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design
A Practical Guide to the
RIBA Plan of Work 2013
Stages 2 and 3

Tim Bailey
Contents

Foreword The scenarios

v x
Series editor’s foreword The in-text boxed features
vi–vii xi
The author The RIBA Plan of Work 2013
viii xii–xiii
Acknowledgements Introduction
viii xiv–xviii
The series editor
ix
01 Starting Stages 2 and 3
1–25

02 Stage 2 Concept Design

27–77

03 Stage 3 Developed Design

79–127

04 Conclusion
129–139

Plan of Work glossary

140–143

Index
144–147
© RIBA Enterprises, 2015

Published by RIBA Publishing,

66 Portland Place, London, W1B 1AD

ISBN 978 1 85946 571 4

Stock code 83010

The right of Tim Bailey to be identified as the

Author of this Work has been asserted in
accordance with the Copyright, Design and Patents
Act 1988, sections 77 and 88.

All rights reserved. No part of this publication

may be reproduced, stored in a retrieval system,
or transmitted, in any form or by any means,
electronic, mechanical, photocopying, recording or
otherwise, without prior permission of the copyright
owner.

British Library Cataloguing in Publications Data

A catalogue record for this book is available from
the British Library.

Commissioning editor: Sarah Busby

Production: Michèle Woodger
Designed and typeset by: Alex Lazarou
Printed and bound by: CPI
Cover image: © iStock/Franck-Boston

While every effort has been made to check the

accuracy and quality of the information given in this
publication, neither the Author nor the Publisher
accept any responsibility for the subsequent use of
this information, for any errors or omissions that it
may contain, or for any misunderstandings arising
from it.

RIBA Publishing is part of RIBA Enterprises Ltd.

www.ribaenterprises.com
 deSign
A PRACTICAL guIDE To RIBA PLAN oF WoRk 2013
STAgES 2 AND 3

Foreword

Charles Eames once reflected that ‘without problems there would be no

design’. So the job of design is to solve problems.

The RIBA Plan of Work has always looked to expand upon Eames
perceptive and pithy declaration whilst remaining true to its principle.
It offers a framework for the process and presentation of design, from
inception through to delivery, whilst avoiding constraint. Solutions can be
tailored to suit and decisions brought forward (I anticipate exactly that for
planning submissions) or deferred as appropriate. For all the above reasons
it has provided an important structure for the iterations of design that is
understood by clients, consultants and architects alike.

In this context the need for the new RIBA Plan of Work can be explained
by a structural change in the nature of how we perceive problems and how
we create and record design as the response. The greatest single structural
change to how we design, unsurprisingly in our audited world, is the rising
importance of assessing risk. Risk and its identification, recording, transfer
and ideally elimination through the design process is the new key design
problem. This is reflected in construction by the transfer of risk from client to
contractor and the consequent rise of design and build contracts.

Necessary, and as well received as it may be, the new Plan of Work, by
changing fields of reference familiar to clients and consultants alike, creates
at least initially, the problem of uncertainty. And it is this uncertainty that this
new publication, one of a series, sets out to address in extended detail. To
that end I believe it will be a useful, graphic and, through its illustrated case
studies, a well-grounded and detailed exploration and explanation of the
complex process of recording problems and their integrated design solution:
from idea to detail without forgetting delight.

As another great designer, Raymond Loewy once remarked of design

‘you can never leave well enough alone’ and with this in mind this well-
considered book will prove useful to designers in both answering the
concerns and justifying the benefits of the new design for the RIBA Plan of
Work.

Simon allford
Allford Hall Monaghan Morris

v
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STAgES 2 AND 3

Series editor’s foreword

The RIBA Plan of Work Stage guides are a crucial accompaniment to the
RIBA Plan of Work 2013. The plan’s format cannot communicate or convey
the detail behind every term in the plan and this series provides essential
guidance by considering, in depth, the reasoning and detail behind many
new and reinvigorated subjects linking these to practical examples. The
series is comprised of three titles which each concentrate on distinct stages
in the Plan of Work. The first is Briefing by Paul Fletcher and Hilary Satchwell
which covers Stages 7, 0 and 1. The second is Design by Tim Bailey and
this covers Stages 2 and 3. The third is Construction by Phil Holden and
covers Stages 4, 5 and 6. Subjects explored include how to assemble the
most appropriate and effective project team and how to develop the best
possible brief. The series also considers how to deal with the cultural shifts
arising from a shift from “analogue” to transformational “digital” design
processes as our industry begins to absorb the disruptive technologies that
are changing many different and diverse sectors beyond recognition.

The RIBA Plan of Work 2013 drives a shift towards richer and bigger data
which can be harnessed to create better whole life outcomes and thus
significant additional benefits to clients and users. The first book in the
series, Briefing, considers how the new project stages (0 and 7) will add
value over the lifetime of a project as greater emphasis is placed on more
resilient designs where whole life considerations are embedded into the
early design stages. With this in mind the series emphatically starts with
Stage 7 placing emphasis on the importance of learning from previous
projects via feedback and in the future via data analytics. This initial chapter
also sets out how post occupancy and building performance evaluations
can be harnessed to inform the Business Case during Stage 0 underlining
that big data will provide paradigm shifts in how to extract feedback from
newly completed or existing projects, including historic buildings, to help
better decision making in the early project stages.

More specifically, Paul and Hilary’s book considers new Stage 7 to 0

activities that will result in exciting new services in the future. These will
ensure that the client’s brief is robust and properly considered providing the
best possible platform for the design stages. This publication also considers
the importance of site appraisals at Stage 0 and how Feasibility Studies can

vi
 Design
a practical guide to riba plan of work 2013
Stages 2 and 3

assist and add value at Stage 1 to the briefing process before the design
process commences in earnest at Stage 2. In every stage there is added
emphasis around Information Exchanges and the importance of considering
who does what when at the outset of a project.

Although the core design stages (2 and 3) have not significantly changed,
Tim Bailey’s book, Design, looks at how they might be adjusted and better
focused to provide greater client emphasis at Stage 2 allowing the lead
designer to take centre stage at Stage 3. During this stage greater emphasis
is placed on the production of a co-ordinated design: the design team
should be focused on the work required to verify that the Concept Design
is robust and suitable for making a Planning application. In both stages
new methods of communicating the progressing design create exciting
new opportunities but at the same time require an examination of how
to effectively manage the design process using tools such as the Design
Programme to manage what is an iterative process.

Finally, Phil Holden’s book, Construction, considers the complexities of

Stage 4 which is “sliced and diced” in different ways depending on the
procurement route and the extent of design work undertaken by the
specialist subcontractors employed by the contractor. He considers how
the Design Programme for this change might alter to reflect different
procurement routes and how this stage typically overlaps with construction
(Stage 5). Handing over projects is becoming increasing complex and
users now realise that the handover process can impact on successful
operation and use of their buildings. Phil considers how the handover
process is changing, placing greater emphasis on the user’s needs. His
Stage 6 narrative considers how building contracts might adapt to this
new environment placing greater emphasis on whole life matters including
achieving better project outcomes rather than focusing on the closure solely
of contractual matters and construction defects.

Five project scenarios weave through the series providing some practical
examples of how the different stages of the plan of work might be
interpreted on projects of differing scales, sectors, complexity using different
procurement routes, providing a consistent thread through all of the books.

In summary, the series provides excellent additional guidance on how

to use the RIBA Plan of Work 2013 allowing anyone involved in the built
environment to understand and use the plan more effectively with the goal
of achieving better whole life outcomes.

vii
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STAgES 2 AND 3

the author

tim Bailey is founder of xsite architecture, established in 2000 and based

in Newcastle upon Tyne. Tim has been an architect since 1992, and has
been involved with a diverse range of realised projects throughout north-east
England and London. Born in the north-east and graduating from Newcastle
university, he made a positive decision to stay in the region and create a
practice that had a strong design ethos underpinning a realistic commercial
approach to projects. In addition, he has developed a strong relationship
with the arts sector, working collaboratively with and for arts clients as well
as in the retail, leisure, residential and commercial sectors.

He is currently a Regionally Elected member of the RIBA National Council,

RIBA Board member without portfolio and member of the RIBA Practice and
Profession Committee.

acknowledgements

There are always people to thank for the twists and turns that got us to the
place we are in. Thanks to them all but in particular thanks to Dale Sinclair
for asking me to take on this book, it has been very enjoyable. Thanks to
my fellow authors in this part of the Plan of Work series, Hilary Satchwell,
Paul Fletcher and Phil Holden, for probing and challenging the format of the
series and in consequence this book into shape. Thanks to Sarah Busby for
the guidance, gentle cajoling and support throughout.

A big love and thanks to Ruth, Zac and Thea for their holiday patience, lost
evenings and timely groundings. Payback starts now!

viii
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A PRACTICAL guIDE To RIBA PLAN oF WoRk 2013
STAgES 2 AND 3

the series editor

dale Sinclair is Director of Technical Practice for AECoM’s architecture team

in EMEA. He is an architect and was previously a Director of Dyer and an
Associate Director at BDP. He has taught at Aberdeen university and the
Mackintosh School of Architecture and regularly lectures on BIM, design
management and the RIBA Plan of Work 2013. He is passionate about
developing new design processes that can harness digital technologies,
manage the iterative design process and improve design outcomes.

He is currently the RIBA Vice President, Practice and Profession, a trustee

of the RIBA Board, a uk board member of BuildingSMART and a member
of various Construction Industry Council working groups. He was the editor
of the BIM overlay to the outline Plan of Work 2007, edited the RIBA
Plan of Work 2013 and was author of its supporting tools and guidance
publications: guide to using the RIBA Plan of Work 2013 and Assembling a
Collaborative Project Team.

ix
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deSign
A PRACTICAL guIDE To RIBA PLAN oF WoRk 2013
STAgES 2 AND 3

the scenarios

Throughout the series five projects of different scale, sector and complexity have
been used to illustrate the practical impact of the RIBA Plan of Work 2013. These
look at how different projects may need to deal differently with a range of issues
that could arise. These are not intended to be definitive examples of what to do,
or what not to do, but to aid understanding of the plan of work and how different
approaches may be adopted at each stage to support better project outcomes.
They are:

• Scenario a: an extension to a four-bedroom house in a rural location.

This project is for a private client and has a budget of £250k. The design team
have been selected by recommendation from friends and are appointed to help
the client develop the brief. The chosen procurement route is the traditional
procurement of a contractor by the client.
• Scenario B: a small scale housing development for a local developer on
the outskirts of a large city. The value of the project is £1.5million and the
client is a small but well established family business. Both the design team and
the contractor are to be selected by informal tender with previous experience
and pricing core evaluation factors. The procurement route is also traditional.
• Scenario C: the refurbishment of a teaching building for a university
which has a large portfolio of buildings. The value of the project is
between £5million – £6million. The design team are selected following a mini
competition. The procurement route is single stage design and build with the
design team being novated to the contractor.
• Scenario d: a new central library for a medium sized local authority.
Following the development of the brief including Feasibility Studies produced
by a directly appointed team on the Council’s Consultant Framework the
project is tendered to select the design team for the next stages. The
contractor is to be selected following a two stage design and build process
and will appoint their own design team. The original design team is to be
retained by the council as advisors.
• Scenario e: a large office scheme for a high tech internet based company
wanting to establish themselves as major players in the industry with
a high profile new base. Valued at £18 million - £20 million this project is
procured using a management form of contract due to the urgent need to
occupy the building.

At the end of each Stage in the book there is a status check on the five projects
where the impact of the work and decisions made during that stage are illustrated.
Within each chapter these scenarios are used to identify key points and examples.

x
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A PRACTICAL guIDE To RIBA PLAN oF WoRk 2013
STAgES 2 AND 3

the in-text boxed features

We have also included several in-text boxed features to enhance your

understanding of the Plan of Work stages and their practical application.

The following key will explain what each icon means and why each feature is
useful to you:

The ‘Example’ feature explores an example from practice, either real

or theoretical, and often utilizing the project scenarios.

The ‘Hints and Tips’ feature dispenses pragmatic advice and

highlights common problems and solutions.

The ‘Definition’ feature explains key terms in more detail.

xi
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A PRACTICAL guIDE To RIBA PLAN oF WoRk 2013
STAgES 2 AND 3

The RIBA Plan of Work 2013 organises the process of briefing, designing, The RIBA Plan of Work 2013 s
constructing, maintaining,
The operating
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0 1 2 3 4 5
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Strategic Preparation Concept Developed Technical

Definition and Brief Design Design Design Co
Tasks
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Core Case and Strategic Brief including Quality Objectives including outline proposals including coordinated and in accordance with Design onsi
Objectives and other core project and Project Outcomes, for structural design, building updated proposals for Responsibility Matrix and acco
requirements. Sustainability Aspirations, services systems, outline structural design, building Project Strategies to include Prog
Project Budget, other specifications and preliminary services systems, outline all architectural, structural and Des
parameters or constraints and Cost Information along with specifications, Cost building services information, they
develop Initial Project Brief. relevant Project Strategies Information and Project specialist subcontractor
Undertake Feasibility Studies in accordance with Design Strategies in accordance with design and specifications,
and review of Site Information. Programme. Agree Design Programme. in accordance with Design
alterations to brief and issue Programme.
Final Project Brief.

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Sustainability Checkpoint — 0 Checkpoint — 1 Checkpoint — 2 Checkpoint — 3 Checkpoint — 4 Che
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Information outline structural and building the coordinated architectural, of the project. Info
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Not required. Required. Required. Required. Not required. Not

UK Government
Information
Exchanges
*Variable task bar – in creating a bespoke project or practice specific RIBA Plan of Work 2013 via www.ribaplanofwork.com a specific bar is selected from a number of options.

xii
 tHe riBa plan oF WorK 2013

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3 4 5 6 7

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xiii
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A PRACTICAL guIDE To RIBA PLAN oF WoRk 2013
STAgES 2 AND 3

introduction

The RIBA Plan of Work 2013

In the overview framework of the RIBA Plan of Work 2013, the eight
sequential stages, Stages 0–7, that represent the briefing, designing,
constructing, maintaining, operating and in use stages of a project are
arranged horizontally so that the eight task bars, arranged vertically, that
explain fixed and variable activity – for example, Procurement, Programme
and (Town) Planning – can describe relevant and key activities under each
of the stages. This framework establishes, for the project team, a robust
management tool of the design processes in any project, and, with the
variable task bars, has the flexibility to adjust to practice-specific or project-
specific circumstances very easily.

Introducing the Stage Guides series

This guide is the middle book of three that look in detail at the RIBA Plan
of Work 2013 stages. It discusses Stage 2 Concept Design and Stage 3
Developed Design.

The first book in the series covers the beginnings of a project, and has
chosen to start with Stage 7 In use. It does so in order to establish the case
that when a client might consider a project, they often do so on the basis
of the accommodation they are in or their experiences of previous projects
that they have been involved with. It may be the fact that their building is
too small, too large or too expensive to run that prompts the line of enquiry
that results in a project. At this very early stage, there is no presumed
solution (for example, a refurbishment, retrofit or new build), and the initial
stages are set up to establish all the relevant criteria that will inform future
design stages. Following that starting point to the first guide book is Stage
0 Strategic Definition, when a client considers the existing data set from
the Stage 7 information available. They assemble the first members of a
project team, attempt to define the project within a Strategic Brief, establish
a Project Programme and, for some projects, may also establish a Project
Budget. Immediately prior to the activity discussed in this book comes
Stage 1 Preparation and Brief, wherein Feasibility Studies are undertaken
to test the brief. During Stage 1 as the project brief starts to emerge, it is
possible to identify the key Project Strategies that will be developed during
Stages 2 and 3. Project documentation begins to be produced prior to
collation into an Information Exchange at the end of Stage 1.

xiv
 introduction

The complexity of the project being undertaken will determine the levels
of detail produced at this very early stage in its life, but it should include
the organisational structure for the project. For example, a thorough
understanding of the client’s Business, or the circumstances that have
prompted a capital project, will help determine a project-management
structure, existing or proposed site appraisals to establish the appropriate
scope of work, and the appointment of the design team necessary for the
project. This information will be recorded in the initial Project Execution Plan
(PEP), which will also include a Design Responsibility Matrix that establishes
who is responsible for the production of each element of design work and
a Communication Strategy that allows a total understanding by the whole
project team of how project data is to be transferred, to whom and in what
timeframes. Other relevant strategies will be explained during the course of
that book.

The third book in the series covers RIBA Plan of Work 2013 Stage 4
Technical Design, Stage 5 Construction and Stage 6 Handover and Close
Out. The stage titles in this book are fairly self-explanatory, covering the
period of time in any building project that deals with the practical and
physical arrival of the design and the beginning of its use by the intended
occupants.

Stage 7 captures the building project in use; it is when feedback and

evaluation data on the post-occupancy performance of the building is
gathered, building performance evaluated, maintenance regimes tested
and modified, and the ‘As-constructed’ Information is kept up to date with
any change during the building’s use. Hopefully, it is clear that it makes
sense, within this Stage Guide series, to discuss Stage 7 information at the
beginning of the process, despite the fact that this stage is placed at the
end of the RIBA Plan of Work 2013 framework, as it will have a bearing on
the assembly of criteria for the building project about to be embarked upon.

This guide, together with the other titles in the series, aims to populate for
the reader the RIBA Plan of Work 2013 framework by exploring the activities
behind the identified tasks at each stage. By providing a sense of where
each stage starts and ends, how to manage and complete the stages, and
by highlighting the importance of the collaborative, iterative and methodical
development of design ideas and solutions, it is intended that design team
members will discover how to work inside the RIBA Plan of Work 2013
framework and the resulting benefits in realising a coordinated and tangible
building project.

xv
deSign
A PRACTICAL guIDE To RIBA PLAN oF WoRk 2013
STAgES 2 AND 3

Stage 7 0 1 2 3 4 5 6 7
In Use Strategic Preparation Concept Developed Technical Construction Handover In Use
Definition and Brief Design Design Design & Close Out

Review/ Book 1:
analysis Briefing
In Use Strategic Concept
Data Brief Design

Design/ Book 2:
synthesis Design
Final Project Developed
Brief Design

Delivery/ Book 3:
process Construction
Technical Construction Handover
Design

0.1
Each book in the Stage
guides series mapped
against RIBA Plan of
Work 2013.

xvi
 introduction

What is this book about?

It is no accident that Stages 2, 3 and 4 of the RIBA Plan of Work 2013 have
the word ‘Design’ in their titles. These are the stages at which the design
team assembled by the client for their building project play their most
important role. It is during Stage 2 Concept Design and Stage 3 Developed
Design that a building project takes form, from an idea sparked by the Initial
Project Brief. Site and organisational data and information collected during
the briefing stages are turned into a visualised, coordinated building-project
proposal that is ready to be tested against external opinion. This may be in
the form of the planning authority, the neighbourhood or general public – or
even, perhaps, the press – as well as any pertinent legislation that controls
development in the project location. An equally potent opinion will be formed
by ‘the market’, whether that be commercial viability or market demand for
the project type and funding regime. The application of skill, experience and
imagination from the design team during these early stages of a project’s
life can give rise to powerful and lasting statements of society’s civic, cultural
and commercial ambitions in any period of history, and the rigour with which
they are delivered plays a key part in their quality. The RIBA Plan of Work
2013 is intended to provide the organisational framework and surrounding
guidance to illustrate how that rigour can be applied to all projects
irrespective of size, complexity or cost.

How are project resources decided for design stages?

Arguably, the most important resourcing decisions are taken within the
design team in the early part of Stage 2. Who will or should work on the
project within each discipline? Should they be available through its entire
programme, in order to provide consistency of concept, contact and
communication? Is there a client sensitivity behind the brief that requires
a particular skill set or resource type, and will that change through the
course of the whole project? What is the level of design talent or technical
competency required to derive the best result from the process?

RIBA Plan of Work 2013 Stage 1 will have left plenty of clues to the answers
to these questions, together with evidence of the early conversations with
clients and their agents about what their ambitions and expectations for
the project are. Depending on the size of the project and the relative size
of the design companies involved, the decisions about how to resource
the early stages of one project will be very different from those of another,
but the rigour behind the assembly of the Initial Project Brief should be the
same in every case. The appointment process might be by fee bid, design
competition, competitive interview or personal recommendation. Each of
these situations will result in some members of the design team having

xvii
Design
a practical guide to riba plan of work 2013
Stages 2 and 3

heard more about the project than others. Key to getting the project started
successfully as design team appointments are confirmed, is affording the
rest of the design team the opportunity to hear those client ideas and
ambitions, and the relevant project briefing information, for themselves. A
great deal of the confidence and inspiration that can ‘carry’ the first period of
any commission will come from this first-hand experience.

Stages 2 and 3 under the microscope

This book is focused on RIBA Plan of Work 2013 Stages 2 and 3. These
stages cover the period of the project when a building design emerges from
a written brief into a fully declared building proposal. This is a very creative
part of the process of realising buildings, which benefits hugely from the
rigour imposed by the Plan of Work. Below is a short insight into what the
chapters of this book cover:

• At the outset of the book, Chapter 1 looks at the two stages and
explains what Concept Design and Developed Design are. How do
design teams plan the resources needed to tackle these stages, and
who should lead the design team? What preparation do design teams
need to start Stage 2?
• In Chapter 2, the Concept Design stage is unpacked. How do design
concepts ‘arrive’, and how does the essentially creative process of
designing architecture respond to being defined by a framework like
the Plan of Work 2013? Who does what during this stage, and how are
the work outputs during Stage 2 represented and assembled at stage
completion?
• Chapter 3 covers the Developed Design stage. This stage is
characterised by the declaration of the design and the production of
a great deal of detailed information in the form of reports, drawings
and models. The chapter looks at what form the information will be in,
what actions are taken with it and how its decisions impact on Project
Strategies and other Project Information.
• Chapter 4 summarises the guide, and looks briefly at what to expect in
the next RIBA Plan of Work 2013 stage: Stage 4 Technical Design.

At the end of the book, there is a glossary of key terms referenced in the
book and relating back to those included in the Plan of Work 2013.

xviii
introduction

xix
Visit https://textbookfull.com
now to explore a rich
collection of eBooks, textbook
and enjoy exciting offers!
CHAPTER 01
Starting
StageS 2
and 3
 Starting StageS 2 and 3

CHAPTER 01

overvieW
This second guide in the series unlocks the RIBA Plan of Work 2013
framework for the principal design stages: Stages 2 (Concept Design) and
3 (Developed Design). This chapter briefly discusses what these stages
cover in the context of all eight Plan of Work stages. The chapter identifies
what comes before Stage 2, and what lies ahead after Stage 3. A short
section follows on the importance of the review and development of Project
Strategies and the key role of task bars in organising this information within
the Plan of Work framework. The subject of design leadership and how
to resource these stages is also mentioned as being a major factor in the
successful completion of Plan of Work projects.

3
deSign
A PRACTICAL guIDE To RIBA PLAN oF WoRk 2013
STAgES 2 AND 3

What iS a concept
deSign?
The expression ‘Concept Design’ could do with some explanation in the
context of the RIBA Plan of Work 2013 Stage 2. It is important that all
members of the project team understand what is meant by Concept Design,
as there is often a misconception that it relates to the first idea only. But
more critically than explaining how the design team needs to develop the
building project through RIBA Plan of Work 2013 Stage 2, is the need for the
client to know what to expect from the design team at the point where they
declare a particular Concept Design as the right solution for the Initial Project
Brief.

A Concept Design is the expression of a central and core idea, around

which the constituent parts of a project can be based. For some projects,
this becomes the one-line description that inspires or captures the essence
and nature of the proposal. often, and sometimes famously, the concept is
referred to as having been captured on the ‘back of an envelope’ or a napkin
over dinner.

a SnapShot – Stage 2 concept deSign

The design team is to create a design response to the Initial
Project Brief and Information Exchange from Plan of Work Stage
1. The Initial Project Brief should contain the Project objectives,
Project outcomes, Project Budget, Project Programme and
any site constraints that are understood to form part of Site
Information. By the end of the Plan of Work Stage 2, the design
team will have worked collaboratively to create a Concept Design
that is set in an appropriate socioeconomic context and that
has developed information, including Project Strategies, for the
proposed scheme that gives it the prospect of developing into a
realisable project.

4
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The Project Gutenberg eBook of Americanism
This ebook is for the use of anyone anywhere in the United States
and most other parts of the world at no cost and with almost no
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under the terms of the Project Gutenberg License included with this
ebook or online at www.gutenberg.org. If you are not located in the
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you are located before using this eBook.

Title: Americanism

Author: Theodore Roosevelt

Release date: May 23, 2022 [eBook #68152]

Language: English

Original publication: United States: Knights of Columbus, 1915

Credits: Donald Cummings and the Online Distributed Proofreading

Team at https://www.pgdp.net (This file was produced from
images generously made available by The Internet
Archive/American Libraries.)

*** START OF THE PROJECT GUTENBERG EBOOK

AMERICANISM ***
 Americanism
Theodore Roosevelt

Address delivered before the

Knights of Columbus, Carnegie Hall
Tuesday Evening, October 12, 1915
 Americanism
Four centuries and a quarter have gone by since Columbus by
discovering America opened the greatest era in world history. Four
centuries have passed since the Spaniards began that colonization
on the main land which has resulted in the growth of the nations of
Latin-America. Three centuries have passed since, with the
settlements on the coasts of Virginia and Massachusetts, the real
history of what is now the United States began. All this we ultimately
owe to the action of an Italian seaman in the service of a Spanish
King and a Spanish Queen. It is eminently fitting that one of the
largest and most influential social organizations of this great
Republic,—a Republic in which the tongue is English, and the blood
derived from many sources should, in its name commemorate the
great Italian. It is eminently fitting to make an address on
Americanism before this society.

DEMOCRATIC PRINCIPLES.
We of the United States need above all things to remember that,
while we are by blood and culture kin to each of the nations of
Europe, we are also separate from each of them. We are a new and
distinct nationality. We are developing our own distinctive culture and
civilization, and the worth of this civilization will largely depend upon
our determination to keep it distinctively our own. Our sons and
daughters should be educated here and not abroad. We should
freely take from every other nation whatever we can make of use,
but we should adopt and develop to our own peculiar needs what we
thus take, and never be content merely to copy.
Our nation was founded to perpetuate democratic principles.
These principles are that each man is to be treated on his worth as a
man without regard to the land from which his forefathers came and
without regard to the creed which he professes. If the United States
proves false to these principles of civil and religious liberty, it will
have inflicted the greatest blow on the system of free popular
government that has ever been inflicted. Here we have had a virgin
continent on which to try the experiment of making out of divers race
stocks a new nation and of treating all the citizens of that nation in
such a fashion as to preserve them equality of opportunity in
industrial, civil and political life. Our duty is to secure each man
against any injustice by his fellows.

RELIGIOUS FREEDOM.
One of the most important things to secure for him is the right to
hold and to express the religious views that best meet his own soul
needs. Any political movement directed against any body of our
fellow citizens because of their religious creed is a grave offense
against American principles and American institutions. It is a wicked
thing either to support or to oppose a man because of the creed he
professes. This applies to Jew and Gentile, to Catholic and
Protestant, and to the man who would be regarded as unorthodox by
all of them alike. Political movements directed against men because
of their religious belief, and intended to prevent men of that creed
from holding office, have never accomplished anything but harm.
This was true in the days of the “Know-Nothing” and Native-
American parties in the middle of the last century; and it is just as
true today. Such a movement directly contravenes the spirit of the
Constitution itself. Washington and his associates believed that it
was essential to the existence of this Republic that there should
never be any union of Church and State; and such union is partially
accomplished wherever a given creed is aided by the State or when
any public servant is elected or defeated because of his creed. The
Constitution explicitly forbids the requiring of any religious test as a
qualification for holding office. To impose such a test by popular vote
is as bad as to impose it by law. To vote either for or against a man
because of his creed is to impose upon him a religious test and is a
clear violation of the spirit of the Constitution.
 Moreover, it is well to remember that these movements never
achieve the end they nominally have in view. They do nothing
whatsoever except to increase among the men of the various
churches the spirit of sectarian intolerance which is base and
unlovely in any civilization but which is utterly revolting among a free
people that profess the principles we profess. No such movement
can ever permanently succeed here. All that it does is for a decade
or so to greatly increase the spirit of theological animosity, both
among the people to whom it appeals and among the people whom
it assails. Furthermore, it has in the past invariably resulted, in so far
as it was successful at all, in putting unworthy men into office; for
there is nothing that a man of loose principles and of evil practices in
public life so desires as the chance to distract attention from his own
shortcomings and misdeeds by exciting and inflaming theological
and sectarian prejudice.
We must recognize that it is a cardinal sin against democracy to
support a man for public office because he belongs to a given creed
or to oppose him because he belongs to a given creed. It is just as
evil as to draw the line between class and class, between occupation
and occupation in political life. No man who tries to draw either line is
a good American. True Americanism demands that we judge each
man on his conduct, that we so judge him in private life and that we
so judge him in public life. The line of cleavage drawn on principle
and conduct in public affairs is never in any healthy community
identical with the line of cleavage between creed and creed or
between class and class. On the contrary, where the community life
is healthy, these lines of cleavage almost always run nearly at right
angles to one another. It is eminently necessary to all of us that we
should have able and honest public officials in the nation, in the city,
in the state. If we make a serious and resolute effort to get such
officials of the right kind, men who shall not only be honest but shall
be able and shall take the right view of public questions, we will find
as a matter of fact that the men we thus choose will be drawn from
the professors of every creed and from among men who do not
adhere to any creed.
 For thirty-five years I have been more or less actively engaged in
public life, in the performance of my political duties, now in a public
position, now in a private position. I have fought with all the fervor I
possessed for the various causes in which with all my heart I
believed; and in every fight I thus made I have had with me and
against me Catholics, Protestants and Jews. There have been times
when I have had to make the fight for or against some man of each
creed on grounds of plain public morality, unconnected with
questions of public policy. There were other times when I have made
such a fight for or against a given man, not on grounds of public
morality, for he may have been morally a good man, but on account
of his attitude on questions of public policy, of governmental
principle. In both cases, I have always found myself fighting beside,
and fighting against men of every creed. The one sure way to have
secured the defeat of every good principle worth fighting for would
have been to have permitted the fight to be changed into one along
sectarian lines and inspired by the spirit of sectarian bitterness,
either for the purpose of putting into public life or of keeping out of
public life the believers in any given creed. Such conduct represents
an assault upon Americanism. The man guilty of it is not a good
American.
I hold that in this country there must be complete severance of
Church and State; that public moneys shall not be used for the
purpose of advancing any particular creed; and therefore that the
public schools shall be non-sectarian. As a necessary corollary to
this, not only the pupils but the members of the teaching force and
the school officials of all kinds must be treated exactly on a par, no
matter what their creed; and there must be no more discrimination
against Jew or Catholic or Protestant than discrimination in favor of
Jew, Catholic or Protestant. Whoever makes such discrimination is
an enemy of the public schools.

HYPHENATED AMERICANS.
What is true of creed is no less true of nationality. There is no
room in this country for hyphenated Americanism. When I refer to
hyphenated Americans, I do not refer to naturalized Americans.
Some of the very best Americans I have ever known were
naturalized Americans, Americans born abroad. But a hyphenated
American is not an American at all. This is just as true of the man
who puts “native” before the hyphen as of the man who puts German
or Irish or English or French before the hyphen. Americanism is a
matter of the spirit and of the soul. Our allegiance must be purely to
the United States. We must unsparingly condemn any man who
holds any other allegiance. But if he is heartily and singly loyal to this
Republic, then no matter where he was born, he is just as good an
American as anyone else.
The one absolutely certain way of bringing this nation to ruin, of
preventing all possibility of its continuing to be a nation at all, would
be to permit it to become a tangle of squabbling nationalities, an
intricate knot of German-Americans, Irish-Americans, English-
Americans, French-Americans, Scandinavian-Americans or Italian-
Americans, each preserving its separate nationality, each at heart
feeling more sympathy with Europeans of that nationality, than with
the other citizens of the American Republic. The men who do not
become Americans and nothing else are hyphenated Americans; and
there ought to be no room for them in this country. The man who
calls himself an American citizen and who yet shows by his actions
that he is primarily the citizen of a foreign land, plays a thoroughly
mischievous part in the life of our body politic. He has no place here;
and the sooner he returns to the land to which he feels his real heart-
allegiance, the better it will be for every good American. There is no
such thing as a hyphenated American who is a good American. The
only man who is a good American is the man who is an American
and nothing else.
I appeal to history. Among the generals of Washington in the
Revolutionary War were Greene, Putnam and Lee, who were of
English descent; Wayne and Sullivan, who were of Irish descent;
Marion, who was of French descent; Schuyler, who was of Dutch
descent, and Muhlenberg and Herkemer, who were of German
descent. But they were all of them Americans and nothing else, just
as much as Washington. Carroll of Carrollton was a Catholic;
Hancock a Protestant; Jefferson was heterodox from the standpoint
of any orthodox creed; but these and all the other signers of the
Declaration of Independence stood on an equality of duty and right
and liberty, as Americans and nothing else.
So it was in the Civil War. Farragut’s father was born in Spain and
Sheridan’s father in Ireland; Sherman and Thomas were of English
and Custer of German descent; and Grant came of a long line of
American ancestors whose original home had been Scotland. But
the Admiral was not a Spanish-American; and the Generals were not
Scotch-Americans or Irish-Americans or English-Americans or
German-Americans. They were all Americans and nothing else. This
was just as true of Lee and of Stonewall Jackson and of Beauregard.
When in 1909 our battlefleet returned from its voyage around the
world, Admirals Wainwright and Schroeder represented the best
traditions and the most effective action in our navy; one was of old
American blood and of English descent; the other was the son of
German immigrants. But one was not a native-American and the
other a German-American. Each was an American pure and simple.
Each bore allegiance only to the flag of the United States. Each
would have been incapable of considering the interests of Germany
or of England or of any other country except the United States.
To take charge of the most important work under my
administration, the building of the Panama Canal, I chose General
Goethals. Both of his parents were born in Holland. But he was just
plain United States. He wasn’t a Dutch-American; if he had been I
wouldn’t have appointed him. So it was with such men, among those
who served under me, as Admiral Osterhaus and General Barry. The
father of one was born in Germany, the father of the other in Ireland.
But they were both Americans, pure and simple, and first rate
fighting men in addition.
In my Cabinet at the time there were men of English and French,
German, Irish and Dutch blood, men born on this side and men born
in Germany and Scotland; but they were all Americans and nothing
else; and every one of them was incapable of thinking of himself or
of his fellow-countrymen, excepting in terms of American citizenship.
If any one of them had anything in the nature of a dual or divided
allegiance in his soul, he never would have been appointed to serve
under me, and he would have been instantly removed when the
discovery was made. There wasn’t one of them who was capable of
desiring that the policy of the United States should be shaped with
reference to the interests of any foreign country or with consideration
for anything, outside of the general welfare of humanity, save the
honor and interest of the United States, and each was incapable of
making any discrimination whatsoever among the citizens of the
country he served, of our common country, save discrimination
based on conduct and on conduct alone.
For an American citizen to vote as a German-American, an Irish-
American or an English-American is to be a traitor to American
institutions; and those hyphenated Americans who terrorize
American politicians by threats of the foreign vote are engaged in
treason to the American Republic.

PRINCIPLES OF AMERICANISM.
Now this is a declaration of principles. How are we in practical
fashion to secure the making of these principles part of the very fiber
of our national life? First and foremost let us all resolve that in this
country hereafter we shall place far less emphasis upon the question
of right and much greater emphasis upon the matter of duty. A
republic can’t succeed and won’t succeed in the tremendous
international stress of the modern world unless its citizens possess
that form of high-minded patriotism which consists in putting
devotion to duty before the question of individual rights. This must be
done in our family relations or the family will go to pieces; and no
better tract for family life in this country can be imagined than the
little story called “Mother,” written by an American woman, Kathleen
Norris, who happens to be a member of your own church.
What is true of the family, the foundation stone of our national life,
is not less true of the entire superstructure. I am, as you know, a
most ardent believer in national preparedness against war as a
means of securing that honorable and self-respecting peace which is
the only peace desired by all high-spirited people. But it is an
absolute impossibility to secure such preparedness in full and proper
form if it is an isolated feature of our policy. The lamentable fate of
Belgium has shown that no justice in legislation or success in
business will be of the slightest avail if the nation has not prepared in
advance the strength to protect its rights. But it is equally true that
there cannot be this preparation in advance for military strength
unless there is a social basis of civil and social life behind it. There
must be social, economic and military preparedness all alike, all
harmoniously developed; and above all there must be spiritual and
mental preparedness.

SOCIAL AND ECONOMIC PREPAREDNESS.

There must be not merely preparedness in things material; there
must be preparedness in soul and mind. To prepare a great army
and navy without preparing a proper national spirit would avail
nothing. And if there is not only a proper national spirit but proper
national intelligence, we shall realize that even from the standpoint of
the army and navy some civil preparedness is indispensable. For
example, a plan for national defense which does not include the
most far-reaching use and co-operation of our railroads must prove
largely futile. These railroads are organized in time of peace. But we
must have the most carefully thought out organization from the
national and centralized standpoint in order to use them in time of
war. This means first that those in charge of them from the highest to
the lowest must understand their duty in time of war, must be
permeated with the spirit of genuine patriotism; and second, that
they and we shall understand that efficiency is as essential as
patriotism; one is useless without the other.
Again: every citizen should be trained sedulously by every activity
at our command to realize his duty to the nation. In France at this
moment the workingmen who are not at the front are spending all
their energies with the single thought of helping their brethren at the
front by what they do in the munition plant, on the railroads, in the
factories. It is a shocking, a lamentable thing that many of the trade
unions of England have taken a directly opposite view. I am not
concerned with whether it be true, as they assert, that their
employers are trying to exploit them, or, as these employers assert,
that the labor men are trying to gain profit for those who stay at
home at the cost of their brethren who fight in the trenches. The
thing for us Americans to realize is that we must do our best to
prevent similar conditions from growing up here. Business men,
professional men, and wage workers alike must understand that
there should be no question of their enjoying any rights whatsoever
unless in the fullest way they recognize and live up to the duties that
go with those rights. This is just as true of the corporation as of the
trade union, and if either corporation or trade union fails heartily to
acknowledge this truth, then its activities are necessarily anti-social
and detrimental to the welfare of the body politic as a whole. In war
time, when the welfare of the nation is at stake, it should be
accepted as axiomatic that the employer is to make no profit out of
the war save that which is necessary to the efficient running of the
business and to the living expenses of himself and family, and that
the wage worker is to treat his wage from exactly the same
standpoint and is to see to it that the labor organization to which he
belongs is, in all its activities, subordinated to the service of the
nation.
Now there must be some application of this spirit in times of peace
or we cannot suddenly develop it in time of war. The strike situation
in the United States at this time is a scandal to the country as a
whole and discreditable alike to employer and employee. Any
employer who fails to recognize that human rights come first and that
the friendly relationship between himself and those working for him
should be one of partnership and comradeship in mutual help no
less than self-help is recreant to his duty as an American citizen and
it is to his interest, having in view the enormous destruction of life in
the present war, to conserve, and to train to higher efficiency alike for
his benefit and for its, the labor supply. In return any employee who
acts along the lines publicly advocated by the men who profess to
speak for the I. W. W. is not merely an open enemy of business but
of this entire country and is out of place in our government.
 You, Knights of Columbus, are particularly fitted to play a great
part in the movement for national solidarity, without which there can
be no real efficiency in either peace or war. During the last year and
a quarter it has been brought home to us in startling fashion that
many of the elements of our nation are not yet properly fused. It
ought to be a literally appalling fact that members of two of the
foreign embassies in this country have been discovered to be
implicated in inciting their fellow-countrymen, whether naturalized
American citizens or not, to the destruction of property and the
crippling of American industries that are operating in accordance
with internal law and international agreement. The malign activity of
one of these embassies has been brought home directly to the
ambassador in such shape that his recall has been forced. The
activities of the other have been set forth in detail by the publication
in the press of its letters in such fashion as to make it perfectly clear
that they were of the same general character. Of course, the two
embassies were merely carrying out the instructions of their home
governments.
Nor is it only the German and Austrians who take the view that as
a matter of right they can treat their countrymen resident in America,
even if naturalized citizens of the United States, as their allies and
subjects to be used in keeping alive separate national groups
profoundly anti-American in sentiment if the contest comes between
American interests and those of foreign lands in question. It has
recently been announced that the Russian government is to rent a
house in New York as a national center to be Russian in faith and
patriotism, to foster the Russian language and keep alive the
national feeling in immigrants who come hither. All of this is utterly
antagonistic to proper American sentiment, whether perpetrated in
the name of Germany, of Austria, of Russia, of England, or France or
any other country.

RIGHTS AND DUTIES OF CITIZENS.

We should meet this situation by on the one hand seeing that
these immigrants get all their rights as American citizens, and on the
other hand insisting that they live up to their duties as American
citizens. Any discrimination against aliens is a wrong, for it tends to
put the immigrant at a disadvantage and to cause him to feel
bitterness and resentment during the very years when he should be
preparing himself for American citizenship. If an immigrant is not fit
to become a citizen, he should not be allowed to come here. If he is
fit, he should be given all the rights to earn his own livelihood, and to
better himself, that any man can have. Take such a matter as the
illiteracy test; I entirely agree with those who feel that many very
excellent possible citizens would be barred improperly by an illiteracy
test. But why do you not admit aliens under a bond to learn to read
and write within a certain time? It would then be a duty to see that
they were given ample opportunity to learn to read and write and that
they were deported if they failed to take advantage of the
opportunity. No man can be a good citizen if he is not at least in
process of learning to speak the language of his fellow-citizens. And
an alien who remains here without learning to speak English for
more than a certain number of years should at the end of that time
be treated as having refused to take the preliminary steps necessary
to complete Americanization and should be deported. But there
should be no denial or limitation of the alien’s opportunity to work, to
own property and to take advantage of civic opportunities. Special
legislation should deal with the aliens who do not come here to be
made citizens. But the alien who comes here intending to become a
citizen should be helped in every way to advance himself, should be
removed from every possible disadvantage and in return should be
required under penalty of being sent back to the country from which
he came, to prove that he is in good faith fitting himself to be an
American citizen.

PREPARATIVES TO PREPAREDNESS.
Therefore, we should devote ourselves as a preparative to
preparedness, alike in peace and war, to secure the three elemental
things; one, a common language, the English language; two, the
increase in our social loyalty—citizenship absolutely undivided, a
citizenship which acknowledges no flag except the flag of the United
States and which emphatically repudiates all duality of intention or
national loyalty; and third, an intelligent and resolute effort for the
removal of industrial and social unrest, an effort which shall aim
equally at securing every man his rights and to make every man
understand that unless he in good faith performs his duties he is not
entitled to any rights at all.
The American people should itself do these things for the
immigrants. If we leave the immigrant to be helped by
representatives of foreign governments, by foreign societies, by a
press and institutions conducted in a foreign language and in the
interest of foreign governments, and if we permit the immigrants to
exist as alien groups, each group sundered from the rest of the
citizens of the country, we shall store up for ourselves bitter trouble
in the future.

MILITARY PREPAREDNESS.
I am certain that the only permanently safe attitude for this country
as regards national preparedness for self-defense is along its lines of
universal service on the Swiss model. Switzerland is the most
democratic of nations. Its army is the most democratic army in the
world. There isn’t a touch of militarism or aggressiveness about
Switzerland. It has been found as a matter of actual practical
experience in Switzerland that the universal military training has
made a very marked increase in social efficiency and in the ability of
the man thus trained to do well for himself in industry. The man who
has received the training is a better citizen, is more self-respecting,
more orderly, better able to hold his own, and more willing to respect
the rights of others and at the same time he is a more valuable and
better paid man in his business. We need that the navy and the army
should be greatly increased and that their efficiency as units and in
the aggregate should be increased to an even greater degree than
their numbers. An adequate regular reserve should be established.
Economy should be insisted on, and first of all in the abolition of
useless army posts and navy yards. The National Guard should be
supervised and controlled by the Federal War Department. Training
camps such as at Plattsburg should be provided on a nationwide
basis and the government should pay the expenses. Foreign-born as
well as native-born citizens should be brought together in those
camps; and each man at the camp should take the oath of allegiance
as unreservedly and unqualifiedly as the men of its regular army and
navy now take it. Not only should battleships, battle cruisers,
submarines, ample coast and field artillery be provided and a greater
ammunition supply system, but there should be a utilization of those
engaged in such professions as the ownership and management of
motor cars, in aviation, and in the profession of engineering. Map-
making and road improvement should be attended to, and, as I have
already said, the railroads brought into intimate touch with the War
Department. Moreover, the government should deal with
conservation of all necessary war supplies such as mine products,
potash, oil lands and the like. Furthermore, all munition plants should
be carefully surveyed with special reference to their geographic
distribution and for the possibility of increased munition and supply
factories. Finally, remember that the men must be sedulously trained
in peace to use this material or we shall merely prepare our ships,
guns and products as gifts to the enemy. All of these things should
be done in any event, but let us never forget that the most important
of all things is to introduce universal military service.
But let me repeat that this preparedness against war must be
based upon efficiency and justice in the handling of ourselves in time
of peace. If belligerent governments, while we are not hostile to them
but merely neutral, strive nevertheless to make of this nation many
nations, each hostile to the others and none of them loyal to the
central government, then it may be accepted as certain that they
would do far worse to us in time of war. If they encourage strikes and
sabotage in our munition plants while we are neutral it may be
accepted as axiomatic that they would do far worse to us if we were
hostile. It is our duty from the standpoint of self-defense to secure
the complete Americanization of our people. To make of the many
peoples of this country a united nation, one in speech and feeling
and all, so far as possible, sharers in the best that each has brought
to our shores.
 AMERICANIZATION.
The foreign-born population of this country must be an
Americanized population—no other kind can fight the battles of
America either in war or peace. It must talk the language of its
native-born fellow citizens, it must possess American citizenship and
American ideals. It must stand firm by its oath of allegiance in word
and deed and must show that in very fact it has renounced
allegiance to every prince, potentate or foreign government. It must
be maintained on an American standard of living so as to prevent
labor disturbances in important plants and at critical times. None of
these objects can be secured as long as we have immigrant
colonies, ghettos, and immigrant sections, and above all they cannot
be assured so long as we consider the immigrant only as an
industrial asset. The immigrant must not be allowed to drift or to be
put at the mercy of the exploiter. Our object is not to imitate one of
the older racial types, but to maintain a new American type and then
to secure loyalty to this type. We cannot secure such loyalty unless
we make this a country where men shall feel that they have justice
and also where they shall feel that they are required to perform the
duties imposed upon them. The policy of “Let alone” which we have
hitherto pursued is thoroughly vicious from two standpoints. By this
policy we have permitted the immigrants, and too often the native-
born laborers as well, to suffer injustice. Moreover, by this policy we
have failed to impress upon the immigrant and upon the native-born
as well that they are expected to do justice as well as to receive
justice, that they are expected to be heartily and actively and single-
mindedly loyal to the flag no less than to benefit by living under it.
We cannot afford to continue to use hundreds of thousands of
immigrants merely as industrial assets while they remain social
outcasts and menaces any more than fifty years ago we could afford
to keep the black man merely as an industrial asset and not as a
human being. We cannot afford to build a big industrial plant and
herd men and women about it without care for their welfare. We
cannot afford to permit squalid overcrowding or the kind of living
system which makes impossible the decencies and necessities of
life. We cannot afford the low wage rates and the merely seasonal
industries which mean the sacrifice of both individual and family life
and morals to the industrial machinery. We cannot afford to leave
American mines, munitions plants and general resources in the
hands of alien workmen, alien to America and even likely to be made
hostile to America by machinations such as have recently been
provided in the case of the two foreign embassies in Washington.
We cannot afford to run the risk of having in time of war men working
on our railways or working in our munition plants who would in the
name of duty to their own foreign countries bring destruction to us.
Recent events have shown us that incitements to sabotage and
strikes are in the view of at least two of the great foreign powers of
Europe within their definition of neutral practices. What would be
done to us in the name of war if these things are done to us in the
name of neutrality?
Justice Dowling in his speech has described the excellent fourth
degree of your order, of how in it you dwell upon duties rather than
rights, upon the great duties of patriotism and of national spirit. It is a
fine thing to have a society that holds up such a standard of duty. I
ask you to make a special effort to deal with Americanization, the
fusing into one nation, a nation necessarily different from all other
nations, of all who come to our shores. Pay heed to the three
principal essentials: (1) The need of a common language, with a
minimum amount of illiteracy; (2) the need of a common civil
standard, similar ideals, beliefs and customs symbolized by the oath
of allegiance to America; and (3) the need of a high standard of
living, of reasonable equality of opportunity and of social and
industrial justice. In every great crisis in our history, in the Revolution
and in the Civil War, and in the lesser crises, like the Spanish war, all
factions and races have been forgotten in the common spirit of
Americanism. Protestant and Catholic, men of English or of French,
of Irish or of German descent have joined with a single-minded
purpose to secure for the country what only can be achieved by the
resultant union of all patriotic citizens. You of this organization have
done a great service by your insistence that citizens should pay heed
first of all to their duties. Hitherto undue prominence has been given
to the question of rights. Your organization is a splendid engine for