to
purchase his peace in his old age especially againste soe Con-
tentious and bad a person as the Comp. u is knowne to be both to
reverend Judges & other Justice & Jurors, This def* repaired to
the said Phillipp Stone and acquainted him w th the Comp ltes
Courses, And therevppon for such Consideran'ons as was agreed
betwixt them he the said Phillip Stone did by his release vnder
his hand & seale beareinge date xvj th daye of Maye in the twelfe
yeare of his Ma tes Raigne that nowe is very voluntarily and freely
remise and release vnto this def. 1 all manner of Acconcy suites,
Covenants, and demauncW as in & by the same vnto w ch Relacion
had for the more Certainty doth and may appeare And there-
fore this def. 4 doth demurr and abide in lawe and humblie
demaund Judm. 1 of this Ho: ble Courte whether this def. 1 shalbe
Compelled to make anie other or further Answere to the said
scandalous Bill of Cornp" or matters thereby sett forth And this
def. 1 denieth that hee hath or ever had anie the deed*?.? Jndented
in the Bill mencioned or anie other deedw whatsoever that belonge
or ever did belonge to the said Phillipp Stone or the said Comp. u
w th out that, that anie other matter thinge or thinges materiall or
effectuall in the said Bill of Complaint Conteyned & not by him
sufficiently Confessed & avoyded, Traversed or denyed is true,
All w ch matters this def.* is & wilbe ready to Averr iustifie main-
taine & prove as this most Ho : ble Courte shall award And humblie
prayeth to be hence dismissed w th his reasonable Cost^ & Charges
in this behalf e most wrongfully susteyned./

R : Wormlaighton.

Appearance Book, 16-17 James I [Not numbered and not paged.
Found among the uncalendered Proceedings and miscellaneous
papers. Labeled, "Liber Emptae".]

3H

Three London Theatres of Shakespeare's Time 29

[31 May, 17 James I.]

Aron Holland p^rsonaliter comparet coram Consilio per manda-
ium nuncij Camerae ad sectani Thomae Woodford &c postea viz
Septimo die Ju mens/5 instanfw AdmissMJ est per Co: con-
silio Wormlaighton

III

THE RED BULL COMPANY.

The Wood ford-Holland suit grows out of relations of share-
holders in regard to ownership and profits. The Smith-Beeston
suit grows out of equally unhappy relations of the company in
its expenditures for playing apparel, furniture, and other
necessaries.

The history of the Red Bull company is only in part known.
Early in the reign of James I, very possibly in 1603 as has been
surmised, the Earl of Worcester's players became Queen Anne's
servants. Collier published an undated draft for a patent to
them as acting at the Curtain and Boar's Head, which must date
1603. I have not seen the original. The earliest declared date
of their new patronage is March 15, 1604, when they were granted
red cloth for the King's coronation, as already mentioned. The
patent of 15 April, 7 James I (1609), also previously mentioned,
furnishes the earliest date hitherto known of their acting at the
Red Bull. The Woodford-Holland documents show that the Red
Bull was built in or before 1605, and that Thomas Swynnerton,
one of the Queen's company, in that year owned a share in it.
When all these evidences are examined, it becomes as certain as
circumstances unsupported by contemporary declaration can make
it, that Queen Anne's company occupied the Red Bull continu-
ously from the time of its erection, which must have been, on the
same evidences, sometime between 1603 and 1605, till their dis-
solution, 1619.

There were originally ten actors in the company. In the 1604
grant of red cloth, as also in the undated draft for patent, and
finally in the 1609 patent, they were, as there put down, Thomas
Greene, Christopher Beeston, Thomas Heywood, Richard Perkins,

315

3<d Charles William Wallace

Richard [Robert] Pallant, Thomas Swynnerton, John Duke,
Robert Lee, Jacob [James] Hoult, Robert Beeston. During the
course of years the membership changed, so that at the time of
the Smith-Beeston suit and the Chancery suit before referred to,
there are a number of new names.

In 1612 Thomas Green died. He was one of the chief actors
of Shakespeare's time, and was to Queen Anne's company what
Burbage was to the Globe company, or Nat Field to the Children
of the Revels at Blackfriars, or Joseph Taylor to the various com-
panies he associated himself with. With Green's death began
those conditions of the Red Bull actors that in the next seven
years prepared for the final dissolution that came with the death
of the Queen. A portion of their troubles are related in the
Chancery suit. Others are here told in the Smith-Beeston
controversy.

"When Green died, the choice of the company fell upon his
friend, Christopher Beeston, to take his place as general director
and business manager. Beeston was well-to-do, while his asso-
ciate actors were not men of any means. Every man in the com-
pany, these documents say, had to have some office, and his was
one that required a man of business capacity and financial stand-
ing to secure the company's credit and existence. How unsatis-
factorily he filled his post these records let us know. Possibly
from an earlier date, but certainly from 1612 to 1619, he pur-
chased all apparel, furniture, and other things necessary for
setting forth plays. For this purpose the company allowed him
one-half the receipts from the galleries, — an amount which, un-
fortunately, is not more definitely stated.

In 1612, Beeston arranged with John Smith to furnish the
companv all tinsel stuffs and other loom stuffs that might be
required. Between 27 June of that year and 20 February, 1616,
when the company began to break up with dissensions, Smith
delivered goods to the value of 46/. 5 s. 8d., which, he claims,
were never paid for. This is the immediate cause of the present
suit. The larger cause is in the relations of the company, and

316

Three London Theatres of Shakespeare's Time 31

Beeston's unsatisfactory manner of handling the money and ren-
dering account.

Beeston apparently in 1616 was unable to give a satisfactory
explanation of his expenditures, particularly of 400 /., of the com-
pany's money. Some of the members in that year left and joined
others. The Queen's men from that time to her death seem to
have had their full share of variance and strife. When the death
of Queen Anne finally dissolved them, some went to other
theatres, some quit the profession, while the rest still held
together and formed a new organization at the Red Bull under
the name of the company of the Revels, — a name made popular
by long association with successful performances of young men
at the Blackfriars and Whitefriars. At the breaking up, Beeston
went as manager to Prince Charles's company. He took with
him, it is claimed, also all the apparel and furniture of the Red
Bull stage, in spite of the fact that it had been bought with the
company's money.

Under the above conditions, Smith could not, he claims, get
the money due him, and so brought this suit a few months after
the Queen's death and the company's disbanding.

Why Emanuel Read never appears in plays after about 1616
is explained, not by his death, as others have supposed, but by
the fact that he took up permanent residence in Ireland about
1616 or 1617, as Mrs. Richard Perkins testifies.

The case dragged on for a year, chiefly through delays interposed
by Beeston. Smith's affidavit of 4 November, 1620, shows the
popular contempt, as exhibited in Beeston's attitude, for the
Court of Requests. This was but a natural result of the stub-
born conflict of authority between that court and the King's
Bench, culminating twenty-five years later in victory for the
King's Bench and the abolition of the Court of Requests.

The series of documents in the Smith-Beeston controversy is
almost intact. Only the final decree of the court seems lacking.
They are here presented in chronological order. •

317

32 diaries William Wallace

SMITH VS BEESTON

Court of Requests Proceedings, Uncaleiidered, James I.
[1619.]

smith's bill

[Date of filing, in dorso] x° die Novembris Anno Rni Rg
Jacobi Angl fr et hibmiie xvij° et Scotie lxiij°
Defend vocet r per nuncium Camer.

To the Kings most Ex-
ellent Ma tie ./

Humbly complayning sheweth vnto your most exellent Ma tie your
faith full and obedient subiect John Smith Citizen and ffishmonger
of London That Whereas your said Subiect did heretofore
betweene the Seaven and twentith daie of June in the yeare of
our Lord God One thousand six hundred and twelve and the
three and twentith daie off ffebruary Anno Do;;? mi One thousand
Six hundred and Sixteene at the earnest request and intreaty of
one Christofer Beeston deliu^r or cause to be deliiu?red vnto him
the said Christofer Beeston and his Assignes and at his request
and by his direccion vnto and for the vse of the Company of
players at the Redd Bull neere S l Jones viz. 1 vnto Ellis Worth
Richard Perkins and John Comber and others diverse tinsell
stuffs and other stuffe for their vse in playing amounting in the
wholl to ffourtie six pounds five shillings and eight pence or
thereabouts And the said Christofer Beeston did faithfully
promis to make payment vnto your said subiect and to satisfie
him for the said stuffe. Now soe it is may it please your most
exellent Ma tie that your said subiect having deliuered the said
stuffs by the appointment of the said Beeston as aforesaid vnto
him or his assignes And althoughe the said Beeston doth well
know that the said stuffs were deliuered vnto him & vnto his
vse and by his appointment And that the seuerall parcells
deliuered as aforesaid did amount vnto the said some of ffourtie
six pounds five shillings & eight pence or thereabouts accord-
ing to the seuerall rats and pries agreed vpon by the said
Beeston or his Assignes And that the said Beeston Ellis Worth

318

Three London Theatres of Shakespeare's Time 33

Richard Perkins and John Cumber or some of them have since
the deliume thereof pervsed the same by your said Subiect^
booke and well know that the said some of ffourtie six pounds
five shillings & eight pence is due vnto your said Subiect for the
same And that your said Subiect since the deliume thereof hath
in most kinde and frendly maner required payment of the said
Beeston And that the said Beeston hath faithfully from time
to time promised vnto your said Subiect payment & satisfacdon
for the same Yet now of late the said Christofer Beeston Ellis
Worth Richard Perkins and John Cumber combyning themselves
together how to deceave your said Subiect of his just and true
debt, and have intised over Thomas Chambers your said Subiect^
servant from your said Subiect^ service and caused him to
absent himself e vnto some parte beyond the Seas or into some
vnknowne & remote place From your said Subiect where your
said Subiect cannot heare of him knowing that your subiect^
said servant was the onlie witnes w ch your said Subiect had to
prove the deliume of the said Stuffs as aforesaid and of the
contract aforesaid And now the said Beeston and the said Worth
Perkins and Comber doe give forth & report that they or some
of them by the appointment of the said Beeston have paid and
discharged the said debt of ffourtie six pounds five shillings &
eight pence vnto your Subiect or vnto his said servant whereas
in truth they nor either of them have satisfied any peny thereof
but deteyne the said some of ffourty six pounds five shillings
and eight pence in his their or some of their handes and intend
vtterly to defeate your said Subiect of the same And your said
Subiect further sheweth that the said Beeston, Worth, Perkins, and
Cumber have heretofore and since your said Subiect^ deliume
of the said stuff&s as aforesaid falling at variance and strife
amongst themselves and separated and devided themselves into
other Companies. And vpon their separac/on did acknowledge
your said Subiect^ debt but questioned betweene themselves w ch
of them should paie and discharge your said Subiect So that by
their variance and for want of sufficient witnesses to prove the
deliume of the said stuffs and promis for the same your said
Subiect is likelie to loose the said debt except he be releived by

319

34 Charles William Wallace

your Ma tie in equitie for the same In tender consideracton
whereof & for that your said Subiect hath noe witnesses to prove
the deliuerie of the said stuffs nor the promis of the said Beeston
and since of the said Worth Perkins and Cumber vnto your said
Subiect for the payment thereof but hopeth that the said
Christofer Beeston Ellis Worth Richard Perkins and John Comber
will vpon their Corporall oathes confesse and acknowledge what
stuffed or other wares they or anie of them or any other to their
or any of their vse or vses have had and receaved from your
said subiect or his said servant or anie other your said subiectes
servants? and by whose appointment and direcc/on and vpon
whose Accompt And whether the said Beeston Worth Perkins
and Cumber or some of them did not vndertake to paie for the
same or w ch of them or who vndertooke the same And also
what money they or anie of them have made payment of the said
frourty six pounds ffive shillings and eight pence or anie part
thereof, and how much they or anie of them have paid thereof
and by whose handed & appointment And whether the said
Beeston did not from time to time give direcctons for all such
somes as were paid, and how much is remayning vnpaid vnto
your said Subiect of the said debt of ffourtie six pounds five
shillings and eight pence and w eh of them ought to pay the same
May it therefore please your most excellent Ma ty the premises
considered to grant vnto your said Subiect your Ma ties most
graceous writt of privie Seale to be directed to the said Christofer
Beeston Ellis worth Richard Perkins and John Cumber Com-
anding them and every of them thereby at a certen daie and
vnder a certen paine therein to be lymitted personally to be and
appeare before your most excellent Ma tie in your Ma ties Court at
Whitehall Comonly called the Court of Requester then & there to
answer the premises and every parte thereof, and further to stand
to and abide such further Order & direccion therein as to your
most excellent Maiesty shall seeme to stand w th equitie and good
conscience And your said Subiect according to his bounden dutie
shall dailie pray for your Ma tles long health and happie reigne
over vs

\V m Tayler./.

320

Jhree London Theatres of Shakespeare's Time 35

WORTH, CUMBER, ANI^ PERKINS'S ANSWER

xviij die Novembris

Anno R Regis Jacobi Angl

ffranc et hibnie xvij° et Scotie liij°./

The ioynt and seurrall answers of Ellis Worth,
Richard Perkins, and John Cumber defend tes to
the Bill of Comp. u of John Smith Compl. 1

The advantage of exception to the incertentie insufficiency wants
faults and ymperfecc/ons of the Bill of Comp. u vnto these
Defend. tes and every of them nowe and att all tymes hereafter
saved for full answer and perfect Declaradon of the truth for
such matters wherewith they and every of them stand chardged
in and by the said Bill they and every of them saye in manner &
forme followinge And first theis Defend. tes saie That the said
Christopher Beeston in the Bill of Compl. 1 named and theis De-
fend. tes haue for Divers yeeres past beene the Actors & servants
of the late Queene Anne of famous memorie & haue Dureinge
theis yeeres beene a companie & sett forth Divers plaies & come-
dies att the Redd bull neare S l Jones in London for the better
orderinge and setting forth of w ch said plaies & comedies there
required Divers officers and that every one of the said Actors
should take vpon them some place & charge & for that the
prouision of the furniture & apparrell was a place of greatest
chardge & trust and must of necessitie fall vpon a thriueing man
& one that was of abilitie & meanes itt was agreed by and be-
tweene the said Companie of Actors in manner and forme fol-
lowing That is to saye that the said Christopher Beeston in the
bill of Comp. u named should Defaulke outt of the collecc/ons
and gatheringes w ch were made continually whensoeuer any playe
was acted a certen some of money as a comon stock towardes the
buyeing & Defraying of the charges of the furniture & apparrell
aforesaid And that the said Christopher Beeston should buy
all the furniture apparrell & other necessaries w ch should be
requisite for there condic/on & qualitie And that the said Chris-
topher Beeston should w th the said comon stock soe collected
paye for the said comodities by him hereafter to be bought or
other wise that the said comodities should stand vpon the sole

321

36 Charles William Wallace

& proper accompt & head of the said Beeston & that noe other
of the companie should be troubled or ymployed in this busines
or should paye or stand charged or lyable for any comodities soe
by the said Christopher Beeston to be bought butt that the said
Christopher Beeston should discharge & free the Company &
paye all such moneyes as should arise by reason thereof & if there
did fall outt any surplusage or remainder of the Common stocke
& money soe by him to be gathered, that then the said Beeston
should give a true accompt vnto the company & that every one
of them should haue a share & part according to there place &
qualitie & vpon this agreem* the said Christopher Beeston did
vndertake this chardge & trust & hath for the space of seaven or
eight yeeres continually when there was any playe, Deducted
& Defaulked divers greate somes of money outt of the collecdons
& gatheringes aforesaid & hath w th the said moneyes much
enritched himself as these Defd. tes conceaue, and besides did
att one tyme yeald vnto these defend tes as they verily thinke a
false accompte of fower hundred poundes w ch the said Beeston
confessed he had collected togeather, & Did by the said
accompte pretend that he had Disbursed the same for the good
and benefitt of the Company & hath w th the said moneyes
bought all the furniture & apperell vntill that tyme vsed the w v " h
these Defend. tes could nott tell ho we to disprooue for the said
Beeston according to the former agreem. 1 did what hee listed, &
of himself w th outt the privitie Direcczon or knowledge of any of
these Defend tes bought of Divers men Divers comodities & hath
as the sd Defend tes verely beleeue payd for the same in regard
there was neuer any tradsman since the agreem 1 aforesaid butt
this comp. 11 that ever Demanded any money of these Defend tes
or any of them for comodities soe bought by the saide Christopher
Beeston neither Doe these Defend tes or any of them knowe of
whom the said Christopher Beeston Did vse to buy the apparell
& comodities aforesaid, or what contracts covenawnt^ & agreem tes
he made w th them, or certenly knowe whether the said Christopher
Beeston payd readie money for the said comodities or tooke them
vpon his creditt & accompt neither Doe these Defend tes knowe
that the said Christopher Beeston Did ever buy any comodities

322

Three London Theatres of Shakespeare's Time 37

of the said Comp. u or that the Comp. u did att any tyme att the
earnest request & intreatie of the said Christopher Deliuer or
cause to be Deliuered vnto the said Christopher Beeston or his
assignes & att his request & by his Direcdon vnto & for the vse
of these Defend tes Divers tinsell stuffs & other stuffs for there
vses amounteing to the some of fortie six poundes fyve shillings
& eight pence or theire abouts neither Doe these Defend tes or any
of them knowe if the said Christopher Beeston Did take vpp the
said stuffs whether the said Christopher Beeston did paye readye
money for them or whether he did faithfullie make promise to
make payem 1 to the Comp. 11 or to satisfie him for the said stuffs
or whether he hath from tyme to tyme promised the Comp. u
payem 1 & satis faca'on for the same. Butt if the said Beeston did
buy any such stuffs of the Comp. 11 & made the agreem. tes
promises & contracts aforesaid then these Defend tes Doe verylie
beleeue that the said Beeston & the Comp. u are combined to-
geather & doe practise to trouble & molest these Defend. tes hope-
ing thereby either to come by some composition or otherwise
some couller for the said Beeston to exclayme on these Defend. tes
& the rest of the companie. W th out that these Defend. tes since
the Deliuery of the said stuffos p<?rvsed the said Comp ltes bookes
& Doe knowe y l the said some of fortie six poundes fyve shil-
linges & eight pence or any parte or parcell thereof is Due to
the Comp u for the same & w th outt that the said Christopher
Beeston & these Defend. tes Did combine themselues togeather
how to Deceaue the Comp 11 of his iust & due Debt, or that
these Defend. tes did ever knowe the said Thomas Chambers
the Comp ltes seruant or ever inticed the said Thomas Chambers
from the Comp ltes seruice or ever caused him to absent him self
into some partes beyond the seas or vnto some vnknowen &
remote place where the Comp 11 cannott heare of him or that these
Defend tes Did knowe that the said Thomas Chambers was the
onely witnes the Comp 11 had to prooue the Deliuery of the said
stuffs & contract aforesaid And w th outt that theis Defend tes or
any of them haue given outt and reported that they or any of
them by the appointm 1 of the said Beeston hath paid & Dis-

323

38 Charles William Wallace

charged the said Debt of fortie six poundes five shillings & eight
pence vnto the said Comp. 11 or vnto his said servant & \v th outt
that the sd Defend. tes or any of them vpon the separadon made
by Beeston & these Defend tes Did acknowledge the Comp Ites Debt
or questioned betweene themselues w eh of these Defend. tes should
paie the Comp ,tes Debt. Butt true itt is that the said Beeston
haueing from the begining a greater care for his owne privatt
gaine & nott respecting the good of these Defend. tes & the rest of
his fellowes & companions hath in the place & trust aforesaid
much enritched himself, & hath of late given over his coate &
condicz'on & separated & Devided himself from these Defend. tes
earning awaie nott onely all the furniture & apparell parte whereof
is pretended by the said Comp. u to be made w th his stuff & still
to be payd for butt alsoe suffering the comp 11 to sue molest &
trouble these Defend tes notw th standing these Defend. tes doe
knowe y l the said Beeston would nott haue engaged himself
for any stuff vnlesse the said Beeston had formerlie receaued
outt of the collecdons aforesaid as much money as would haue
answered for the same And notw th standing these Defend tes
hopeth that the said Beeston will vpon his corporall oath confesse
that he hath receaued satisfacc/on for the said stuffs if any such
were bought contrarie to all equetie and good conscience by reason
of whoes vnconsionable and extreame Dealeinges there was
greate variance & striffe betweene the said Defend. tes & the said
Beeston vpon there separadon as in the said bill of complt is
surmised And w th outt that these Defend tes or any of them Did
ever promise the Comp. u to paye for the said stuffs pretended
by his bill of Comp. 11 to be Deliu^red vnto the said Beeston or his
assignes or Did ever vndertake the payem 1 thereof or that these
Defend. tes or any of them or any other by there appointm.* &
Direcdon haue had & receaued of the Comp. 11 or of his said
servant or of any other of the Comp. Ites servants any stuffs or
wares whatsoeuer And w th outt that any other matter cause or
thinge in the said bill of Comp u materiall for these Defend. tes to
answere vnto & therein nott sufficiently answered vnto are true.
All w ch matters these Defend tes are & will be readie to averr &

324

Three London Theatres of Shakespeare's Time 39

prooue as this ho. ble court shall award & humblie prayeth to be
Dismissed w th there reasonable costs & charges in this behalf
wrongfully susteyned./ Robert Wolrych

Appearance Book, 16-iJ James I. [Not numbered nor paged.
Found among the uncalendered Proceedings and miscellaneous
papers. Labeled " Liber Emptae."]

[18 November, 17 James I.]

Xpofer Beston p^rsonaliter comparet coram consil/o regis per
mandatuw nuncij Ad sectom Johannis Smithe postea viz xxiij
die mensw instant AdmissttJ est per Langley consilio magistri
Gosnolde

beeston's answer

xxiij die Novembris Anno Regni Regis Jacobi Angliae ffranc et Hibernise
xvij° et Scotise quinquagessimo tertio./ 1619./

Langley pro defendt

The answere of Christopher Beston one
of the defendants to the bill of Comp. 1
of Iohn Smyth Comp.*

The said Defendant (for somuch as concernes himself) saith, that
the said bill of Complaint, is soe vncertein, and otherwise insuffi-
cient in lawe, as it is vnpossible to make any Direct answere there-
vnto, f.or many respects; and namely in that the Complaynant
chargeth the said Defend 1 ; or his assignes in the Disiunctive, and
vncerteinly, (not nameinge or putting any of them in certein) to
haue had and received certen tinsell stuffs and other stuffs of
the Complayn 1 , not settinge Downe what other stuffs, nor how
much of every kind nor the severall prices thereof, which him-
self (having best notice of (if any such had ben) ought to haue
ben Declared in Certeintye ; Soe that the defendant cannot con-
ceive that the Complaynant hath any other scope or intention in
this suite, but onely to vex, and molest this Defendant (havinge
had a long tyme of sicknes, and at this tyme being very sickely
and vnfitt to followe suyts; and therefore the more likely in

325

40 Charles William Wallace

his opinion, to yeeld to any vnreasonable demaunds (though
there be noe iust Cause of Complaint;) and the rather because
the matter in question (havinge slept these many yeeres, and the
Company of Commedians that are supposed in the plaintiftes bill
to haue contracted with him the said Defendant for the said
stuffs (being since altered, and the parties separated and dis-
persed amongst other Companyes) the sayd Complaynant finds
it the more hard for him, to satisfie himself of the said Com-
playn tes vniust demaunds, and therefore he settes vpon this De-
fendant (being a settled Inhabitant neere vnto him, and the like-
liest to be answerable for whatsoever he seeks to recover),
for which cause, and for these other imperfections in this bill,
he verily hopes, and humbly prayes, to be Discharged from mak-
inge any further answer, and to be dismised w th Costs, And yet
neurrtheles (saving to himself the benefitt and advantage of
these, and all other iust exceptions, for better manifestaaon of
the truth, and satis facdon of this honor. bIe Court, he further
answereth and saith that true it is that about the time mentioned
in the said bill, the said Defendant was one of the said Company
of Comedians attendinge vpon the late Queenes Maiestie vntill
after her Ma tes Decease, he entred into the service of the most
noble Prince Charles/ at which time, whatsoever others of the
societye ought vnto the Complaynant) he this Defendant Did
owe him nothinge, neyther Did he ever sythence nor before to
his knowledge question with any of them who should be his pay-
masters (as he in his bill vntruly informeth, but that there were
at that time tenne of that Company (whereof the said De-
fendants were fower) were sharers w th the rest and that their
vsuall manner was, that sometymes one, and sometymes another
of the said Company Did provide Clothes and other necessaries
for the settinge forth of the actors of that Company; And that
what parcells of stuffs or other provisions the rest of them
bought or procured for them, he this Defendant is alltogeather
ignorant ; but for his owne particular he Directly answereth and
saith, that he Did never request the said Complaynant to Deliver

326

Three London Theatres of Shakespeare's Time 41

vnto him or any assigne of his any such tinsell stuffs or other
stuffs, but such as he bought for himself or his Children, for
which he allwayes payd ready money ; Nor did ever promise
vnto the Complaynant, or any other to paye the sayd some of
ffortye six pounds five shillings eight pence mentioned in the
said bill, nor any parte thereof; Neither did the said Comp. 1
Deliver any such stuffs vnto the said Defendant, nor any other
by his appointment, nor (as farr as he knowes) to his vse, as in
the sayd bill is vntruly alledged/ And further saith, that he this
Def 1 , Did never make agreement with the sayd Complaynant to
paye the sayd somrne of xlvj. 1 v. s viij d , or any other sonwne or
somes of moneyes, for the said stuffs; Neyther Did the sayd
Defendant Beeston p^rvse the sayd Complaynants books of
accompte, nor did by that meanes, or any other, vnder-
stand that any such somme or somes of money were due
vnto him (other then what he the sayd Defendaunt paid
ready money for, as is aforesaid/ Nor Did he the sayd De-
fendant ever promise to make vnto the said Complaynant, any
payment or satisfacc/on for the said stuffy Nor did Combine
with the rest of the defendants or any of them, to defraud the
sayd Complaynaunt of the said moneyes, nor any part thereof;
Neither Did he the sayd Defendant direct any, to give out that
the sayd moneyes were formerly payd vnto the Complaynant, as
is vntruly laid downe in the said bill./ And further he the sayd
Defendant Denyeth that ever he enticed away the sayd Thomas
Chambers mencfoned in the sayd bill to be the Complaynants
servant/ Whereby he should forsake his sayd Maister, or absent
himself (of purpose) to Disable or disarme him of meanes to
proove the matter in demaund nor for any other purpose whatso-
ever, for that (to this Defendants remembrance) he never
knewe the said Chambers in all his liefe; All which things are
vntruely informed in the sayd bill of Complaint, without that,
that any other matter materiall in the sayd bill to be answered
vnto, and not Confessed nor avoyded, traversed or denied, is
true; All which he this Defendant is ready to averr and proove,
as this honorable Court shall award ; And therefore humbly

327

4 2 Charles William Wallace

prayes (as formerly he hath don) to be dismissed with his reason-
able Coster and Charge in this suite wrongfully sustained.

H. Gosnold :

Witness Book, Easter Term, 18 James I, vol. 200.
John Smythe

Pi

Xpofer Beeston
gent def 1

Tho : Soiwrscales gent
Willtam ffreshwater
Japhath Weale
John King/

Court of Requests Proceedings, Uncalendered, James I. [May,
1620.]

INTERROGATORIES

Interrogatories to be ministred vnto witnesses
to be produced on the parte and behalfe of John
Smith pit against Christopher Beeston defend 1

1 Inprimis whether doe you knowe the parties, plaintiff and defend tea
or either of them

2 Itm whether doe you knowe that the defend. 1 Christopher Bees-
ton in or about the yeare of our Lord God One thousand six
hundred and twelve did request the complainant to deliver from
time to time vnto the Companie of Players for the time then being
at the Redd Bull in S. 1 Johns streete diverse tinsell stuffs and
other stuffs for their vse in playing or what contrac* or promis
did the said Beeston make vnto the plaintiff concerning any
such stuffs to be delivered to the said Companie or vnto any of
them and about what time

3 Itm whether doe you know who did vndertake for such wares or
stuffs or other thinges as were from time to time in the yeare
of our Lord 1612 and soe afterwards for diverse yeares de-
livered vnto and for the companie of Players aforesaid and vnto
their vse and in whose name and by whose directions were all
or anie such wares or stuffs provided

328

Three London Theatres of Shakespeare's Time 43

4 Itm vnto whome did the said Companie give any allowance for or
towards the satisfyinge of the said stufEes or any of them and
what allowance did they give vnto any person or persons and
vnto whome and at what time and in what manner did they
allowe the same

5 Itm how long did the said Companie continewe together after the
plaintiff began to deliver wares vnto them and when did they
disperse or seperate themselves and whoe had the apparell or
other thinges which were made of the stuflfcs which the plaintiff
delivered vnto the said Companie or vnto whose vse were the
same Converted and by whose appointment or what became of
the same.

•6 Itm whether hath not the defend Beeston lately p^rvsed the
pit*?.? booke or book^j of parcelled wherein the said stufEes were
expressed and set downe and about what time and to what valewe
did the same stufEes amount vnto at the rates therein sett downe
and whether did the said Beeston acknowledge the receipte thereof
and allowe of the rates and prices according as they were sett
downe in the said bookes and what did the same amount vnto
and what speeches did the said Beeston then vtter or speake
concerning the same

7 Itm whether is the booke of parcells wherein the said stufrV-y
were sett downe which were delivered by the plaintiff vnto the
said companie now shewed vnto you and whether did not the said
Beeston p^rvse the same and allowe thereof and whether was not
the said Booke then when the said Beeston p^rvsed or allowed of
the same as the same now is and what can you say concerning
the contents of this interrogatorie./

8 Itm what speeches did the defend. 1 Beeston at any time vtter
since this suite commenced touching the putting in of his answer
or anie faulse answer into this Court declare the whole knowledge
herein./ And did not the saide Beeston say that it twas not
punishable

9 Itm whether doe you knowe that the defend 1 Beeston made paym. 1
of any some or somes of money parcell or in parte of paym. 1 of
any such stuffs delivered vnto the said companie and how much

329

44 Charles William Wallace

thereof hath he payed vnto the plaintiff or vnto anie of his
servantes or vnto any for his vse./

Court of Requests Proceedings, Uncalendered, James I. [5
May, 1620.]

DEPOSITIONS.

Deposic/ones Captae apud Westmonasterium quinto
Ex parte die Maij Anno Regni domini nostvi Jacobi Anglian
Querentis./ Regis &c xviij u0 et Scotie liij tio 1620./ ex parte Johis

Smith Querentis versus Christofer Beeston del*/

Thomas sonwskales of .the parysh of S.* Michell Bashingshawe
London Armorer of thage of xlv yeres or thraboute.? sworne,
and produced to be examined vppon the 1-6. 7. Jnter the day
and yeare abouesayd deposeth and sayth./

1 To the first Jnter this dep* sayth he knoweth the parties plaintiff
and def.y

6 To the vj th Jnter this dep* sayth that the def.* Beeston hath lately
(viz* since the beginning of the suite now dependinge between the
def.* and the now Comp. 1 ) seene and perused, in the presence of
this dep* the pl tes shopp book or Booker of accompt; in w ch book
or booker were sett downe and expressed diuerse & seuerall
parcelled of Tynsell stufTe and oth er stuffes, w ch the sayd defend*
Confessed to haue receyued from the compl* in parte hym selfe
and some parte therof, he the def* had sent for by oth ers &
receyued lykewyse, w ch sayd seuerall parcells did accordinge to
the rates therein sett downe amownt & come to the some of xlvj. 11
v. s viij d or thereabouts : All w ch seuerall parcells the sayd Beeston
acknowledged the receipt of & allowed the rate.? & prises, they
were sett att, by the sayd book or booker of accompt aforesayd :
And the sayd Beeston did then furth er in the hearinge of this
dep* Con f esse & say that he did beleyue in his Conscience, the
sayd parcells were truly sett downe & requested the Compl.* to
forbeare to take an attachm* owt of this honorafr/e Cowrte,
agaynst hym the def.* & to doe his best Indeuo 1- that some oth rs
of the Company might pay some of the dett behynd for the
parcells aforesayd./

330

Three London Theatres of Shakespeare's Time 45

7. To the 7 th Inter this dep* sayth that the book now shewed vnto
hym at the tyme of this his examynaa'on, and whervnto
thexawnner of this Corte hath subscribed his Name to the page
81 ys the very same book wherein the parcells of stuffe aforesayd,
delyuered to & for the def*, were sett downe & w ch the sayd def.*
Beeston perused and allowed of as abouesayd, w ch sayd book was
(to the best vnderstandinge of this dep* & for any thinge he cann
obserue in yt to the contrary) when the def.* perused & allowed
therof : the very same yt now ys conc^rninge the seu<?rall parcells
of stuffes aforesayd, w ch he this dep* the rath r beleyueth &
knoweth so to be for that his name ys subscribed in the sayd book,
to the foote of thaccompt agreed vppon when the sayd beeston
& the Compl', in the presence & hearinge of this dep.* And more
or otherwyse to this Inter this dep* sayth he can not depose/

Thomas Somerscales

William ffreshwat er of the parysh of S* Butttulphes w th out
byshoppes gate London merchant Taylo r of thage of lxxij
yeares or theraboutes sworne and produced to be examined
vppon the 1-2. & 3. Inter, deposeth and sayth. /

1 To the first Inter this dep* sayth he well knoweth both the parties
pi* and def.*

2 To the second Inter this dep* sayth that the def. 1 Christoph er
Beeston, abought the tyme menconed in thinterroaafory, viz 1 in
or about the yeare of o r Lord god 1612. did bargen for and bye
m'ten parcells of stuffes as tynsell loome wovkes & such lyke of
the comp u and did then request the comp u that If any the com-
pany or workemen belonginge to the play ers at the Redd bull in
S* John Street did come of those stuffes he had bought of the
Compl*, or of any more or oth er stuffe, for the vse of the sayd
Company, that he the Compl' shold delyu<?r them from tyme to
tyme w ch he the sayd Beeston the def then pramysed to see dis-
charged & payed for.

3 To the 3 Inter this dept 1 sayeth that the def. 4 Beeston did vnder-
take for such wares & stuffes as were delyu^red by the pi.* vnto
the sayd Company of play. ers in A.° 1612. & so afterwards vnto

33i

46 Charles William Wallace

& in the yeare of o r Lord 1616, And further this dep 1 sayth
y* the sd stuffes w ch were in that tyme delyuered by the Compl*
vnto the sayd Company or for their vse were from tyme to tyme
delyuered to this dep 1 & oth ers in Beestons name and by his
direcaon & appoyntm 1 , And that this dep 1 sayth he knoweth yt
so to bee for y* he hym selfe beeinge a workman to the sd com-
pany hath often & diuerse tymes gone to the pl tes house, some
tymes by direccon from the sayd Beeston & some tymes as sent
by oth ers of the sayd Company, for diuerse stuffes, w ch they had
occasion to vse. And when he hath asked the pi.* for the stuffes
he was so sent for, the pi* often tymes refused to delyuer the
same to this dep\ w th out some token from the sayd Beeston,
whervppon this dep 1 hath diuerse tymes gone backe agayne w th out
the stuffes to the sayd Beeston, and then the sd Beeston hath sent
this dep 1 agayn, some tymes by some token & some tymes hath
sent w th hym this dep 1 one or oth er belonginge to the sd company
for the things aforesayd, and then the pi. 1 hath delyuered the
sayd stuffes from tyme to tyme to this.dep 1 to thuse of the sayd
Beeston & his company. And more to this Inter he sayth he can
not depose

Wm ffreshwaters.

Japhathe Weale of the parishe of Christchurch in Newgate
markett London habberdasher of thage of 39 yeares or there-
abouts sworne and examyned vppon the first sixt seaventh &
nynthe Interr deposeth & saythe/

1. To the ffirst Interr this deponnent saythe he knowethe the parties
plaintiffes & defendt./

6. To the sixt Interr this deponnent saithe he knowethe and was
present when the defendt Beasten perused the plaintiffs booke
of porcells wherein the parcells of stuffe weare expressed that
weare deliuered to the defendt & to his vse, and he soe perused
the -same booke in Ao. dni 1618. to the best Rememberance of this
deponent ; And saythe the parcells of stuffes soe perused by the
defendt in the plte.? booke did to the best Rememberance of this
deponent amount to the some xlvj 11 or thereaboute.? ; and saythe

332

Three London Theatres of Shakespeare's Time 47

that when the sd defendt soe perused the sd. booke he did
acknowledge the Receipt of the said parcells and allowe of the
rates and prizes as theye weare there sett downe in the said
booke/ And after he the defend 1 hadd soe perused the sd booke
and acknowledged the Reciept of the sd parcells and allowed of
the prises as they weare sett downe in the sd booke he desired
the Complt to haue patience for a while & he should haue his
mony or worded to that effect/ And more he Cannot depose to
this Interr/
7. To the seaventh Interr this deponent saithe that the booke of
porcell[s] nowe shewed vnto him this deponne;i£ at the tyme of
this his examynac/on & wherevnto thexamyner of this Cort hathe
subscribed his name is the same booke that the def* soe perused
& allowede of the sd parcells and that the same booke is w th out
any alteraa'on concerninge that poynte since the sd defend 4
perused the same/ And more he Cannot depose to this Interr./
9- To the nynth Interr this deponent saythe/ he knowethe that the
defendt since the perusall of the booke as aforesd towarde.? the
foote of that accompt made paym 1 of the some of 36 s vnto the
Comp u in part of payment of such some & somes of mony as was
due vnto the Comp u vppon the foresaid booke ; and noe more was
pavd to the sd Compla///a;;t or his servante or servantes to his
vse since to the knowledge of this deponent And more he
Cannot deponent, [sic] depose./ to this Interr

Japheth Weale

John Kinge of London gent of thage of fortie six yeares or there-
aboute^ sworne & produced to be examyned vppon the first,
second, fourthe & sixte Interr the daye & yeare abouesd de-
posethe and saithe/

1. To the first Interr this deponn saithe he knowethe the parties
pltfes and defendt/

2. To the second Interr this deponne^ saithe/ he knowethe that the
defendt in or aboute the yeare of o r Lord god 1612. did Request
the Complt Smythe to deliuer from tyme to tyme vnto the Com-
pany of players for the tyme then beinge at the Redd Bull in S l

333

48 Charles William Wallace

John Streete, such parcells of Tynsell stuffes & other stuffes as
the sd Company should vse in playinge and vndertooke to see
him the Complaynant payd for the same, w ch he knowethe to be
true for that the Comp u would not deliu^r any stuffes vnto any
of the sd Company of players except they brought a tokne from
the defendt Beeston./

4. To the fourthe Interr this deporme nt saithe that the sd Company
gaue Allowance vnto the defendt Beeston for the satisfying of
such mony as should be due to the Comp u for such stuffes; and
saythe that the sd Company did allowe him the sd Beeston one
half of the proffitt that came of the gallyryes; towards the
satis fyinge of the Comp ltes debt w ch he Received weekly accord-
ingly but what it might amount vnto this deponent Cannot iudge,
neither knowethe he aboute what tyme the sd Company gaue the
defendt such allowance And more he Cannot depose to this
Interr/

5- To the fifte Interr this deponent saithe that after the p u begann
to deliu er Stuffes vnto the sd Company the sd Company Contynued
together for the space of eight or nyne yeares or thereabout^.?,
and saithe that they the sd Company begann to separate them
selues, three yeares since or there aboute; and at the separadon
of the sd Company the sayd Beeston did take and Carry Away
all the apparrell that was then amongst the sd Company and
Converted them to his owne vse/ and since disposed of them to
other Companyes at his pleasure And more to this Interr he can-
not depose saue that he saythe that the stuffes bought of the p u
weare all worne out & consumed before the separacon of the
Company aforesd./

Jhum
King

Decrees and Orders, ij-18 James I, Vol 50, p. 324.
xxvj t0 Die Maij a° &c 18° et 53°/

Boston I 11 the cause at the sute of Iohn Smith compl 1 against Xpofer
Beeston and others Def tes vpon moc/on made to this court on the
behalf of the said compl* y* is ordered that the same matter shalbe

334

Three London Theatres of Shakespeare's Time 49

published vpon the second day of the next terme & heard in this
court vpon theight day of the same terme if the said def tes having
convenyent notice of this order before the sayd day of publicac/on
shall not then or in the meane tyme shewe good matter in this
court to the contrary-/

Affidavit Book, 15-19 James I, Miscellaneous Books 150. [Not
paged, and badly damaged.]

Term'mo Trinit A° R Regis Iacobi Anglie ffrantie et
Hib^rnie xviij° et Scotie liij°./ viz

xvj° die Junij ,A° praedc./

Beelton Towelling the cause at the sute of Iohn Smith plaintif against
Xpofer Beeston gent & others def tes . The said Xpofer Beeston
maketh othe that Emanuell Reade gent is one of this deponents
most materiall witnesses in this cause who about three weekes
past went. into Ireland, whose returne is not expected* till some
tyme in Michaelmas terme next-//

Decrees and Orders, 1/-18 Jas I, Vol. 30, p. 428.

xvij° die Junij A° &c 18 et 53°-/
Smith l n the cause at the sute of Iohn Smith compl 1 against xpofer
Beeston def', vpon the moaon of m r Jeffrey of counsaill w th the
said def 1 yt is ordered (any former order notw th standing) in
regard of the def tes Affidavit that the publicaaon of this cause
shalbe deferred vntill crastino awimarum next and the hearing
thereof vntill the xij th day of novemb r next, And at those dayes
the same matter shalbe published & heard peremptorily-/

Affidavit Book, 15-19 James I, Miscellaneous Books, 130.
[Not paged, and badly damaged.]

Affidavit of Elizabeth Perkins.
xxvij° die Junij A° &c 18 et 53°/
iTlswn Towching the cai:se at the sute of John Smith pi against xpofer
Beeston def 1 , Elizabeth Perkins (wief of Richard Perkins of

335

5<D Charles William IVallace

the parish of Clarkinwell gent) maketh othe that Emanuell Reade
hath made his abode in Jreland by the space of two or three
yeares last past or theareabout^ with his wief & familie and
about Easter last did come into England and did lye often
tymes in the howse of the said xpofer Beeston & was much
in his company whilest he was in England And about Whitson-
tyde last the saide Emanuell Reade went againe into Jreland & at
his departure he sayde that he thought he should never returne
agayne into England

[/// codem.] Affidavit of John Smith.

Tmniwo sci Michis A° R Regis Iacobi Anglie ffrantie
et hibnie i8° et Scotie liij °

Quarto die Novembris A praedc.

B?est'on Towching the cause at the sute of John Smith pi against xpofer
Beeston def 1 : The said John Smith maketh othe that Xpofer
Beeston and this Depon* having some conference together about
Michaelmas terme 1619 concerning the putting in of Beestons
answer the sayd Beeston did then say that it was nothing for him
to put in a false answere into this Court of Requests, for that it
was not punishable. And this deponent made him answere againe
that if the lawe would punish him for it he should be punished

[In codem.] Affidavit of John Smith.

xiij° Die Novembris A° praedc/

ieeswn Towching the cause at the sute of John Smith pi against xpofer
Biston def 1 : The said compl 1 deposeth that about Midsomer
1619 this depon* came to the said Biston to demaund his debt,
And the said Biston sayde that he would pay his part, & desyred
this depon 1 to demaund the rest of the companie w ch to satisfy
him, this Depon 1 did. But their answere was they ought him
this compl 1 nothing But the said Biston was to pay him Then
this compl 1 tolde the said Biston their answere and sayde he
would profer his bill in this ho : Court that both Biston and the
companie might answere vpon theire othes w ch of them ought to

336

Three London Theatres of Shakespeare's Time 5 1

pay this compl 1 And the said Biston & the company were both
contented & requested this compl 1 to take the sayd course — /

IV.

THE FORTUNE THEATRE AND THE BEAR GARDEN.

The part played by the Fortune theatre and the Bear Garden in
the evolution of the drama of Shakespeare's time cannot properly
be told until we are in possession of all available data. The chief
items formerly known, besides not a little new matter, I have pre-
sented in University Studies for April-July, 1908, as incidental
to the treatment of The Children of the Chapel at Blachfriars
1597-1603. Old materials and new must ultimately be gathered
together and presented, not as mere isolated facts, but as essen-
tial members of a living, palpitating organism. But it is my
purpose now to do no more than add certain new facts that will
finally fall into their proper relations in later presentations of
other literary historians as well as my own. It has long been
known that Edward Alleyn, within a year after he built the
Fortune, leased one half of it to his father-in-law, Philip Hens-
lowe. The lease bore date 4 April, 1601, and was to continue
twenty- four years at an annual rental of 8 /. An unexecuted
assignment of it, after Philip Henslowe's death, in 1616 by Agnes
Henslowe, his wife and executrix, is now preserved among the
voluminous papers of Alleyn and Henslowe at the college
founded by Alleyn at Dulwich. The papers there preserved
furnish us some of our most valuable information on the Eliza-
bethan-Jacobean drama and stage. But among them the lease
itself has not been found, nor any record of payments of rent
from time to time by Henslowe to Alleyn for the Fortune.

It is evident from the documents I now present that no
payments in money were made by Henslowe for the rent of
one half of the Fortune. It was simply offset by rent of
other property to Alleyn. It is here stated that an agree-
ment was made in or about 16 10 whereby Alleyn released
Henslowe from payment of the 8 /. in consideration of Hens-

337

52 Charles William Wallace

lowe's allowing Alleyn residence at the Bear Garden in South-
wark. But there can be little doubt that the payment of rent
had been similarly offset from the very beginning of the lease
in 1601.

The suggestions in the document concerning unknown features
of the Bear Garden, Alleyn's long residence there, and the later
relations to William Henslowe, brother and part legatee of
Philip, may turn out to be more than merely interesting. I
choose to present at present only this one out of a series of docu-
ments relating to the same persons and theatres. All emit an
occasional glimmer of light, and in due course shall be published.

ALLEYN VS. HENSLOWE.

Court of Requests Proceedings, uncalendered, James I.
[1624.]

alleyn's bill.

[Bill only. Crumpled and stained, but legible.]

[Date of filing, in dorso] xxxj die Januarij Anno Rni
Regis Iacobi [Angl] fr et hibnie xxj°, et Scotie lvij

Defend vocef per nunc Camer

To the Kinges most excellent
Ma tie

In most humble wise Complayninge sheweth to your most
excellent Ma tie your trewe ffaithfull and obedient subiecte and
servaunt Edward Allen of Dullwich in your highenesse Countie
of Surrey Esquire. That wheare as in or aboute the eight yeare
of your Ma tes most happie and prosperouse raigne over this your
highenesse Realme of England theare was Covenaunt Contract
Conclusion and agreement made betweene one Phillippe Hens-
lowe late whiles hee lived of the parish of S l Saviours in the
said Countie of Surrey Esquire deceased and your subiecte that
one yearelie rent of eighte poundes dewe and payeable to your
subiecte his executors and assigns by the said Phillipp Henslowe
for the tearme of ffoure and Twentie yeares then to come and
yett vnexpired for the moyetie of a house Comonlie Called the

338

Three London Theatres of Shakespeare's Time 53

ffortune Playehouse and other tenements thearevnto adioyninge
scituate and beinge in Goldinge Lane in the County of Middlesex
should from thence be released and dischardged by your said
subt to the said Phillipp Henslowe his executors and assignes,
\v ch rent of eighte pounds per annum your subiecte did accord-
inglie release to the said Phillippe Henslowe in his liffe tyme
and did ffree and acquite him his executors and assignes from
the payement thearof, and for Consideracion hearof the said
Phillippe Henslowe did Covenaunt and agree w th your said sub-
iecte that hee the said Phillippe Henslowe his executors and
assignes that your said subiecte or his assignes w th ffoure ser-
vaunts should or might haue the vse or occupation of a Certaine
messuage or tenement whearin your said subiecte then dwelt
beinge parcell of a messuage or tenement Comonlie Called the
Beare garden and the newe buildings then latelie built before the
same scituate and beinge in the parish of S' Saviours in South-
warke aforesaid for your subircte his assignes or servaunt^
necessarie or Convenient Lodginge w th the vse of the kitchen of
the same messuage or tenement for dressinge of his or theire
meate washinge or other necessarries w th ingresse, egresse and
regresse into and from the same att his or theire wills and
pleasure duringe the rest and residewe of the said tearme of
ffoure and twentie yeares then to comme and vnexpired w th out
anie rent or other recompence to be yealded or payed for the
same other then the release and dischardge of the said yearelie
rent of eighte pounds payeable to your subte by the said Phillipp
Henslowe as is aforesaid and w th out the lett disturbaunce moles-
tation, expulsion evicc/on or interrupc/on of the said Phillippe
Henslowe his executors or assignes or of anie other person or
persons by his or theire meanes, mighte, Title, estate, interest,
Consent or procurement, And your subzVcte did accordinglie hold
and enioye the said messuage or tenement whearin your subfVcte
then dwelt and the vse of the said kitchen quietlie and ffreelie
duringe' all the liffe tyme of the said Phillipp Henslowe w ch was
about ffive yeares after w th out yealdinge or payeinge anie rent
for the same to the said Phillipp Henslowe other then the release
and dischardge of the said yearlie rent of eight pounds to the

339

54 Charles William Wallace

said Phillippe Henslowe his executors and assignes, And after-
wards (that is to save) in or aboute the sixth daye of Januarie
in the thirteenth yeare of your Ma tes said raigne the said Phillipp
Henslowe did make his last will and testament in wrytinge and
theareby did bequeathe or devise the interest of such lands and
lease w ch hee had and helde vnder the Bishopp of Winchester
and the tearme of yeares thearin to Comme to one William Hens-
lowe brother of the said Phillipp Henslowe, the said messuage or
Tenement whearin your subiecte dwelt as aforesaid and the said
kitchen beinge parcell of the said lands w ch the said Phillipp
Henslowe did then hold by lease vnder the said Bishopp of Win-
chester, and which the said Phillipp Henslowe did geve and
bequeathe to the said William Henslowe as aforesaid, And
the said Phillipp Henslowe shortlie after in the said moneth
of Januarie in the said thirteenth yeare of your ma tes said
raigne dyed theare beinge then aboute ffiftie yeares vnexpired
of the said lease, wheareby the said Phillipp Henslowe did
hold the said lands vnder the Bishopp of Winchester, And
the said William Henslowe by vertue of the said guifte and be-
quest made vnto him of the same lands by the last will and
testament of the said Phillipp Henslowe did enter into and
possesse himselfe of the same lands wheareby hee allsoe
was and is possessed of the said messuage or tenement whearin
your subiecte dwelt and of the said kitchen and doth receive and
hath received the rents issues and profitts thearof ever sithence
the death of the said Phillipp Henslowe But nowe soe it is
maye it please your most excellent Ma tie that the said William
Henslowe doth very vniustlie and Contrarie to all equitie and
good conscience deteyne and hath deteyned ever sithence the
death of the said Phillippe Henslowe from your said subiecte
vnder Collour of the said guifte or bequest made vnto him by
the said Phillipp Henslowe the said messuage or Tenement
whearin your sub/ste dwelt as aforesaid and the vse of the said
kitchen the said Tearme of ffoure and Twentie yeares beinge
yett vnexpired and not determined w th out anie allowaunce or
recompence made or geven to your Sub/ste for the same and
doth allso vtterlie refuse and denie to geve your said subiecte

340

Three London Theatres of Shakespeare's Time 5 5

anie allowaunce or recompence for the same Not\v th stanclinge
that the said William Henslowe doth well knowe that the said
Phillipp Henslowe for the Considerac/on aforesaid did Covenaunt
Conclude and agree w th your said subiecte that your subiect and
his assignes w th ffoure servaunt^y should or might haue the vse
and occupation thearof in manner aforesaide duringe the rest
and residewe of the said tearme of ffoure and twentie yeares
then to comme and vnexpired. Nowe for that your said sub-
iecte hath noe meanes by the stricte Course of the Common
Lawes of this Realme to recover the possession of the said
messuage or Tenement whearin your subiecte dwelt and the vse
of the said kitchen or the rentes issues or pvofHttes thearof ever
sithence the death of the said Phillipp Henslowe, and doubteth
not but that the said William Henslowe will sett fforth vppon
his oath the saide Conclusion and agreement made betweene your
said subiecte and the said Phillippe Henslowe. Maye it theare-
fore please your most excellent Ma tie to graunte to your saide
subiecte your Matties most gratiouse writt of privie seale to be
dyrected to him the said William Henslowe Commaundinge
him theareby personallie to be and appeare before your Ma tie
and your Ma tes Councell in your Ma tes Chamber of Whitehall att
Westminster then and theare to aunsweare the premisses vppon
his oathe, and to stand to such order and Censure thearin as to
your Ma tes said Councell shalbee thought meete and Convenient,
And your subiecte as dewtie binder him shall ever praye for your
Ma tes most happie and prosperouse raigne longe to Continewe
over vs /

Ro : Gosson

Affidavit Book, 21 & 22 James I, Misc. Books 132.

Tcrmmo sancti Hillarij A° R Regis Jacobi Anglie
ffr: et hibernie xxj° et Scotie lvij°-/

Quinto die ffebruarij a &c 21 et 57°./
Alien Towelling the cause at the sute of Edward Allen esq r plaintiff

Henslowe ° i r jj

against Willm Henslowe def 1 Thomas Mowseherst of Maresfeild
in the county of Sussex yeoman aged lvj yeares or theareaboutc?

341

56 Charles William Wallace

maketh othe, that the sayd def* Willm Henslowe is an aged man,
about the age of three-score and eight yeares, and hath been sick
ever sithence the feast of S l Bartholomewe last past & seavenight
before vntill this present tyme, & yet is very sick & weake &
keepeth his bed not able to helpe himself, And that the said def*
by reason of his long sicknes is become deafe, & his sences &
vnderstanding so decayed that he cannot well heare nor vnder-
stand the said compl tes bill (being read vnto him) to make
answere therevnto. — //

/

342

The English Lyric: A Study in Psycho-Genesis

BY HARTLEY BURR ALEXANDER
I. ETHNIC CHARACTER

The mental complexion of a race, no less than that of an indi-
vidual, is most characteristically mirrored in its artistic achieve-
ment. Throughout the history of civilization what has given
tone and quality to every effective culture has been, more than all
else, its art. The aesthetic impression produced by a race and its
works is always lasting indication of its vital force.

Nowadays when we think of Greek civilization the image first
to present itself is of urns and vases of graceful line, or of won-
derful marble statuary, or of fine-limned temples gleaming white
above the blue waters of the Aegean. Always it is some beauty
of plastic form, luminous, exquisite, less a thrilling of the imagina-
tion than a rest in radiant charm. Contrast with this the culture
of Italy. The Renaissance ! Our one overmastering estimate of
the Italian race is determined by that period of its history in
which it developed an habiliment of sensuous splendor for its
ideas and its ideals such as has never been attained by any other
people. Its mere wealth of color and tone stimulate the imagina-
tion to undreamt vision. The spirit of it, also, is in part re-
vealed to us, and this because we are not wholly alien to the
ideals it was concerned in expressing. The Renaissance was
Italian in its sensuous magnificence, but its motives were Euro-
pean, Occidental, and so not out of sympathy with our own.
Understanding is, indeed, quite as essential to aesthetic apprecia-
tion as is stimulation of sense through beauties of color and
form. Oriental civilizations seem all more or less foreign and
unnatural to us. Though here, as with the more intimately com-

Umveksitv Studies, Vol. IX. No. -i, October 1909.

343

2 Hartley Burr Alexander

prehended Greek and Italian cultures, it is the aesthetic aspect
that most vividly impresses us, still the impression is not so vital
nor so close. There is richness and sensuous variety in Oriental
culture not unlike that of the Italian, but it does not appeal to
us with the same pertinence. We do not comprehend a cast of
mind so thoroughly alien in vision; we cannot touch the human
motive that actuates its expression ; the psychical reality, the
ideal, which is the reason and worth of the creation, is hidden
from us, and we have no art to read the mind's complexion in
features not transfigured by the sympathy that springs from
community of culture.

Now just as we understand other peoples best through their
artistic expression, so may we best understand ourselves in our
own aesthetic tastes and achievements. To be sure, we, as all
modern peoples, have borrowed freely from the cultures that have
historically anteceded ours, and consequently there are many ele-
ments and influences in our work which represent an assimilated
and not a native taste. Nevertheless these are mainly superficial,
having to do with form rather than spirit, — which not the most
imitative art can wholly conceal. No matter what one race learns
from another, its work is bound to be imbued with a turn and
temper native to the flesh ; and where this is perceived, therein
is discovered the portraiture of the art.

Ethnologists tell us that the English people is the product of a
highly complex fusion of races. An understratum of Iberian
blood; an infusion of Celt; and out of the two the Briton of the
era of the Roman occupation. Later the Teutons, — Angles,
Saxons, Norwegians, Danes, Normans. From all these arises
the modern Britisher and British-American, quite inappropriately
called Anglo-Saxon. But however great the variety of races, the
time of first fusion is now so long passed that a thoroughly char-
acteristic type has been developed. It is Teuto-Celtic rathei
than Anglo-Saxon ; for in the modern Briton are united two dis-
tinctive trends of character and temperament probably not
wrongly accredited to a Teutonic and a Celtic element (if
Caesar's Briton was indeed a Celt). The two strains may be
clearly distinguished, and they are important factors in any

344

The EnglisJi Lyric 3

understanding of British psychology. Yet they do not represent
two types of individual, for their fusion has produced a new and
distinct personality having temper and tone not difficult to rec-
ognize nor wrongly to be accounted unitary.

For seeing what that temper is, because it is so common to us,
we may best contrast it with types that strike us by reason of
their divergence from it. The Italian mind we conceive to be
richly and vividly sensuous, delighting in color and sound and all
the joyous stimulation of a brilliant vitality. The Gallic mind
we think of as keenly logical and quick, dramatic in all the stag-
ings of its thought, clear-bounded even in emotion. The German
we take to be ponderously profound, studiously careful, tenderly
sentimental. But our own mind shares with none of these.
Compared with them, we find its most striking feature is its
repression. It is dumb even to itself, slow to understand itself,
and when it does understand, however stubborn in conviction,
it is never facile in expression. The repression is thus not a
stoical reticence, and it is far less willed than imposed by nature.
In common with all mankind we desire self-expression, but it is
only attained by us with labor ; we never quite conquer the awk-
ward age. Hence our admiration for the to us difficult art of
orator)' — so spontaneously the gift of the gesticulating Latin, —
and hence, too, our failure to comprehend the somewhat pluvious
emotion of the German.

But in the mere fact of repression we have only a negative
and barren characteristic. Our interest probes deeper. We
know, for example, that we possess natively a full portion of
Northern gloom of mind, an oppression under destiny which
impels us to take even joys sadly. In half antithesis to this, we
recognize an almost exuberant practical idealism, the spirit which
can exalt the average human life to highest worth. — as in the
democracy we believe in, and aspire to, and by reason of a mag-
nificent faith partially attain. Other qualities and other features
we know, too. but this struggle of idealistic faith with the
anciently destined sorrow of our mood is perhaps most funda-
mental. That it is tight-pent, because of our natural repression,
renders the struggle more intense and at the same time gives the

345

4 Hartley Burr Alexander

characteristic quality to our expression, when expression is vouch-
safed us. Strongly metaphorical because the half-truth of meta-
phor conveys the confusion as well as the strength of the high-
wrought mood ; spontaneous and brief because of the turbulence
within the pent source : these are the natural qualities of our most
native expression, and it is perhaps needless to say that they are
essentially characteristics of lyrical expression. At least, in a
type of mind conceptually rather than sensuously imaginative, —
which will therefore give its art a literary form, — these qualities
demand the lyric; and with due deference to Shakespeare and
Elizabethan drama, it appears to me certain that it is just in our
lyric literature that the most genuine embodiment of English
character and genius is to be found.

II. POETIC MODE

Race and culture (and in culture I include all that grows out
of language and tradition) furnish medium and background of
poetic expression. They enrich the poet's personality, his charac-
ter and experience ; they supply him with an audience of kindred
understanding; they enable fullness and surety of utterance aris-
ing from the reflection of his life and mood in the larger life of
his people. Individuality thus comes to mean a fine precipita-
tion of what marks the essential character of race or culture : in
mood it is an acute delicacy of response to underweaving in-
stincts ; in expression it is a lively mirroring of cultural shadow
and tone. The quality of expression to which in these guises it
gives occasion Matthew Arnold called mode, — thereby indicating
a something more than manner though less than mood, some-
thing partly of the nature of method but instinctive and fixed in
the blood.

In that noteworthy essay on The Study of Celtic Literature,
Arnold distinguishes three* modes of English poetry which he as-
cribes to three cultural sources, two native to the race and one
appropriated from without. The native modes are a Celtic and
a Saxon, the one appropriated is the classical.

First, though our author assigns to it last appearance in our

346

The English Lyric 5

literature and the least fundamental character, let us consider
what he calls the Greek " luminous " mode. Its salient qualities
are startling clearness of profile, bell-like purity of tone, a
lambent sunniness of atmosphere, and in sentiment a delicate
expressiveness most lovely because so utterly free from introspec-
tion and its attendant modesties. In illustration Arnold cites
Theocritus :

\eip.wv yap C(pi.v tKei.ro fxeyas, o-Tifiadeacnv 6veiap}

With which he might well have set the exquisite fragment from
Sappho's description of the garden of the nymphs, wherein is
centered all the drowse and dream of the Lotos-Eaters:

ap.<pi 5e xpvxpov KeXddei Si tiadwv
p-aXLvuiv, a.idvo'o'op.e'vwv Se cpvXXuiv
Kw/xa KCLTappei —

which John Addington Symonds translates :

All around through branches of apple-orchards
Cool streams call, while down from the leaves atremble
Slumber distilleth.

From the English he cites Oberon's description of Titania's couch:

I know a bank where the wild thyme blows,
Where oxlips and the nodding violet grows,
Quite over-canopied with luscious woodbine,
With sweet musk-roses and with eglantine.

And again, Keats :

What little town, by river or seashore.
Or mountain-built with quiet citadel.
Is emptied of its folk this pious morn?

1 Idylls, XIII, 34. So cited by Arnold. Paley and other editors read
the verse

Xeifitbv yap <r<piv etceiro, fJ.iya <rrif3dS€(ro~iv 6veiap

— " for they found a meadow lying, rich in couches of strown grass and
leaves" (Lang).

347

6 Hartley Burr Alexander

In all of these examples we can clearly grasp the impulsive
delight in mere perception which, transfiguring the object of per-
ception, gives rise to the luminous quality. And most appro-
priately is it likened to light : it is imaginative illumination. But
I think, rather than merely classical, the mode is elemental in all
poetry. In quality it is nearest akin to child imagination, — eager,
active, snared in the filmiest web of sunshine, ever discovering
new wonder in what to the tired mind of maturity is only the
commonplace.

We find it pervading children's poetry and we find it in
primitive song everywhere. Lafcadio Hearn has given us dainty
bits from the poetry of old Japan quite rivaling the Greek. 2
Thus in comparing Japanese and Greek appreciation of the poetry
of insect life, with the beautiful lines of Meleager,

O cricket, -the soother of slumber . . . weaving the thread of a voice
that causes love to wander away ! . . .

and,

Thou vocal tettix, drunk with drops of dew, sitting with thy serrated
limbs upon the tops of petals, thou givest out the melody of the lyre from
thy dusky skin. . .

— with these, Hearn may justly set for nicety of observation and
delicacy of sentiment this on the aburasemi (a variety of cicada),

Speaking with that voice,
Has the dew taken life? . . .
Only the aburazemi !
And in,

Fathomless deepens the heat : the ceaseless shrilling of semi
Mounts, like a hissing fire, up to the motionless clounds. . .

Hearn gives us a startling parallel to the Alcaean fragment on
the cicada preserved to us by Demetrius :

From beneath his wings a shrilling song he pours —
High fluting that to fiery heights upsoars.

2 Shadowings, 1900.

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The English Lyric 7

In the song from the province of Iwami, the song of a lover
seeking the trysting-place, a more romantic note is struck:

Ah, the darling ! . . .

Ever as I steal along the ricefield path

The firefly kindles a light to show me the way . . .

And even this, with its flavor of conceit, may perhaps bear com-
parison with the nobler conceit of the epigram ascribed to Aris-
tocles, the son of Ariston, before he became known as the Plato
who would banish poets and poesy from his City of the Wise:

aarepas elaa6peh, aarr/p ifx6s- eWe yevotp.rjv
ovpav6s, ws iroWois 6p.p.acriv ets ere /3\^ra> —

which in English runs naturally into a little sibilant song :

Thou gazest on the stars, my star? . . .
And 'tis O that I might be
Yon starry skies
With myriad eyes
To gaze on thee !

In Greece and in Japan we find the same primordial pleased
amaze that a world could be so fair; and if the classic peoples
preserved it undefiled into the highest culture, keeping always
in the " white light," as Professor Woodberry puts it, this was
rather because of the exceptional sun-delight of their natural
domain than because the mode was exclusive possession of their
race. It was in English poetry long before the Renaissance.
Plus a humorously genial insight into men and affairs it is the
chief poetical asset of Chaucer; and every poet, no matter to
what agonies of introspection or grimness of message he may
later attain, must first have possessed as his poetic birthright this
divine child- joy.

But if the luminous mode nourishes the root of poetic aspira-
tion, it by no means determines the form and fashion of the
flower. There are all-important conditions of environment, of
racial predilection, of education and the mould of natural cir-
cumstance. The poetry of the Japanese is not, after all, that of
the Greek: Fuji-yama and Buddha demand oracles other than

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8 Hartley Burr Alexander

Dodona and Delphi; the rude ballad of Robin Hood's Alan a Dale
is only remotely akin to the courtly romaunt of Coeur de Lion's
Blondel ; and ever there has been one song echoed from moun-
tain and mist, quite another from green dale and blossoming
hedgerow.

The clear-seeing eyes of the poet find the fundamental tone of
poetic composition everywhere but atmosphere and perspective
follow environment and age-old heredities. All true poetry is
luminous, but the scenes that are shot with light vary indefinitely.
Some are almost trans-sensibly perspicuous, — and this is the
classical, the Mediterranean mode ; some are revealed through
intermittent and blinding flashes, scenes of cosmic indefiniteness
and awe, — and this is the Teutonic, the Northern mode; some
are perpetually ashimer with the mystic " light that never was on
land or sea," — and this is the mode of the Celts of the ultimate
West.

Yet each of these — Greek, Saxon, Celtic, — develops from the
same Aryan heredity. The studies of the past quarter-century
have penetrated far into the depths of that old racial mind —
pre-Hellenic, pre-Teutonic, pre-Celtic, — the mind of primitive
Europe whence the European civilizations have been unfolded.
In this old mind we meet that common fond of ideas and ways of
seeing what we call our world which is the basis of the unity of
European thought as we know it today. The picture we have of
this mind, reconstructed from the debris of folklore and from
slow-dissolving custom and speech, is lurid rather than attractive ;
for it is mainly a murk of ghost-ridden superstition, with its
grim attendance of human sacrifice and half-remembered canni-
balism, this and the hardly less gruesome and fierce ritual of a
spirit of the corn to whom man's blood must be yearly rendered
up in return for the yearly dole of food. Placation of the hover-
ing and vengeful souls of the human dead and compensation,
life for life, to the great Earth Mother of us all, who must devour
that she may feed, — these are the primal dogmas of old Europe,
living-dead in us yet; and it is out of these that is sprung that
curious melange of ideas of shape-shifting men and talking beasts,

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The English Lyric 9

of daemons of earth and air and sea, of giants and Titans and
the wars of gods and men, which are the substance and life of
cur folktales ; — aye, and it is out of these that sprung, half by
miracle, the vision of an immortal life, and of a destiny-con-
quering man.

And with the wild phantasy of these beliefs we have to reckon
in any account we may give of the spiritual development forth-
shown in any European literature. We have to reckon with it
. . . but rather as the background, the hinterland of the forward
thought, than as its determinant. It is a background that is
valuable, first, as a ground of comparison for the different modes
that have developed upon it, and second, as the secret and spring
of that like-mindedness which enables Europeans of diverse
culture-traditions to comprehend and sympathize with one
another. As, for example, it is great profit to compare what is
made of the idea of Fate by Hellene and Teuton respectively, the
Nemesis of the one a moral principle, Righteous Indignation, the
Wyrd of the other a Valkyrie-like Snatcher of Souls, implacable,
wrathful ; or, again, to contrast the clodlike Jotunn of the North-
man or the malignant man-devouring Fomor of the Gael with the
Titan of the brighter myth of the South, the Titan who may be
a Prometheus and a champion of mankind, his Earth-born kin.

Against the murk background, what we must seek in each
is the distinctive light which each race develops in its own
habitation.

III. THE GREEK MODE

Let us once again consider this " luminous " Hellenic mode
which plays so profound a role in the development of all European
literature.

" The ' serene and classical ' Greek of Winckelmann and
Goethe," says Gilbert Murray, " did good service to the world in
his day, though we now feel him to be mainly a phantom. He
has been succeeded, especially in the works of painters and poets,
by an aesthetic and fleshly Greek in fine raiment, an abstract
Pagan who lives to be contrasted with an equally abstract early
Christian or Puritan, and to be glorified or mishandled accord-

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io Hartley Burr Alexander

ing to the sentiments of his critic. He is a phantom, too, as
unreal as those marble palaces in which he habitually takes his
ease. . . . There is more flesh and blood in the Greek of the
anthropologist, the foster-brother of Kaffirs and Hairy Ainos.
He is at least human and simple and emotional, and free from
irrelevant trappings. His fault, of course, is that he is not the
man we want, but only the raw material out of which that man
was formed : a Hellene without the beauty, without the spiritual
life, without the Hellenism."

The " raw material out of which the man was formed " is much
the same for Greek and Saxon and Celt, yet each of these is
formed, and formed into his own kind of man in a unique and
individual sense.

And what, then, is the uniqueness of the Hellene? or, to put
the question in a less ambitious and more apposite form, what is
the distinctive quality of the Hellenic mode, the classical spirit,
in literature? We have dissented from Arnold's dictum that it
is mere light, mere luminousness, — rather it is a special degree of
light, steady and pervasive like the light of day, restricted in its
avoidance of the prismatic play of shadows, the still and constant
" white light " of Professor Woodberry.

In her brilliant Prolegomena to the Study of Greek Religion
Jane Harrison forcefully brings home " the fact that Greek reli-
gion for all its superficial serenity had within it and beneath it
elements of a darker and deeper significance " — pallor and trem-
bling in the presence of dark underworld powers and that sickness
of soul which arises invisibly from the miasma of superstition.
Behind the brilliant cults of the civic gods and goddesses —
Wardens and Warriors of the Hellenic states, — hung a sombre
array of Chthonian deities, whose rites were done at night in
caves and dens, the one wish of the worshippers being to avert
the malignancy of powers ever unconquered though ever held
suppressed.

In Greek literature there is little explicit reference to this sup-
pressed chapter of mythology, — a chapter having to do with
mysteries and obscure rites and things only darkly to be hinted.
On the surface are the bright and friendly Olympians, with Zeus,

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The English Lyric 1 1

the shining heaven, lording it over all, — daylight and zestful action
everywhere. We may surmise dim genealogies of monster deities
from the picturesque Sileni and Satyri whose final function is but
to emphasize the wholesome humanity of the regnant gods; but
the grim and raw reality of their being is rigorously repressed.

The sociableness, the intense humanness of Greek religion is
thus due to the fact that it is, in its palpable aspects, an expurgated
religion ; and, with no less truth, that brightness which makes
Greek literature the model of humanism is due to the fact that it
is spiritually an expurgated literature : the darker, the more mon-
strous, the more distempered phases of experience are eliminated
as by an instinct more careful than care ; so that we gather from
it an impression only of lambent and generous sunlight.

This is our first impression, but we have to acknowledge too a
sense of power — elastic as in Homer, terse and willful as in
Aeschylus, broad and gracious as in Plato. And a momentary
reflection tells us that this powerfulness of the literature is due
to the same cause as its impression of light: to the fact of
repression. We feel the substructure implicit in the revealed
thought ; we keep only in the " white light " but we are never
left without some consciousness of Cimmerian shades, of the
cosmic envelop of the soul.

Art and conduct, ethics and aesthetics, are only two manners
of manifesting the same under-dominating character. And if we
look into Greek ethics we find at once the parallel to this power-
through-repression which is manifested in the literary, as indeed
in all Greek art. The clue to it is to be found in the conception of
virtue, apertj, which Aristotle defined as a mean, a mean relative
to ourselves, as human beings gifted with judgment and choice,
avoiding on the one hand the distemper of passion, on the other
the spiritual malformation of ascetic denial. The ready maxim,
ixrjhev ayav ' Nothing too much,' and the ever-praised aoxppocrvvrj,
' Temperance,' show how much the Greeks feared excess, how
ardently they admired restraint, in the conduct of men ; and no
less is this shown in their constant dread of vfipis, that insolence
of mortal pride which is the very essence of impiety.

" The things of mortals best befit mortality." sang Pindar; and

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Protagoras proclaiming " Man is the measure of all " but gives us
the obverse inscription, diminishing the world to mortal compass
rather than expanding the human to the Titanic.

And so we get, through restraint and repression and the mastery
of self which these imply, that intense concern for " the things
of mortals " which has crowned with radiance the lyrics of the
Hellenes and given to their drama its immortal poignancy. Light
and power: and the light is the light of a wholly human love for
things human ; and the power is the power of a clear-seeing and
clear-choosing denial of what is below and what is above mortal
need.

To bring the characterization to focus, I cannot do better than
quote two passages that seem somehow wonderfully to illustrate
this complex mode. And the first is to be the beautiful phrase
in the Ion of Euripides where Creusa even in her agonized out-
cry against divine injustice finds need to recognize the bright sun-
glory of the world :

ffKOis p.01 xP va V X aLTav
fiapfiaipwi', e5r els k6\ttov$
KpbKea TreraXa <pdpe<nv edpeirov
avdifciv xP vffavTav yy-

Thou earnest to me, thy hair ablaze with gold, while I plucked into
my bosom yellow flowers, to bloom on my robes like golden mirrors. . . .

And the second is to be the Aeschylean fragment from the Niobe:

pAvos de&v yap ddvaros ov duipuv tpq.,
oi/8 &v tl 6vwv ovS ixKnrevSwv &vots,
ov8' effTi flu/lbs oiide iraiwvlfeTai •
*p.bvov 5e Heida) daifidvwv airo<TTa.T€i l —

which Murray has translated :

Lo, one god craves no gift. Thou shalt not bend him
By much drink-offering and burnt sacrifice.
He hath no altar, hearkeneth to no song,
And fair Persuasion standeth far from Death.

In the phrase from Euripides is poetic light, in this from
Aeschylus is poetic power. Neither quality is without parallel —
constant parallels — in other literatures. I have already given, as

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The English Lyric 1 3

indeed Arnold had given, instances of the luminous mode from
other than classical sources. And nigh the verses of Aeschylus
I think we may not unworthily set this Red Indian song on the
like theme :

There is no evading death ;

The old men have not told that any has found a way to pass beyond it;

The career of a Leader is difficult of accomplishment.

Here, as there, is terse and simple directness ; here, as there, is
force through force repressed. But in the Grek instances there
is something more than the naked qualities, a something gained
through composition — psychical composition. It is the wonderful
balance of emotion and sense, both true at the highest pitch, which
we see in Creusa ; it is the temper of enduring wisdom which we
feel through the hurt in Aeschylus.

It is, of course, trite saying that we owe literary form to the
classic mode. Yet I think it may be worth the saying this once
again if we may understand by form this subtle balance — vivid
mood and temperate control of all the senses with which nature
has endowed us. Expression so moulded will be bright with the
illumination of reason and of sense and strong with the power
of inner mastership.

IV. THE SAXON AND CELTIC MODES

Zeus, Father of Gods and Men, in whose presidency over the
games at Olympia as in his supremacy in the divine council at
Olympus is made visible the spirit of Pan-Hellenism, — Zeus, the
clear and glowing Heaven, is undisputed lord of the sunny South.
His namesake of the North, Norse Tyr and Saxon Tiw, sinks to>
a wholly secondary place in the pantheon. Other gods of the-
upper elements rise above him, gods no longer derived from the
tranquil-shining aether, but embodiments of storm and turmoil.
Mid the dim and dank German forests, it is Woden of the wind
and rain, haunted by croaking raven and snarling wolf, Woden,,
the bellowing leader of the Wild Hunt of souls athwart the
nightly sky. In Scandinavia, where the shadows are deep and!
chill and Nature colors with cold purples and bloody crimsons in

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14 Hartley Burr Alexander

place of the azure and rose of the South, Thor, the Thunderer,
hammers out the ways of men, wielding to their terror that
thunderbolt which seems but as a kingly scepter in the hands of
the Southron Zeus.

Mythologies show only too well how Nature rules men's moods ;
and we ought never to forget that the persistency of mood is the
very essence and definition of personality. The Teutonic gods
only reflect the Teutonic temper, which in turn is but the impress
of the North upon the souls of men.

It is generally conceded that this Teutonic temper gives the
backbone to English literature. The Celtic, with finer instinct for
form and more sensitive imagination, gives the delicate hues of
rosy flesh, but bone and muscle are Teuton. This is most natural.
From the beginning the Anglo-Saxon mind has been heavy and
tenebrous. In primitive times it was moved only by hard knocks :
the massy alliteration, the aggressive impact, of its epic verse was
necessary to arouse it from somnolence. Anglo-Saxon poetry
moves by pounding: it echoes the thwack of cudgels, the clang of
swords, the braying screech of spear against shield.

Ne ivces ecg bona,
ac him liilde-grap heortan wyltnas,

ban-hiis gebrccc.

No blade was slayer; the bare battle-grip

Sundered the bone-house, freed the heart's billows.

This is the language of the Beowulf — a language of iron strength
and nerve. Something of its spirit may be gleaned from meta-
phors such as ban-hiis (bone-house) and its parallel "bone-vat"
applied to the human body ; and again in " whale-road " and
" wave-fortress " as names for the sea, we get something of the
intensity and fearlessness of Anglo-Saxon imagination.

The language abounds in similar expressions — kcnnings, as
they are called, conventions of poetic insight. Instead of a death-
bed there was a " slaughter-bed " — it was a day when men died
in their boots, dreading naught more than the stay-at-home
" straw-death." The sea was the " terrifying sea," abode of
drakes and nixes, but none the less a " path," a " road," a " way "

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The English Lyric 1 5

for the compassless, restless rover from the North. Spaciousness
was " sea-gaping " ; thoughts were " mind-fettered " ; the skull was
a " bone-helm " and had need of being serviceable. It was the
language of men of a temper not to be toyed with, a temper of
Gothic gloom, contemptuously defiant of death. Browning, of
our modern poets, perhaps best catches the masterfulness of the
old imagery : Shelley " Sun-Treader " ; " Spring's arrowy sum-
mons " ; the " year's snow bound about for a breast-plate " ; — in-
stances out of a multitude.

In all Anglo-Saxon poetry three themes seem most native and
natural, three features most characteristic. There is the sea and
fate, there is battle and energy, there is religion and the grim
seriousness of life.

No illustration better typifies the first of these than the story
of Scyld. A babe and alone, he sailed from an unknown port
to be borne at the will of the waves to the people who were to
make him theirs. Among them he grew up to kingship and ruled
long in glory of prowess and wisdom. When at last he came to
die the thanes he had gathered about him, in " mourning mood,"
laid his gold-adorned body, in the midst of kingly gear, beneath
his kingly banner, nigh the mast of his viking ship, " ice-bright
and out-eager," and freeing the ship from her mooring, yielded
him up once again to the will of wind and wave. It was rever-
ential propitiation wrought by the spell of the sea, by that awed
sense of the sea's fatefulness and dooming which Pierre Loti
brings home to us in his Pechcur d'Islandc. Of all natural
majesties none seems greater than the ocean's Titanism ; the
human heart is abashed before it and it beats upon the imagina-
tion with pitiless insistence. The restless regularity of wave and
tide, the mighty heavings up and strong subsidences of waters,
infinitely various yet infinitely monotonous, — these overwhelm
with a sense of on-riding destinies. So in the gray North, beside
the boundless haunt of fog-veiled death, the waves hewed the
human mind to its conception of Fate, Wyrd, giving it something
of the hardness of granite brunting the sea, together with granite
abidance of destined ends. From this hardening influence of
the ocean comes the distinction of the sea-faring Teutons from

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the in-dwellers : the homely tenderness so winsome in the German,
more and more giving place to the " mind-fettered " mood of a
race made dumb with its striving.

For Gothic fatalism was never passive ; it was always the
Northern way to greet fated doom full-panoplied, warring to the
last, — in the mood which Henley's Invictus has modernized for
us. And so it is that the second great characteristic of our fore-
fathers' poetry — battle and energy — springs from their passion
for putting forth strong effort. They seem to have fought more
for the berserk joy of it than for plunder-pleasure or glory, — at
least their poetry reads so. I have already quoted one grim
passage, the weaponless rending of a foe, here no monstrous
Grendel, but a man. It is unnecessary to multiply examples, yet
I might call to mind that vivid figure in the Finnsburg fragment :
" the sword-flame stood such as all Finnsberg were afire." It
may be pedantic to italicize " stood " ; but it seems to me that
this metaphor holds the very soul of the race's force: the simile
gives the heat of the fight vividly enough, but it must needs be
made superlative in metaphor — for it is only the intensest of
flames that stand.

But there is yet a third characteristic, religion and the serious
mood of men who see life, as Milton saw it, in its cosmic setting.
Bede tells us how, when the men of Northumbria gathered to
debate the adoption of the Christian faith in place of their an-
cestral paganism, an old earl gave rede in a speech which wonder-
fully preserves for us the higher mood. I quote Green's render-
ing: "So seems the life of man, O king, as a sparrow's flight
through the hall when you are sitting at meat in winter-tide, with
the warm fire lighted on the hearth, but the icy rain-storm with-
out. The sparrow flies in at one door and tarries for a moment
in the light and heat of the hearth-fire, and then flying forth from
the other vanishes into the wintry darkness whence it came. So
tarries for a moment the life of man in our sight, but what is
before it, what after it, we know not. If this new teaching tells
aught certainly of these, let us follow it." And it was only after
the adoption of Christianity that the Anglo-Saxon imagination
attained its full dominion. Then it was that Caedmon sang his

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The English Lyric \y

lay of the First Shaping, finding for the first time cosmical
metaphor comparable to the old Hebrew and in his Genesis
already prophecying Milton; while Cynewulf, uttering the
passionate yearning of the sea-saddened Teuton, struck the
master-motiv of the long symphony of English poetry.

I have cited Browning for the Saxon, but he knows other modes
as well :

The gray sea and the long black land ;
And the yellow half moon large and low;
And the startled little waves that leap
In fiery ringlets from their sleep. . . .

Here is a spirit altogether new. " Natural magic," Arnold calls
it, and he tells us that it is the characteristic mode of Celtic poetry.
It belongs to an atmosphere of wizardries and night-breaths, of
glimmering wonders and mysteries of dreams. The Celt sees
Nature animate : the sea teems with sprites, playful or malicious,
the forest is denizened with pixie and fay, every inch of ground is
outlandishly agog with goblin and gnome. The reason is doubt-
less to be sought in the high-wrought Celtic sensitiveness to im-
pressions, especially to those of a will-o'-the-wisp sort.

Arnold characterizes : " An organization quick to feel im-
pressions, and feeling them very strongly; a lively personality
therefore keenly sensitive to joy and sorrow; this is the main
point. If the downs of life too much outnumber the ups, this
temperament, just because it is so quickly and nearly conscious
of all impressions, may no doubt be seen shy and wounded ; it may
be seen in wistful regret, it may be seen in passionate penetrating
melancholy; but its essence is to aspire ardently after life, light,
and emotion, to be expansive, adventurous, gay."

Taliessin in a Song to the Great World celebrates this aspira-
tion after light, this joy in mere wealth of sensation:

I will adore my Father,

My God, my strengthener,

Who infused through my head

A soul to direct me ;

Who has made for me in perception

My seven faculties :

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1 8 Hartley Burr Alexander

Of fire and earth,
And water and air,
And mist and flowers,
And southerly wind. 3

There is no mistaking the natural pantheism. The poet is in
earnest when he speaks of fire, earth, water and air, of mist,
flowers and wind as faculties of perception. He does not dis-
tinguish his life from the life of the objective world of qualities
{not elements, be it noted). Elsewhere Taliessin sings:

I was with my Lord in the highest sphere,

On the fall of Lucifer into the depths of hell :

I have borne a banner before Alexander ;

I know the names of the stars from the north to the south ;

I have been on the galaxy at the throne of the Distributor ;

I was in Canaan when Absalom was slain ;

I conveyed the divine spirit to the level of the vale of Hebron ;

I was in the court of Don before the birth of Gwdion.

I was instructor to Eli and Enoc ;

I have been winged by the genius of the splendid crosier;

I have been loquacious prior to being gifted with speech;

I was at the place of the crucifixion of the merciful son of God;

I have been three periods in the prison of Arianrod;

I have been the chief director of the work of the tower of Nimrod;

I am a wonder whose origin is not known.

An odd infusion, this, of half-won Christianity into the shape-
shifting Druidic pantheism; we are led to surmise a monkish
revision of an earlier and more purely pagan Taliessin. Indeed,
such an one we find, — as pure Druid as is the heathen Amergin
of the Irish, — who proclaims :

I am the wind that blows upon the sea, I am the ocean wave, I am the
murmur of the surges;

3 From Skene's Four Ancient Books of Wales. The citations of Celtic
poetry in this essay are chiefly from Skene's work, from the Mabinogion,
from the collections of Dr. Smith, and in one or two indicated instances
from Macpherson's Ossian. It is no part of the argument to discuss the
age or authenticity of any of these poems ; it is enough that they are of
unquestioned Celtic authorship and spirit. Whatever the inspiration of
the Eighteenth Century Celtic Revival, its expression is as characteristic
as the work of Yeats and Sharp in the Nineteenth Century.

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The English Lyric 19

I am seven battalions, a strong bull, an eagle on a rock, a ray of

the sun ;
I am the most beautiful of herbs, a courageous wild boar, a salmon

in the water, a lake upon the plain ;
I am a cunning artist, a gigantic, sword-wielding champion, —
I can shift my shape like a god.

In other literatures we find parallels to this mood. Empedo-
cles teaches that " with earth we perceive earth, with water the
water, with air the air divine, and with fire devouring fire, while
love is perceived by means of love, and hate by dismal hate."
He tells us, too : " I have been youth and maid and bush and bird
and a shining fish in the sea." But Empedocles is a prophet of
novel and strange ideas, rather than the voice of a popular con-
viction. His pantheism is Eastern rather than Western, and is
more akin to the Transcendental Ego figured in Emerson's read-
ing of The Sphinx than to the phantasmagorial Naturism of the
Celt.

A nearer parallel lies in the democratic ubiquity of Walt Whit-
man's expansive Self; for self-expansion, magnisonant in expres-
sion rather than pompous in mood, is the very breath of life to
the Celtic soul. Nature and man are all one broidery, inter-
minably interwoven. This is the secret of Celtic natural magic ;
it springs from the Celt's responsive susceptibility to all the chang-
ing glamors of sky and sea, to all the eerie wisdom of the wood,
to all the impulsive joys and fears of the world of wilds. It
gives him, too, an illocative errantry of mood which naturally
seeks in lyric metaphor its fitting expression. Here is a Highland
lover's lament for lover :

Like two plants smiling in the dew,

By the side of the rocks in the warmth of the sun.

With undivided root, —

Two plants happy and joyful.

The maids of Caothan forebore to hurt the plants ;

The light hinds also spared them ;

But the boar gave one of them its death.

Heavy, heavy, with bending head,

Is the one weakly plant that still lives on,

Like a bud withered under the sun.

O happy were it to be without life!

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Where else could have been attained the tender warmth of this
allegory save in a mood passionately en rapport with Nature and
graced with a child's implicit faith in Nature's never-failing
responsiveness to the heart's need?

But Nature is not always kind. She may prove most fickle of
mistresses, utterly cruel to those who love her. Against this incon-
stancy, when caress gives place to stormy lashing, the Celtic soul
rises in mad revulsion. The trust has been perfect; the hurt is
sore ; the heart cries out. Read in The Black Book of Caer-
martJieu the curse upon Seithenhin whose vice brought the de-
stroying sea upon the plain of Gwydnen; or in The Red Book of
Hergest the rebellious imprecation of the old bard against the
crutch-token of his vanished youth and beauty ; or again, that wail
over the woes of war — desolations inviting race suicide, —

It is not well that a son should be born :
His youthful destiny
Will perforce be unbelief
And sore privation. . . .

Yet if the Celt was extravagant in sorrow, so was he exultant
in stress of battle. He gloried in the red spectacle of war-
wrought slaughter :

Mild beams belong not to the storm;

The soul of Gaul is in the roar of battle !

cries one of Ossian's heroes, voicing the spirit of an ever-
contending though ever-vanquished race, a race too hot-headed
to abstain from quarrel, too valorous to be cautious in the fight.

It is not difficult to draw antitheses between the two folk-souls,
the Saxon and the Celtic. The essential difference cannot appear
more clearly than in the contrast of the passing of Scyld and the
passing of Arthur. There is a striking outward similarity, but
the tempers of the two episodes are all at odds. On the one
hand we have a bare outline of the event; there is a dumb tug-
ging, a straining hush, with only the over-impending sense of
doom to exalt the bald reality. On the other, there is all the
atmosphere of magic illusion : the uncanny waste, the wailing
mere, the mysterious funeral barque thronged with shadowy

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The English Lyric 2 1

mourners from a magic land, — throughout, the echo of prophecy,
Celtic fey-vision.

The antithesis appears again in direct comparison of the formal
elements of the two poetries. Saxon poetry is laconic, force-
ful, pointed, never illogical ; Celtic is full of irrelevant by-play
and inconsequential succession of ideas, — the eye has seen too
much to have perceived any one thing seriously. Both literatures
abound in parenthesis and apposition ; but in the Saxon these are
always significant to the matter in hand, in the Celtic they are
mere incidental suggestion. The distinction reappears in dra-
matic handling. Celtic recitative as Saxon epic was chanted to
the harp's accompaniment. But the bard seldom troubles himself
to designate a speaker in his tale; himself assumes role after
role, doubtless with dramatic impersonation, leaving his audience
to infer from the context the turns from character to character.
On the other hand, the gleeman, having to do with less quick-
witted hearers, takes no chances; each hero is formally intro-
duced: " Beowulf spake, son of Ecgtheow," — such is the formula.
Possibly here we have a Saxon emphasis of individual right and
dignity in contrast with the expansive impersonality of the Celt.

Other qualities are no less in contrast. Compare Saxon and
Celtic metaphor. I have already given examples of the former :
hilde-gicel, " battle-icicle," the fast-chilling pendant of blood
clinging to the sword after carnage, — that will recall their quality.
How unlike is Ossian's likening of a woman's soul to "an impetu-
ous current foaming white within a rocky strait " : or Taliessin's
" minstrelsy of perception " and " baptism of consolation " in that
Song to the Great World already in part quoted ! The very title
of that song, or of that other To the Wind, — do they not dis-
tinguish the Celt from the Saxon?

Indeed, we cannot do better than set beside the magniloquent
devotion of Taliessin's hymn,

I will adore my Father,

My God, my strengthener. . . .

the humility and simplicity of Caedmon's

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22 Hartley Burr Alexander

Lo, we shall laud Heaven-realm's Lord,

The Maker's might and His mind's thought,

The works of the Father ! Wonder with wonder,

He, the Eternal, established a world!

First for earth's children reared as a roof

The high dome of Heaven — Holy Creator !

Made, then, the mid-earth — Warder of Men,

Lord Everlasting! Thereafter the land,

A fold for us, fitted — Father Almighty!

In the one hymn the soul of the man leaps out into Nature, iden-
tifies itself with creation and the creative spirit; in the other,
the whole bent is to circumscribe and restrict man's sphere, recog-
nizing that his ways are limited and charted by the Power above.
To the heathen soul of Beowulf this power was Wyrd, fate, to the
gentler-minded Caedmon the God of the new religion; yet to
them both it was external to man, man-ruling. It is only the
Celts, a recent investigator tells us, who believed and taught in
myth that men had warred with and conquered gods, — perhaps
the crude and primitive expression of their indomitable conviction
that the divinity in man and Nature, at the last, are one, that
the human vision of beauty in the world is vision of Nature's
final truth.

Nature awed the Saxon chiefly by her manifestation of
strength, — the terrifying sea! He felt the inevitability of the
dooms of the Norns, and thence arose his Hamlet-like sense
of human tragedy and of the final paltriness of the mere human
soul. Hamlet, indeed, is the typical Shakespearian embodiment
of the Teutonic spirit, just as Macbeth and Lear are Shakes-
peare's typical Celts. A similar contrast holds between Goe-
the's Faust and Marlowe's Faustus. On the one side is tragedy
of the idea pitilessly wrought out under inexorable fates ; on
the other is tumultuous rebellion against the fortune that proved
unconquerable. Fate and Fortune! the Teuton beholding in
Nature a mistress whose will he cannot overcome but whose
doomings he can endure with uncrushed lordliness of soul; the
Celt perceiving in her a Fortuna to be won by ardent wooings, to
be lost with cataclysmical despair.

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The English Lyric 23

In our modern literature we get from the Celt our love of wild
nature, not perchance of meadow-green and the springtide glee
of birds, but of nature in wider sweep, tameless impulse. The
Celtic imagination never hesitates, its sympathy is limitlessly
expansive. I know of no finer-poised image than in Ossian's
(Macpherson's Ossian) address to the sun, "thou tremblest at
the gates of the West ", — seizing and vivifying that instant of
luminous hesitancy when the sun quivers upon the verge of the
western wave, as if timorously reluctant, ere it plunges beneath
the dark waters. And what loftier in prophetic sadness than
in that same poem, —

Thou art perchance, like me, born for a season ;

Thy years will have an end ;

Thou shalt sleep in thy clouds, careless of the voice of the morning.

Again, the passion for beauty is surely Celtic — for beauty
unspoiled by morals and moralizing. Keats is unmistakably
foretold in the Cymric bard's

The beautiful I sang of, I will sing!

And as unmistakably Keats echoes again the airiness and fairi-
ness, the magic and music and mystery of bardic poetry. In

.... magic casements, opening on the foam
Of perilous seas, in faery lands forlorn. . . .

Arnold finds the authentic note of Celticism. But it is not in
Keats alone. Perhaps no verses of his great romantic contempo-
raries are oftener quoted than Coleridge's

.... woman wailing for her demon lover . . .

and Wordsworth's

.... old unhappy far-off things,
And battles long ago.

And in these, too, the Celticism is surely unmistakable and
authentic.

Beauty and sympathy: the detail, the tenderness and vividness,
the richness and radiance of our nature poetry, come from the

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24 Hartley Burr Alexander

Celt. But the idea is Saxon; and Saxon is that strength, at
its greatest Titanic, which gains its compulsoriness from idea-
tional empery; and Saxon is the dignity which belongs to those
who have found themselves, and finding have conquered ; Saxon,
too, are the will, the equipoise, the motive, the power, — all the
Shakespearian majesties.

V. FUSION IN THE BALLAD

For knozvledge is a qualification much in vogue in philosoph-
ical discussions, and it expresses a distinction really invaluable
for any critical analysis. The phrase discriminates what we may
call the manners of realities from the realities themselves ; it
indicates that natural selection of the significant and utile which is
an instinct of our attention, and it emphasizes the notion that our
perceptions of disjunct phenomena are exaggerations of what
differences really exist.

If we are to live and grow it is essential that we perceive some
things very clearly; accessory detail may be elided and must
be elided in order that we may profitably attend to the main
point. Hence all our truth is partial and biased, and the strik-
ing distinctions we draw for the sake of emphasis are almost in-
variably what the philosophers term distinctions for knowledge
alone. The reality about which our truth is true is far more
complex than we make it appear for it is composed of an inter-
mingling of elements too intricate for knowledge to grasp. Truth
itself is merely the picturesque aspect of things, — always, there-
fore, a somewhat superficial aspect.

The contrast which I have drawn between Saxon and Celt is
truth of this picturesque sort. The contrast is exaggerated be-
cause of the isolating of the traits compared. When these traits
are set into the general context of human nature, as they are
set in the real men, they appear far less antithetical and antagon-
istic: the differences become obliterated in the envelope of a
mutual clay. Shared by all mankind and coloring communally
men's reasonings and humors are certain fundamental loves —
attractive, jealous, or perverse, — hates and their attendant fears,
hopes with eager aspirations quick at their heels. These form

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The English Lyric 25

the major composition of human character and the basis of inter-
course and understanding. But just because the major charac-
ter — human nature — is universal, it cannot furnish a text for
discriminations ; the marking of differences must be on a scale
of minor moods.

Similar qualification applies to literatures and critical separa-
tions of them. Just as Arnold's ' luminous mode ' is the ele-
mental mode of all poetry and a sine qua non of any poetic
development, so the elemental impulses of the poet are those
which first find expresssion in his work. They are the primor-
dial impulses of human nature ; their appeal is universal and
they always appear in the theme and treatment of what the
critics call world-literature. Shakespeare is neither Saxon nor
Celt nor mere Englishman : he is a laureate of mankind.

But exceptis excipiendis, as the scholastics have it, — let us
except the things that are to be excepted and take for granted
what ought to be assumed. The prefaces are palpable. What
point remains?

Well, there remains the picturesque truth. Despite the con-
formity of their cephalic indices, the substantively staid English-
man is not apt to be mistaken for the roisterous son of Erin.
And in primitive literatures it is difficult anywhere to find a
sharper or more consistently maintained contrast of neighbors
than exists between the first poetries of Saxon and Celt. There
is never any clanger of confusing their characteristics : energy
and fire, steadfastness under fate, — these are Saxon ; and as
invariably buoyancy in joy, tumult in despair, belong to Cymry
and Gael.

But all this is for literature in embryo, — before the English
had come to its own. There was to be an era of fusion; there-
after, a people. And amid this people any poet might chal-
lenge his lineage in vain to show sole paternity for one race or
the other; never could he thread warp of Saxon from woof of
Celt, nor in his fabricked character say what shimmer came
from this thread, what from that. Time is in truth alchemical :
no material is invulnerable to its transmutations; granted sped
years, new creation is certain. So time created the poet-soul

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26 Hartley Burr Alexander

of Albion. Hereafter we cannot speak of a Celtic poetry and a
Saxon poetry, but only of an English poetry. Yet in this Eng-
lish poetry we may continue to discriminate a Celtic from a
Saxon mode, for in our study of origins we have come clearly
to understand what each of these modes denotes. Just as all
poetic insight instinctively finds first expression in the luminous
mode, so the peculiar insights arising from the commingled
ethnic strains seek expression in the modes anciently native to
each. But because the blood, long-fused, has become one, any
discrimination of mode must henceforth be understood as made
only for criticism and significant only for kiwzvledge; there is
not meant to be any scalpular analysis of the organization either
of poet or poetry.

The truest expression of the folk-soul of any race, especially
since the development of culture-tradition and the accustomed
contacts of civilizations, is to be found in its people's poetry —
in the songs and ballads of the tavern and the farm-stead. So
with the English. Throughout the Dark Ages fusion was slowly
wrought, begun, as was natural, and first completed in the lower
strata of society. Literature during the period betook itself
perforce to the shelter of the monastery; later, with the advent
of the Norman, to the patronage of the Court. But monkish
belles-lettres, after the Saxon era, comprised little beyond Latin
hymns, not over-delicate, or, in English, such dreary monodies
as the Ormulum of Orm; and the poetry of the Court under the
early Plantagenets was exotic importation from the land of the
trouvere. Not until the Thirteenth Century pre-Renaissance
renascence was there produced a real English poetry. The
early revival culminates in Chaucer. Thereafter a lapse during
the Wars of the Roses, and then the sudden glories of the great
era. But the literature composed under Elizabeth was more
than a folk-literature. Classic culture, Italian and Greek,
entered in to complicate its character. The blood of the race
shows not less red and vigorous ; we perceive the native element
not less surely; but for wholly untaught manifestation, we must
look elsewhere.

During all these periods, nighest the heart of the people, was

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The English Lyric 27

a literature of minstrel balladry. It antedated and persisted
through the major development. In it we see crystal-clear the
various facets of English character, — the turn that leads to
Puritanism, the metaphorical idealism, grim repression alternat-
ing with fancy free. As with the old epic and recitative, harp
accompaniment was long essential; but at the same time the
words were beaten into finer rhythms and rimes and metres — a
music of their own. Again, the moral of the tale, the ethos
of the literature, maintained itself ; but together with much
poignancy of mood. In the English ballad, in short, we have
a form half way between ethnic chant and the lyric flower of
civilization.

I am aware that there is some present-day cavil against the
autochthonous character and origin of our balladry, companioned
with depreciation of its literary quality. Rechauffe is the term
applied, the ballad being viewed as consequence and expression
of an enervated Medievalism, the ballad-maker being reckoned
akin to the modern decadent. 4 I conceive that the broad com-
parative studies and keenly critical analysis of such men as
Francis Gummere have finally ' laid ' this spectre. " The min-
strel of more romantic associations had nothing to do with the
making of those typical ballads of tradition which form the
bulk and give the quality in any collection of note," he tells us.
While it is not for me to judge the contention, the interpreta-
tion of balladry lying in my interest applies whether it be con-
ceived as the product of a dying guild of Medieval poets or —
what the evidence favors — the untaught expression of the com-
mon folk preserved in " household and communal memory."

What is crucial is to know tlxat the ballad was really popu-
lar and did lay vigorous hold upon the imagination of the race.
This we are sure of at least from the day when Langland's par-
son mastered " rymes of Robin Hood " in place of ritual ; and
for the rest, I conceive that one reference, ' transcribed from the
singing of a milkmaid ' or ' taken from the lips of a very old
countryman,' is worth some volumes of critical exposition, — cer-
tainly it precludes a doctrine of cult in ballad appreciation. Fur-

4 G. Gregory Smith, The Transition Period, Ch. VI.

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28 Hartley Burr Alexander

ther the conspicuous character of the ballad is as chanson de
geste, and we know that the singing of exploits is as old as
valorous conceit. In Caedmon's day we get a glimpse of con-
vivial tale-telling; and if we are to credit the claimed antiquity
of the Welsh poems, we have obvious British ballads in the
Sixth Century.

The universality of the song habit in the two main races of old
Britain should explain the ingrained persistence of it; yet to
clear some lurking doubt, I would cite late survivals of the old
lore. In America, at least, they are not wanting. I have seen,
amid yellowed papers of the late Eighteenth Century preserved
in a population whose literary asset was fairly circumscribed
by the Bible, the Farmer's Almanack and the New England
Primer, a carefully transcribed ballad in theme and form typi-
cal of the old school, — a tale of parent-combatted love, of sea-
faring, of murder, of ghost and retribution. And I have seen
ballad-making still in progress in Nebraskan countryside, as
doubtless it persists, despite the ubiquity of print, in remoter
frontiers. For a showing of quality I borrow from a friend's
recollection (surely an approved source!) a fragment of West-
ern song, the context unfortunately lost, which for tersely grim
humor might belong to the hey-dey of balladry.

A red man lived down in Tennessee, —

Mighty big Injun sure, —
He growed as tall as the tallest tree,
And he says, says he,
" Big Injun me,
Mighty big Injun sure."

White men blazed out a road, you see ; —

Mighty big Injun sure, —
He combed their hair with a knife; says he,
" It's combed for good —
Big Injun me,
Mighty big Inj un sure ! "

And this eloquent bit of metaphor introduces the question
of poetic values, where the veriest layman has right to opinion.

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The English Lyric 29

One may safely appeal to the consensus gentium, — not of boors
and milkmaids, but of poets. Sidney's clarion phrase rings im-
pulsively to mind : " I never heard the old song of Percy and
Douglas that I found not my heart moved more than with a
trumpet." That alone were sufficient were we not over-rich
in corroboration. Perhaps one may best name the poets of our
later era who have found model and inspiration in the popular
balladry: Scott, Burns, Keats, the Rosettis, Swinburne, Kipling
. . . but the whole gamut must be run to name them all ; for no
influence has better seasoned modern English poetry than this
of the native song of the people.

No words are better on this theme than the sane appraisal
given by Professor Gummere at the close of The Popular Bal-
lad : The majority of our ballads, he says, " must be classed as
inferior poems. The best, even, cannot compete with great
poems of art; but there is a greatness of their own in their
attitude towards life, in their summary and transcript of it.
They know, as the lords of tragedy in Hellas knew, as Shakes-
peare knew, that only the anguish of some inevitable conflict
is worth while. They know by instinct, as lyric poets have
known in their ' recollected emotion/ that while tragedy is
insoluble, it holds the solution of existence in its own mystery,
and that only from death springs the meaning of life."

" They know by instinct," and with instinctive surety press
home, that poignancy of life which is the soul of poetry.

But my present interest is to show in the ballad literature the
first clear fusion of the Saxon and Celtic modes; and this asks
the reader's assent only to the genuineness of the ballad inspira-
tion, as voicing the character and ideals of the normal English-
man of the mid-period. Which conceded, it is due time for il-
lustration. I will not quote in extenso nor cite more than
typical instances; the reader may call to mind further substan-
tiation.

Let us begin with the untouched Saxon mode, — and there are
many ballads similar in construction and theme to this Scottish
ballad of Edzvard, which Brahms has so magnificently inter-
preted in the sister art:

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30 Hartley Burr Alexander

Why does your brand sae drap wi' blood,

Edward, Edward, —
Why does your brand sae drap wi' blood

And why sae sad gang ye oh?
" Oh I hae killed my hawk sae good,

Mither, mither, —
" Oh I hae killed my hawk sae good

And I had no mair but he oh."
The mother replies :

Your hawk's blood was never sae red,

Edward, Edward, —
Your hawk's blood was never sae red,

My dear son I tell thee oh.

And the son, answering:

" Oh I hae killed my red-roan steed . . ."

To which the mother again objects:

Your steed was auld and ye hae got mair,

Some other dule ye dree oh.

And then:

" Oh I hae killed my father dear,

Mither, mither, —
" Oh I hae killed my father dear,

Alas ! and wae is me oh !"

And whatten penance will ye dree for that? . . .
" I'll set my feet in yonder boat,

And I'll fare o'er the sea oh."

And what will ye do wi' your towers and your ha'? . . .
" I'll let them stand till they down fa' . . . "

And what will ye leave to your bairns and your wife? . . .
" The world's room, let them beg through life ..."

And finally the last significant stanza, with its revelation of the
meaning of the whole :

And what will ye leave to your ain mither dear,

Edward, Edward?
And what will ye leave to your ain mither dear,

My dear son, now tell me oh.

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The English Lyric 31

"The curse of hell frae me shall ye bear,

Mither, mither :
"The curse of hell frae me shall ye bear,

Sic counsels ye gave to me oh."

The point is driven home relentlessly. There is no mincing
matters ; all is simple, direct, merciless ; the steel of the language
is naked and cruel. This is the Saxon way, — the way of the old
Icelandic sagas, too, and of the Russian prose writers in our
own day.

Let us turn now to the Celtic mode. In ballad literature it
appears largely in tales of enchantment and magic. Kemp
Owyne and The Tzva Magicians are instances ; but the one comes
from Cymric Wales and the other from Gaelic north Scotland.
In their ready animation of the inanimate, their lively personifi-
cations, their magical transformations, we recognize the ethnic
spirit which created them. But in strictly English balladry
there are equally good examples. If, as Stopford Brooke con-
jectures, The Three Ravens represent the Teutonic eagles of the
battle-field, we have in the little lyric-ballad of that name treat-
ment of a Saxon theme; but the beauty and delicacy of the poem
irresistibly recall the tender allegory and quick rapport with
nature of that Highland Lover's Lament earlier quoted, and the
lightness of touch, the atmosphere of magic myth, are unmis-
takably the Celtic mode.

There were three ravens sat on a tree,
Downe, a downe, hay downe, hay dozutie,

There were three ravens sat on a tree,
With a downe.

There were three ravens sat on a tree,

They were as black as they might be,

With a downe, dcrrie, dcrrie, derrie, downe, downe.

The one of them said to his mate,
"Where shall we our breakfast take?" —

" Down in yonder green field,
There lies a knight slain under his shield.

" His hounds they lie down at his feet,
So well they can their master keep.

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32 Hartley Burr Alexander

"His hawks they flie so eagerly,
There's no fowl dare him come nigh."

Down there comes a fallow doe,

As great with young as she might go.

She lift up his bloody head,

And kist his wounds that were so red.

She got him up upon her back,
And carried him to earthen lake.

She buried him before the prime,

She was dead herself ere even-song time.

I have quoted these two ballads as representing extremes, but
even so we see evidences of that fusion clearly marked in the
mass of the ballad literature. In the dramatic form of presenta-
tion, in the repetition and refrain, we see the Celtic spirit ; and
even the dominant Saxon note, of terse irony or brawny green-
sward vigor, is continuously surprised into delicacies of diction
and a buoyant tenderness for nature surely Celtic; it is as if the
poet's robuster purpose were startled into beauty by roguishly
winsome sprites of fancy only half acclimated to his mood and
still eyed a little askance. The character appears, in its perfect
fusion, as well as in any ballad I recall, in the almost pert tragedy
of the song called from its refrain, Fine Flowers in the Valley:

She sat down below a thorn,

Fine flowers in the 1' alley;
And there she has her sweet babe born,

And the green leaves they grow rarely.

" Smile na sae sweet, my bonnie babe.
And ye smile sae sweet, ye'll smile me dead."

She 's ta'en out her little penknife,
And twinn'd the babe o' its sweet life.

She 's howket a grave by the light o' the moon,
And there she 's buried her sweet babe in.

As she was going to the church
She saw a sweet babe in the porch.

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The English Lyric 33

" O sweet babe, and thou wert mine,
I wad dead thee in the silk so fine."

" O mother dear, when I was thine,
Ye did na prove to me sae kind."

And in this ballad the irrelevant refrain throwing an echo of
nature into the human tragedy and the sweetness of " ye'll smile
me dead" are Celtic; the denouement and the keen irony are
Saxon. The best qualities of each of the primitive poetries are
present : delicacy together with significant repression, nature-
sympathy with moral sternness, a diction of expressive melody,
yet austerely direct ; — and all a foretelling of the perfected lyric.

VI. THE TURN INTO METAPHOR

All forms of poetry interact upon one another and by subtle
gradation pass into one another, so that the development of each
is accompanied by coordinate modification of the others, some
one form, best adapted to the poetic insight of an era, dominat-
ing and molding what others persist along with it.

Customarily we conceive the Elizabethan period as the period
of paramount drama; but it may fairly be questioned if the real
sovereignty belonged not to lyric passion. Certainly the drama
of that age is glorified with song as is no other modern drama,
while the more intimate poets' poetry — bloom of garden solitudes
— shows less tendency to bow to dramatic mastery than even
Victorian lyricism. Likely the music-fire of old England — not
yet snuffed out by Puritanism — had much to do with preserving
unalloyed the joyous melody of Elizabethan song; but I think,
if the conceit be not too fanciful, that in that lyric sweetness we
hearken rather the swan-song of a dying music-poetry. The full
flush of the great era brought English genius to the parting of
the ways : thereafter must be chosen wholly musical or wholly
poetical embodiment, — the word must divorce the singing for the
sake of more sublimate harmonies, the note must wing free from
the word for the fluting of airier melodies. The poetic fruition
was chosen, and the seal of the choice is found in accentuation of

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34 Hartley Burr Alexander

the metaphoric element of lyric mood, sensuous quality yielding
to the need of finer psychical discrimination, personality becom-
ing the poetic touchstone.

Song, I suppose, is the most primitive aesthetic expression of
mankind, arising as emotional comprehension of emphatic im-
pressions and issuing into life as a melody of singing words.
The ballad, as a poem of action — " narrative is its vital fact "
and " its supreme art is to tell its story well," Professor Gummere
states — had at least one source in battle-boastings and lauda-
tions of prowess. At first the hero praised himself, narrating
his deeds in the formal and lofty style implied by the old verb
mathelian, — a flavor of the bombastic egotism of Mesopotamian
monarchs inscribing their kingly conquests. Later appeared the
professional minstrel in the chieftain's retinue, and with him the
artistically finished narrative that ensured perpetuity of fame.
Doubtless the ballad-form and its music setting — as distinguished
from epic narrative — may have been created by antiphonies of
dancers; but it is safe to conjecture the coordinate probability
that war-challenge and death-chant constitute the primeval
chanson de geste in the same wise that mathelian foretells poetic
diction.

The main point is the loose annexation of music to ballad
narrative, — the logical consequence of the narrative function.
In musical art there are two fundamental modes of setting a song:
the ballad form, in which the musical motiv is repeated stanza
by stanza to the song's limit; and the lyric aria, in which the
initial element a is repeated after an intervening element b, so
that the whole form may be expressed a:b:a. In the ballad form
the effect is derived from the verbal content of the song, which
in ballad narrative moves to a dramatic climax; or musically
from the contrast of word change with repeated melody, or yet
from the mere emphasis which lies in repetition. In the lyric
aria the composition is a unit, and the total effect depends upon
a feeling for the whole form and a gathering up and inclusion of
the entire movement in the final appreciation, — the repeated
element seeming to absorb all that has gone before, and returning

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The English Lyric 35

to the hearer with a subtler force and finality. On this distinc-
tion the ballad is relatively independent of the music, the non-
dramatic song relatively subordinate to it.

Historically both have attained complete independence. The
ballad by the use of refrain attains that effect of unity — emphasis
in iteration — which is else supplied by the music ; while the finer
types of pure lyricism reduplicate, verbally or ideationally, the
characteristic scheme of the lyric aria: there is a return in the
last phrase to the chord struck in the first, with the added force of
the intervening motive gathered into it, what was at first merely
objective being made subjective and personal. This latter type
of movement, in which external nature is poetically conquered
and humanized, Ferris Greenslet designates " the lyric return."
characterizing it as " the essential lyrical unity in which the poet
objectifies his mood in the beautiful object, or by a kind of mystic
egoism lays hold of nature to make her express himself."

Such unity, with its poetic mastering of Nature, is impressively
achieved in Leopardi's I'lnpnito (I quote Sir Theodore Martin's
translation) :

This lonely knoll was ever dear to me,

This hedgrow, too, that hides from view so large

A portion of the fair horizon's verge.

But, as I sit and gaze, thoughts rise in me

Of spaces limitless that lie beyond.

Of superhuman silences, and depths

Of quietude profound; so by degrees

Awe troubles not my heart. And as I hear

The wind that rustles through the brake hard by.

That fitful sound with these vast silences

I set me to compare, and so recall

Eternity, and the roll of ages dead,

And the live present, with its mad turmoil.

Thus thought is founder'd in immensity,

And shipwreck in that ocean's sweet to me.

The shuttering confines of the narrow retreat serve only to
arouse the poet's imagination, till, ignoring the limitations of
sense, he passes ultimate horizons and takes compass of the still

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36 Hartley Burr Alexander

infinities ; and at last, soothed through very awe, he measures
the conqueror of time, the world's unrest and its quieting. Not
less inclusive than the cosmos would be his soul; not more futile
is the wrecked ship at sea than human life; the one attainment is
the peace of surrender. A more native example is Shelley's Ode
to the West Wind, — element after element of the wind's wild
imagery is gathered to a cumulative node of energy till by the
final strophe this energy becomes all the poet's own :

Make me thy lyre, even as the forest is :
What if my leaves are falling like its own !
The tumult of thy mighty harmonies
Will take from both a deep autumnal tone.
Sweet tho' in sadness. Be thou, spirit fierce,
My spirit ! Be thou me, impetuous one !

The movement, be it noted, is ideational and emotional, not
necessarily sensuous as in the lyric aria ; but the principle and
effect is the same — to give ideal unity and finish to the expression.
Perhaps the fullest recognition of the psychosis here exemplified
is in sonnet structure, the octet portraying nature, the sestet
flooding with the spiritual illumination which is the poem's in-
spiration ; but it is present also wherever the lyric, in contrast to
mere song glee, becomes reflective or impressionistic. 5 In such
poetry want of it is an imperfection likely to be keenly felt. For
instance, Shelley's Isle:

There was a little lawny islet
By anemone and violet,

Like mosaic paven :
And its roof was flowers and leaves
Which the summer's breath enweaves
Where nor sun nor showers nor breeze
Pierce the pines and tallest trees,

Each a gem engraven.

5 A perfect illustration of the ideational form, stripped of verbal re-
frain, is Walt Whitman's :

As I watch'd the ploughman ploughing,

Or the sower sowing in the fields — or the harvester harvesting,

I saw there too, O life and death, your analogies :

(Life, life is the tillage, and Death is the harvest according.)

37*

The English Lyric 37

Girt by many an azure wave
With which clouds and mountains pave
A lake's blue chasm.

Spite of melody of phrase having a certain completeness, spite of
vivid beauty, one cannot overcome a feeling- of the poem's frag-
mentariness ; the melody seems merely stanzaic, and appreciation
is bewildered; there is instinctively demanded a striking in of
poetic sunlight. The best lyrics always leave a mood of yearning
and beauty-desire ; but here we have only a need of fuller ex-
pression, and hence an artistic insufficiency.

In pure song the musical need is omnipresent, so that the
simple outburst of mood is last of poems to break free from the
musician's art ; but at its best song develops an intrinsic music
which satisfies this need, — as imperatively as, for example, does
Swinburne's

If love were what the rose is,
And I were like the leaf . . .

The music may be verbal imitation of the lyric aria, with a termi-
nating recurrence of the initial phrase or of its verbal quality. —
and by far the most perfect example is Tennyson's threnodic
" Break, break, break," throbbing the ocean's perpetuity, — or
there may be instead a free outward flow and abandonment to
limpid utterance. The first is literally reflective, adapted there-
fore to self-conscious expression as in the instances above. Free
song, on the other hand, is never self-conscious, and its movement
is always natural and unpremeditated, limited only by the singer's
breath. It comes as the " careless rapture " of the Elizabethan
mood, — all a joyous bubbling over of the singing soul. Usually
such song is handily set to music, but it may be tune to itself.
When so, it leaves always a suggestion of echo which gives it
artistic finality. Take one of Ariel's songs, any one of them :

Full fathom five thy father lies :

Of his bones are coral made ;
Those are pearls that were his eyes :

Nothing of him that doth fade.

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38 Hartley Burr Alexander

But doth suffer a sea-change
Into something rich and strange.
Sea-nymphs hourly ring his knell :
Hark ! I hear them, —
Ding, dong, bell.

How it echoes and dies away and echoes again, with distant
fainting fairy note — away into the dim sea's depths, like a last
quiver of violins after the wood-wind notes are gone ! This is
song suspense, — melodies suspiriantly repeating, like distant-
sounding surfs, a world of song and wraith where soft pipes play

Not to the sensual ear, but, more endear'd,
Pipe to the spirit ditties of no tone.

Both in the lyric aria and in this simpler song, the development is
cumulative : in each case the structure is close-knit, the order of
elements is imperative, and the unity attained complete. The
final effect does not depend upon mere memory, but upon the
subtler psychical power of apperception — of apprehension of
unities and complex wholes. Nor is this an apperception of the
logical inter-linkings of ideas ; it is apperception of mood and is
founded in aesthetic as well as in ideational necessity; while on
account of the elusiveness of mood comes the compulsory brevity
of the expression which must make it one.

Now in contrast to this cumulative development stands dra-
matic development. In place of the onward poise of lyric move-
ment, dramatic movement leads to a kind of shock — a turn and
reversal of the wrought mood at the climax. In contrast to ap-
perceptional retention of the whole, foregoing elements are
driven out in the moment of surprise ; there is an overturning of
equilibrium and a long oscillation and a final effect only to be
fixed by gradual quietings. The development may be of events,
as in ballad narrative; it may be of ideas, as in epigram and witty
song; it may even be play upon sentiment, as in Swinburne's
exotic balladry ; — but in each case it scores its effect by some sort
of violence, wound and recoil. The method is masterful for
driving home a point ; hence for wit, satire, and irony. The
ballad-makers knew the trick of it well. Take the fateful last

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The English Lyric 39

lines of William and Marjorie; it would be hard to find more
effective irony unless one choose Edward, or some other of the old
songs ; though we might pair it from Kipling's Ballad of Fisher's
Boarding House, —

But Anne of Austria looted first

The maid Ultruda's charm —
The little silver crucifix

That keeps a man from harm.

For such dramatic development, the music-setting serves but
as an enhancing background, its monotony of motiv giving the
sense of unity and holding together the fleeting elements of the
action. If the action be close-knit and inevitable, the accessory
undertone is quite dispensable or may be allowed a development
of its own subordinately echoing the major movement, on the
analogue of a tragedy within a tragedy, — say Euphrania's to
Penthea's in Ford's Broken Heart. This actually occurs in the
artistic balladry of Rossetti, made possible by the substitution
of word for musical refrain. And as a matter of fact we find
in ballad development a curious disjunction of the music-form
from the dramatic form. The one is abstracted under the
domination of the singing impulse and made into a kind of song,
later to become ballad of metaphor ; the other, seized by a purely
dramatic genius, is wrought into a new drama of metaphor.
With the development from the music-form I am first concerned,
and the better to illustrate it in English I would cite its forecast-
ing in a Welsh form of verse.

A favorite stanza of the Welsh bard was the triad, or rimed
triplet. Sometimes it was used for narrative, battle-description
and the like, sometimes for a kind of gnomic verse. A slightly
varying repetition of the first line, stanza by stanza, gave the
effect of refrain, and often held together very divergent reflec-
tions. A few stanzas may illustrate : I quote from Skene's
H erg est:

The Calends of winter, the time of pleasant gossiping,
The gale and the storm keep equal pace;
It is the work of the wise to keep a secret.

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4-0 Hartley Burr Alexander

The Calends of winter, the stags are lean,

Yellow the tops of the birch, deserted the summer dwelling;

Woe to him who for a trifle deserves disgrace.

The Calends of winter, it is hard and dry;

Very black is the raven, quick the arrow from the bow ;

At the stumbling of the old the smile of youth is apt to break out.

The Calends of winter, bare is where the heath is burnt,
The plough is in the furrow ; the ox at work ;
Amongst a hundred there is hardly a friend.

These are but a few stanzas from the many in the poem, none of
which are closely interknit ; their order seems to be wholly fortui-
tous. The main characteristics are a sameness of mood from the
iterated dreariness of winter ; a vividness of vision that notes the
enhanced blackness of the raven against the snow ; but a very
gossamer thread of association joining the suggested ideas. Only
a fleet-footed imagination can keep the pace ; the whole movement
is disconnected and episodic ; musical accompaniment must have
served in no small degree to create a main effect, and it will be
noted that whatever unity the poem seems to possess is a unity of
form in simple repetition, like the abstract music-form.

Let us set in contrast that curse upon Seithenhin heretofore
alluded to.

Seithenhin, stand thou forth,

And behold the billowy rows ;

The sea has covered the plain of Gwydnen.

Accursed be the damsel,

Who, after the wailing,

Let loose the Fountain of Venus, the raging deep.

Accursed be the maiden,

Who, after the conflict, let loose

The Fountain of Venus, the desolating sea.

A great cry from the roaring sea arises above the summit of the

rampart,
Today even to God does the supplication come !
Common after excess there ensues restraint.

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The English Lyric 41

A cry from the roaring sea overpowers me this night,
And it is not easy to relieve me;
Common after excess succeeds adversity.

A cry from the roaring sea comes upon the winds :
The mighty and beneficent God has caused it!
Common after excess is want.

A cry from the roaring sea

Impels me from my resting-place this night;

Common after excess is far-extending destruction.

The grave of Seithenhin the weak-minded
Between Caer Cenedir and the shore
Of the great sea and Cinran.

Seithenhin, it will be remembered, was a drunkard through whose
negligence a gap was rent in the sea-dyke and a city's population
swallowed up. In this poem the bard imaginatively hears the
cry of the drowning people ringing up with the roar of the sea,
which he magically personifies in the Celtic way, throwing it
under control of witchery. But the structure interests most.
There are three nearly coordinate developments : — of the event
described, of the poet's emotion, of his moralizing reflection.
The three are interwoven and carried forward by a double re-
petend, first verse echoing first and third echoing third, while
because of well-knit theme, in place of monotonous reduplication
the echoing verses admit progressive development. And the
poem, trending toward dramatic development of mood, is made
wholly self-sufficient, quite independent of music.

I have cited these Welsh poems as types, with inference as
to the origin of similar forms in English poetry. They appear to
show a disintegration of the ballad, the music-form of it made
dominant in the first instance, and then, in the second, subordi-
nated to a new, subjective dramatic evolution. In Caroline
poetry we find parallel instances, showing, it seems to me, the
ruling instinct for singing, native to the period. Certainly the
following, from Robert Jones' Fift Booke of Ayres — Onely for
the Lute, the Basvyoll and voice, 6 has neither dramatic nor song
movement :

6 B. H. Blackwell, Oxford, 1901.

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42 Hartley Burr Alexander

Love is a prettie frencie,
A melancholy fire,

Begot by lookes,

Maintained with hopes,
And heythen'd by desire.

Love is a pretie tyrant
By our affections armed,

Take them away.

None lives this day,
The coward boy hath harmed.

Love is a pretie idole,
Opinion did devise him,

His votaries

Is sloth and lies,
The robes that do disguise him.

Love is a pretie painter,
And counterfeiteth passion,

His shadow'd lies,

Makes fansies rise,
To set beliefe in fashion.

Love is a pretie pedler,

Whose packe is fraught with sorrowes,

With doubts, with feares,

With sighs, with teares,
Some joyes — but those he borrowes.

Love is a pretie nothing,
Yet what a quoile it keepes,

With thousand eyes

Of jealousies,
Yet no one ever sleepes.

The singing note is unmistakable enough, but there is no on-
ward echo after the singing is done, as in the true song. It is
all a dainty flitting from conceit to conceit, as of a bee fasti-
dious among flower-bells. This is a customary character of
not a little of the poetry of the period. An advance toward
organic unity, however, is met in Crashaw's Weeper, which,
though a series of idle toyings with the Magdalen's tears, as if
they were in truth the pearls the poet would have them, yet in

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The English Lyric 43

certain stanzas reveals a tighter reined fancy and a hint of dra-
matic interlinking. These come in the first flush of inspiration :

Hail sister springs,
Parents of silver-footed rills!

Ever-bubbling things !
Throwing crystal! Snowy hills!
Still spending, never spent; I mean
Thy fair eyes, sweet Magdalene.

Heavens thy fair eyes be;
Heavens of ever-falling stars;

'Tis seed-time still with thee,
And stars thou sow'st, whose harvest dares
Promise the earth to countershine
Whatever makes Heaven's forehead fine.

But we're deceived all ;
Stars indeed they are too true,

For they but seem to fall
As Heaven's other spangles do;
It is not for our earth and us,
To shine in things so precious.

Upwards thou dost weep ;
Heaven's bosom drinks the gentle stream.

Where the milky rivers creep,
Thine floats above and is the cream.
Waters above the heavens, what they be,
We are best taught by thy tears and thee.

Every morn from hence
A brisk cherub something sips,

Whose soft influence
Adds sweetness to his sweetest lips;
Then to his music: and his song
Tastes of his breakfast all day long.

These stanzas rise above poetic conceit to poetic allegory, or
indeed to pure symbolism. I suspect that any conceit becomes
allegory to an imaginative sympathy lively enough to fill in the
hiatus and catch the meaning underlying the overbright concrete-
ness. For allegory is always an objectively concrete rendering of

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44 Hartley Burr Alexander

spiritually apprehended truth ; its emphasis of the day-light aspect
of things is only apparent. When this emphasis is shifted enough
to throw mood into the foreground, dimming objective outlines,
we have symbolism. But even here the dramatic form, movement
as of facts, is largely retained, though adapted to the needs of
metaphor. It is the final victory of lyric impulse over the ethical
motive of primitive balladry and represents a last adaptation of
the ballad form. I have already named Swinburne and Rossetti
as exemplars ; perhaps I might also cite Swinburne's King's
Daughter and Rossetti's Sister Helen, not as best instances, but
because each of those poems possesses a dual development
analogous to that in the curse of Seithenhin. And by comparing
the clarity of the major theme, at least in Rossetti's poem, with
the mysticism of the refrain, that distinction which I draw between
allegory and symbolism may show the clearer. It is the interplay
of the two which creates the last appreciation, so that there is
contrived that drama of mood which contrasts with lyric
movements.

But there is yet another drama of mood, made in another
fashion. The development which I have drawn first abstracts the
music- form from the dramatic context, and then, casting aside all
but verbal melody, evolves an esoteric drama of symbolism. But
on the other hand, in Browning's dramatic monologues we attain
a not dissimilar end by an opposite course. Here it is the event
that is seized upon and installed in dramatic independence. But
the poem never exists for the event, the story, nor even for the
moral of it. Always it exists for the underimpelling mood.
Likely the paradox of a great poet with dramatic instincts failing
to achieve great drama is partly to be explained by the fact that
Browning's interest did focus so intensely in the mood, the spirit
of the thing; the sensuous dress is after all but a dress, and he
saw too clearly the naked soul always to catch its pall of flesh
and blood with the needful dramatic verve. But he did know
the soul's action and adapting to its representation the vivacity of
the old ballad he gave us a new poetic form and a new drama of
the spirit.

Victorian poetry thus reveals the final appropriation of balladry

386

The English Lyric 45

to poetic need. That need, as always, was for the subtler
interpretation of human instinct. Passed from the social to the
individual nature of man, from the ethical and objective to the
spiritual world, it becomes perforce more and more symbolical.
This is what I mean by the turn into metaphor. In song we see
it in a slow-winning freedom from thralldom of sense ; in balladry
in the dominance of spiritual over ethical motive ; but best it is
revealed in that lyric restlessness and poignancy which is the
supreme poetic utterance of the age.

VII. THE LYRIC AND MODERNITY

Reflective poetry has so grown upon us of late generations that
there is need of a fuller vocabulary of distinctions than is com-
monly in use. We distinguish adequately enough those forms of
gnomic poetry — didactic, satiric, and epigrammatic verse — which
deliver sententious sentiment or- quizzical philosophizing ; but we
have no very good term for that more seriously reflective poetry,
sometimes elegiac in tone, sometimes idyllic, sometimes, as
Khayyam's Rubaiyat, light-lipped and hopeless. Poetry of this
class verges toward a logical rather than a lyrical order. It lives
largely in a realm of knowing, and the knowing is of a spiritual,
semi-mystical, gnostic order. Such poetry aims to interpret
truth, — stressing both the interpretation and the truth. The in-
terpretation is not mere expression, it is a rendering in the pecu-
liar color of the poet's personality, from an introspective attitude.
And the truth is not the brute fact of scientific interests, but it is
the vital, human truth of things. This semi-intellectual element
is present in pure lyricism, but it does not tyrannize over mood
and movement as in the quasi-lyrical forms. There is something
of an antipode between poetic philosophizing and the naive utter-
ance of mood ; and while both may be fused, as in Wordsworth's
On Intimations of Immortality, there is much good poetry of the
Locksley Hall sort in which lyrical form and movement are too
thoroughly subordinated to the intellectual leadings of the theme
to warrant alignment with the same type. But the distinction
must not be made insistent. As quaint Dr. Aitkin notes, the

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46 Hartley Burr Alexander

Lyric Muse is versatile, " capable of adapting herself to the
sprightly and ludicrous, equally with the tender and pathetic," to
the even calm of thought as to the fitful flame of passion.

A kind of mental heaviness is, perhaps, the conspicuous char-
acteristic of modern verse (most of all with the best poets) — a
heaviness not due so much to the weight of the ideas as to the
doubtfulness of the thought : there is lack of conviction, and with
it loss of the old poetic buoyancy. In English poetry this is
doubtless intensified because of that quality of reserve which is
the conspicuous trait of English character. In our tongue we
have no " confessions," no soul's day-book, really worth study ;
and every publication of a great mind's private expression, in
letters and the like, induces critical sniffings, as if the thing were
indelicate. Puritanism may have been an effect rather than a
cause of such instinctive reserve, but it was an effect enhancing
in its after-issue the quality that occasioned it : with passing years
we have not become less hermit-like. It is asked why America has
produced no world-literature, and I venture that a partial answer
is the fact that Puritanism took deepest and strongest root in
America and especially in that section first to find literary voice.
Poetic power is not to be attained without some sacrifice of self,
some immolation of spiritual privacy. A comprehension of the
New England character portrayed in contemporary prose will
yield fair account for our poetic poverty ; American genius is still
too awkwardly conscious of the soul's garmenting. I imagine
that the excess of Walt Whitman's revolt is measure of the effort
necessary to the attainment of freedom. Always the danger with
the English mind is imaginative dissipation after the barriers are
once broken down. We see it in the coarseness of the Restora-
tion, and, in another bent, in those lapses into sentimentalism
which sometimes tainted even the finer minds in the early years
of last century's romantic revolt.

Yet if repression sometimes weakens, and sometimes, through
excessive reaction, leads to fault, it is still the trait which endows
our poetry with finest quality in the more perfect attainment. It
gives dignity and control, chastity and sweetness, tact in ex-

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The English Lyric 47

pression, and an ineffable grace in diction and imagery. Our
poets' best is written in a mode not luminous with the mere sun-
shine; it hues nature with enchantments more radiant than any
wrought by Celtic witchery; it gives to life a finer temper than
the iron of the North. Something is embodied from each of
these modes, but all is transmuted to the evolved vitality of a
new Engl 'isli mode. A charm of mystery it has, and a breath of
suspense, like childish trepidation lest a too dear caress might
crush the wings of beauty, — these, with reverence, as of awe for
holy things.

Likely it would be better not to try to illustrate, where illustra-
tion is needless ; yet sometimes the quoting of a poem which
haunts the mind as embalming the essence of the thought will
serve to fix even most familiar qualities. In Poe's earlier stanzas
To Helen the allusion is classical, but the beauty of the poem is
not born from the sunny foam of the Mediterranean :

Helen, thy beauty is to me

Like those Nicean barks of yore.
That gently, o'er a perfumed sea,

The weary, way-worn wanderer bore

To his own native shore.

On desperate seas long want to roam,

Thy hyacinth hair, thy classic face,
Thy Naiad airs have brought me home

To the glory that was Greece

And the grandeur that was Rome.

Lo! in yon brilliant window-niche

How statue-like I see thee stand !
The agate lamp within thy hand !

Ah ! Psyche, from the regions which

Are Holy Land!

But it is in our poetry of wood and field that we oftenest meet
unalloyed the native quality. Perhaps this is because spring-
tide rapture and delight in blossoming hedgerows is the oldest
lyric instinct of our race. To the ancient Northmen the freeing
of the mother of earth's fruitfulness — loveliest of goddesses —
from the icy embrace of Fafnir was the great year-joy, — com-

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48 Hartley Burr Alexander

parable only to the pathetic rapture of the lone Greenland Esqui-
maux at the Phoenix-birth of the sun after the dead winter
months. The token of the Spring set free was the greening turf ;
and just as the Esquimaux greet the new sun with hymns, so the
old Teuton sang springtime in. Nature's kindlier England has
but fostered the ancient paganism, till it has come to pass that not
any poet of the mother-tongue begins his pilgrimage of minstrelsy
save he prologue it with April and with May, some hymn to
Spring which is his heart's libation to his native Muse.

And throughout, English poetry is mainly a nature poetry. At
the beginning spring and meadow-green, but the whole year
gathered into the final song. Storm is there with bird-trill, the
doming blue of the sky with the sheltered violet. And all nature
is alive, too, — this perhaps from the Celt. The life is not a
pantheistic world-vitalism, as with the Brahman, nor anthropo-
morphic embodiment, as with the classic peoples. The Oriental,
realizing human impotence, seeks peace in the tropic seductive-
ness of spiritual slumber, losing self and its desires in the waste
waters of a cosmic sea. The Greek, though well aware of his
mortality, effects an ideal conquest of nature; she is no longer
mistress, but is ruled by myriad human-like gods and demi-gods,
by nymphs and dryads who make her their habitat, by mortals who
have conquered mortality; the very vividness of Greek desire
compels the seeing of nature enslaved and ruddy flesh tri-
umphantly enthroned. But with our less sunny temper it is
otherwise. We have beheld a great vision, — from this our rest-
lessness; but we have found nature jealous of our wish and
potent to thwart it, — from this our sadness. Because of our dual
derivation, we achieve no contentment. The Celt passionately
worships beauty; the Goth clings invulnerably to his personality.
Yet without abnegation of self and personal right, beauty cannot
be attained. Here is that fundamental contradiction of tempera-
ment which gives a sense of tragedy underlying even our gaiety.
Especially since Puritanism and Science have in turn cast sober-
ing pall upon the merry-making instinct of the robuster England
of the Middle time, the chill and the dread have lain heavy upon

390

The English Lyric 49

us. Sometimes we have had mad flyings at the throat of destiny,
— Byron's way. Sometimes Saxon fatalism : no Oriental non-
resistance, but the nerve-sundering struggle, the fight to the
finish of the predestined loser. But again there is a softer mood,
perhaps of all most truly characteristic. Contrasted with the
classical, in place of light it yields mystery, in place of joy wist-
fulness, in place of imaginative embodiment aspiration. So
Keats, — ■

She dwells with Beauty — Beauty that must die ;

And Joy, whose hand is ever at his lips
Bidding adieu ; and aching Pleasure nigh,

Turning to poison while the bee-mouth sips :
Ay, in the very temple of Delight

Veil'd Melancholy has her sovran shrine. . . .

Nature can never again appear pastoral and Arcadian. We
have been too well taught that her law is the Survival of the
Fittest, her life the Struggle for Existence. And beauty may
henceforth never lie in mere sunshine. We have seen afar a
more radiant glory transfiguring a loftier world. If we grieve
because we cannot reach that world, it is with no mean or selfish
grief. Rather it is ache of a fine regret that we cannot be better
than we are.

391

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