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FOREWORD

How profoundly human it is, how deeply characteristic of a foreword writer, I would like to underline some
of our species—ethologically speaking—to wonder of the features of special importance in Günther
at, study, and investigate behavior of our own and Zupanc’s treatment, without implying that they are
other species toward understanding, in the sense neglected in previous books.
of accounting for, the actions, the appetites, the First and foremost, it is a feature of the subject
drives, alternative modes, and sensory guidance that that it deals with biodiversity in the extreme. The
we observe. How rewarding we find it to think of consequence of evolution is an accumulation
hypotheses, to test and discard them, and to achieve of diversity, particularly in behavior—more
a degree of understanding—at one or more levels— conspicuously and significantly, and more inviting to
and report it to our colleagues. analysis and explanation, than form, color, or pattern.
In all its angles and aspects, this human urge to The usual distillate of biology—that ‘life is genes
embrace, comprehend, and explain what we and propagating genes’—is a serious misrepresentation
other species do—our behavior—is now recognized because evolution has created diversity in what
as a field of endeavor called neuroethology, rivaling animals do between generations; life consists of
those other distinctively human traits such as diverse states and actions—of course including
cooking, dancing in innovative ways, recounting the keeping alive and reproducing. But the big picture is
past and imagining the future, making each other missed if we do not hold up for scrutiny the different
laugh, and making music. ways of doing these things in beetles that burrow,
It strikes me as some kind of a pinnacle to bring butterflies that migrate, corals that luminesce, and
together between book covers what has been learnt lions that sleep away most of the day.
and how it was done so that we can exercise another Zupanc has recognized the importance of
very human trait—wonder at it! organizing the wealth of detail in a reader-friendly
One reason for this somewhat obtuse opening way—with Leitmotifs in special categories and
is that it underlines a strongly felt view of Günther sidebars. He has also recognized the importance of
Zupanc that the raison d’etre of such a book need not descriptive natural history preceding and leading
depend on its potential relevance to practical human into reductionist analysis—neuroethology begins
concerns, such as medicine or the psychology of with adequate ethology.
human aggression, but, in today’s world, upon simple Particularly important in neuroethology, and
curiosity and knowing for its own sake. This latest well represented in this treatment, is comparison—
summing up follows worthily the path pioneered by comparison of sensory stimuli that trigger, of
Jörg-Peter Ewert (Neuro-Ethologie: Einführung in pathways and central structures involved, of
die neurophysiologischen Grundlagen des Verhaltens, background state dependence, and alternative tricks
Springer-Verlag, Berlin, 1976), Jeff Camhi for canceling self-generated signals. Comparison is
(Neuroethology: Nerve Cells and the Natural Behavior the essence and applies to different taxa, ontogenetic
of Animals, Sinauer, Sunderland/Massachusetts, stages, and readiness states. Nature appears rarely to
1984), and most recently Tom Carew (Behavioral use a single mechanism for all animals that exhibit a
Neurobiology: The Cellular Organization of Natural similar behavior—nor does she use a large number
Behavior, Sinauer, Sunderland/Massachusetts, of alternate mechanisms; several is the norm. The
2000), each in its own style. Exploiting the freedom limitation in our knowledge is a limitation of research
viii Foreword

endeavor, perhaps because there is less glamour in with the history of each strand of the fabric of
looking at the same behavior in other taxa than in neuroethology, the drama and dependence on
looking at hitherto unstudied behavior. serendipity and mindset. The results of this historical
Another feature that stands out in the present research are distributed throughout the text, often
treatment, although frequently underplayed in the in sidebars or boxes. May this book illumine the
primary literature, is that every case is identified science, influence the way investigators proceed, and
with a broad or basic issue. This is complemented by draw new ones into the field.
showing how some species are particularly favorable Theodore Holmes Bullock
for the given study and for closer analysis. La Jolla
A distinctive feature of this book is its concern June 2003
PREFACE

About the book for understanding behavioral neurobiology are

introduced in Chapters 2.
This book is based on two courses that I designed Any scientific discovery can be fully understood
and taught on joining the faculty of the School of only within its historical context. I have therefore
Biological Sciences of the University of Manchester also included a chapter (Chapter 3) on the historical
in 1997. One of these behavioral neurobiology development of behavioral neurobiology, and added
courses was targeted at a beginner’s level, the other at to several chapters a description of the work and life
an advanced level. Over the five years that followed, of those who have pioneered this development.
they were taken by several hundred students coming The approach used in the book has been to focus
from a wide range of degree programs. It was this on a few selected systems that, in my opinion, best
positive interaction, as well as the students’ request illuminate the key principles. These examples are
to make available a text covering these courses, that then discussed in depth, while relating them to the
encouraged me to write this book. These students general principles. Unavoidably, such an approach
also provided me with invaluable feedback on leads to the exclusion of a number of other excellent
how to stimulate interest in the subject, without studies. I apologize to those whose work has been
compromising the quality of the science taught. neglected.
Like the Manchester courses, this book is designed I have also placed particular emphasis on
primarily for undergraduate and graduate students, presenting not just the findings of research, but also
but postdoctoral scientists and instructors of such describing the experimental approaches employed
courses are also likely to benefit from it. I have assumed to obtain these results, and discussing the limitations
that the students have some basic knowledge in of the experimental design and the scientific
biology, physics, and mathematics. However, courses methodology. I consider such a discussion to be of
in neurobiology are not a prerequisite. Concepts and vital importance for the learning process of students
approaches from this discipline that are important and their ability to critically evaluate the literature.
ACKNOWLEDGEMENTS

The foundation to writing this book was laid College, U.S.A.); Mark Konishi (California Institute
during my own graduate education. Four teachers of Technology, Pasadena, California, U.S.A.); Bill
have been particularly influential. The late Walter Kristan (UCSD, San Diego, U.S.A.); Jürg Lamprecht
Heiligenberg, in whose laboratory at the Scripps (Max-Planck-Institut für Verhaltensphysiologie,
Institution of Oceanography of the University of Seewiesen, Germany); Ken Lohmann (University of
California, San Diego (UCSD) I had the privilege to North Carolina, Chapel Hill, U.S.A.); Anne Lyons
work both as a Ph.D. student and as a postdoctoral (Oxford, U.K.); Eve Marder (Brandeis University,
fellow. The late Ted Bullock, also of UCSD, has been Waltham, Massachusetts, U.S.A.); Tom Matheson
a source of inspiration since my graduate student (University of Leicester, U.K.); Roswitha M. Marx
days. He made many suggestions on the manuscript (University of Victoria, Canada); Tom Matheson
of the first edition, and also kindly contributed the (University of Leicester, U.K.); James Mazer (Yale
Foreword. Larry Swanson, then at the Salk Institute University, U.S.A.); Jo Ostwald (Eberhard Karls
for Biological Sciences in La Jolla, California, now at Universität Tübingen, Germany); Sarah A. Parker
the University of Southern California at Los Angeles, (Stratford-upon-Avon, U.K.); Alan Roberts (University
taught me how to use neuroanatomy as a tool to of Bristol, U.K.); David Skingsley (Staffordshire
analyze the structural basis of behavioral control University, Stoke-on-Trent, U.K.); Julian Thomas
mechanisms. Equally importantly, he also showed (Sterna Word Services, Somerset, U.K.); Wim van
me that even the teaching of a difficult subject can be de Grind (Universiteit Utrecht, The Netherlands);
joy for both instructor and student. Len Maler of the Gerhard von der Emde (University of Bonn, Germany);
University of Ottawa, Canada, taught me, through Neil Watson (Simon Fraser University, Burnaby, British
many joint projects, how to integrate behavioral, Columbia, Canada); David Wilcockson (Aberystwyth
anatomical, and physiological data to gain an University, U.K.); Janine Wotton (Gustavus Adolphus
appreciation of how the central nervous system College, U.S.A.); and Jayne E. Yack (Carleton
generates behavior. University, Ottawa, Canada).
In the course of writing the three editions of My friend Cecilia Ubilla (UCSD) spent numerous
this book, I greatly benefited from the advice of hours on the manuscript of the three editions to
the following colleagues: Jon Banks (University of optimize my style of writing. Her comments from the
Manchester, U.K.); Jon Barnes (University of Glasgow, perspective of a naive reader on the one hand, and an
U.K.); Bob Beason (University of Louisiana, Monroe, experienced professional writer and teacher on the
U.S.A.); Rob Bell (Queen’s University Belfast, U.K.); other, were instrumental in polishing up the text.
Gary Boyd (University of the West of Scotland, Another factor that proved to be indispensable
Paisley, U.K.); Kenneth H. Britten (University of in writing this book was the excellent collaboration
California, Davis, U.S.A.); Toby Carter (Anglia with the staff of Oxford University Press. Esther
Ruskin University, U.K.); Bruce Carlson (Washington Browning proposed this project and got me started.
University, St. Louis, U.S.A.); Chris Elliott (University Five publishing editors oversaw the writing and
of York, U.K.); Jack Gray (University of Saskatchewan, production of the three editions—Jon Crowe, Ross
Canada); Natalie Hempel de Ibarra (University of Bowmaker, Dewi Jackson, Jess White, and Lucy
Exeter, U.K.); Jane Hoyle (Sheffield, U.K.); Franz Wells. They have been reliable sources of advice and
Huber (Starnberg, Germany); Jason Jones (Vassar encouragement, and I am grateful to each of them.
 Acknowledgements xi

Major parts of the manuscript for the book Finally, I am indebted to my wife Marianne, and
were written while I spent summers at UCSD. our children Frederick, Christina, and Daniel for
I am grateful to the Conrad Naber Foundation their (almost) never-ending forbearance. Without
(Germany) for partially funding these visits. I their support, this book would not have been
would also like to thank the Royal Society in the possible.
U.K. for the award of a History of Science grant that Günther K. H. Zupanc
enabled me to collect the information necessary to Boston, Massachusetts
write Chapter 3. November 2018
TABLE OF CONTENTS

How to use this book xv The bigger picture 73

Recommended reading 74
1 Introduction 1 Short-answer questions 74
Introduction 1 Essay questions 74
Neuroethology: The synthesis Advanced topic 75
of neurobiology and ethology 2
Choosing the right level of simplicity 2 4 Orienting movements 76
Quantifying behavior: A prerequisite for Introduction 76
neuroethological research 4 Key concepts 76
Finding the right model system 5 Model system: Taxis behavior in
Summary 7 Paramecium 77
The bigger picture 8 Model system: Geotaxis in vertebrates 83
Recommended reading 8 Summary 88
Short-answer questions 8 The bigger picture 89
Essay questions 8 Recommended reading 89
Advanced topic 9 Short-answer questions 89
Essay questions 90
2 Fundamentals of neurobiology 10 Advanced topic 90
Introduction 10
Cellular and subcellular composition 5 Active orientation and localization 91
of nervous systems 10 Introduction 91
Physiology and ionic basis of the Key concepts 91
electrical properties of neurons 15 Model system: Echolocation in bats 93
Synapses 25 Summary 110
Sensory systems 34 The bigger picture 111
Neurobiological approaches in neuroethology 35 Recommended reading 111
Summary 44 Short-answer questions 111
The bigger picture 46 Essay questions 112
Recommended reading 46 Advanced topic 112
Short-answer questions 46
Essay questions 48 6 Neuronal control of motor output 114
Advanced topic 48 Introduction 114
Key concepts 114
3 The study of animal behavior and its Model system: Escape swimming in
neural basis: A brief history 49 toad tadpoles 119
Introduction 49 Summary 129
The roots of the study of animal behavior 49 The bigger picture 130
The new era in the study of animal behavior 51 Recommended reading 130
Relating neuronal activity to behavior: Short-answer questions 131
The establishment of neuroethology 66 Essay questions 131
Summary 72 Advanced topic 132
 Table of contents xiii

7 Neuronal processing of sensory Anatomical localization of biological clocks 219

information 133 Summary 222
Introduction 133 The bigger picture 222
Key concepts 133 Recommended reading 223
Model system: Recognition of prey and Short-answer questions 223
predators in the toad 140 Essay questions 224
Model system: Directional localization Advanced topic 224
of sound in the barn owl 149
Summary 164 11 Large-scale navigation: Migration
The bigger picture 166 and homing 225
Recommended reading 166 Introduction 225
Short-answer questions 167 Key concepts 225
Essay questions 167 Genetic control of migratory behavior 227
Advanced topic 168 Homing 229
Approaches to study animal migration
8 Sensorimotor integration 169 and homing 231
Introduction 169 Mechanisms of long-distance
Key concepts 170 orientation in birds 232
Model system: The jamming Homing in salmon 245
avoidance response of the weakly Summary 254
electric fish Eigenmannia 171 The bigger picture 256
Reflections on the evolution of the Recommended reading 256
jamming avoidance response 187 Short-answer questions 256
Summary 187 Essay questions 257
The bigger picture 188 Advanced topic 258
Recommended reading 189
Short-answer questions 189 12 Communication 259
Essay questions 190 Introduction 259
Advanced topic 190 Key concepts 259
Model system: The neuroethology
9 Neuromodulation: The accommodation of cricket song 263
of motivational changes in behavior 192 Model system: The development
Introduction 192 of bird song 281
Key concepts 193 Summary 292
Structural reorganization 193 The bigger picture 294
Biochemical switching 200 Recommended reading 295
Summary 205 Short-answer questions 295
The bigger picture 206 Essay questions 296
Recommended reading 206 Advanced topic 296
Short-answer questions 207
Essay questions 207 13 Cellular mechanisms of learning
Advanced topic 207 and memory 298
Introduction 298
10 Circadian rhythms and biological clocks 209 Key concepts 298
Introduction 209 Model system: The cell biology of
Key concepts 209 an implicit memory system—
Temperature compensation of sensitization in Aplysia 301
free-running periods 211 Model system: The cell biology of
Entrainment of biological clocks an explicit memory system—
by environmental cues 212 the hippocampus of mammals and birds 308
Molecular nature of the clock 215 New neurons for new memories 315
xiv Table of contents

Summary 322 Advanced topic 325

The bigger picture 323
Recommended reading 323 Glossary 327
Short-answer questions 324 Bibliography 332
Essay questions 325 Index 345
HOW TO USE THIS BOOK

Each of the 13 chapters is organized in a similar way and contains a number of valuable tools which aim to
help you to understand and learn.

The introduction and key concepts sections outline

the major topics and ideas covered in each chapter.
Key concepts

The orienting responses of animals are extremely

diverse. A first major attempt to classify the different
types of these behaviors was undertaken by the
German zoologist Alfred Kühn (1885–1968) and is

The take-home messages that are most important to

➤ Orienting behavior does not depend on the existence
remember in each section are highlighted. of a nervous system. The unicellular protist Paramecium
caudatum, for example, exhibits several taxis reactions,
including chemotaxis and galvanotaxis.

Text boxes explore key concepts, such as the Box 4.1 Herbert Spencer Jennings
structure and function of central pattern generators, remained the subject of choice in mo
and key people in the field of neuroethology. Following a year of graduate study at
Harvard, where he received his P
descriptive study of the developmen
went to Europe to work with the the
physiologist Max Verworn (Fig. 4.1)
some time in Italy at the Naples Bio
decade of temporary positions, in 19

Key terms are highlighted in bold. Glossary term

Labyrinth Otolith organ plus semicircular canals plus
boxes provide on-the-page explanations of the most cochlea.
important of these terms, or ones with which the
reader may not be familiar; in addition, there is a The otolith organ, whose structure and function will
glossary at the end of the book, in which these terms be examined in more detail below, consists of a patch
are collated. (called the macula) of sensory cells and a covering
xvi How to use this book

There is a summary at the end of each chapter listing

Summary
the important points which have been covered in
that chapter. ● Among orienting responses, taxes constitute an
important category. They involve an orienting
reaction or movement in freely moving
organisms directed in relation to a stimulus.

Each chapter includes a section at the end entitled

The bigger picture
‘The bigger picture’ which connects the chapter-
specific content with the general principles, As we have seen in Chapter 3, the beginning of
conclusions, and perspectives in the wider field of the twentieth century was a critical time in the
research and application. development of the behavioral sciences. Scientists
in different countries and from different disciplines

There is a recommended reading list at the end

of each chapter for those wishing to read further Recommended reading
around the topic.
Adler, J. (1987). How motile bacteria are attracted and
repelled by chemicals: An approach to neurobiology.
Biological Chemistry Hoppe-Seyler 368:163–173.
A ll i i l b h i

Short-answer questions are provided at the end of

each chapter as a quick way for you to test whether you Short-answer questions
have remembered the key facts and figures covered
in that chapter. Some, labeled ‘Challenge questions’, 4.1 Define, in one sentence, the term ‘positive phototaxis’.
require you to apply the principles explained in the 4.2 Attracted by the calling song of an invisible conspecific
chapter to less familiar situations. male, a female cricket walks to the source of sound.

Essay questions are also provided at the end of each

chapter. These broader questions could be used by Essay questions
instructors to set assessments, or by students for
exam practice. These questions can typically be 4.1 Describe how mechanical stimulation of paramecia
answered by two to three written pages. leads, through proper activation of the cilia, to a
phobotactic response.
h l ? h b h l
 How to use this book xvii

Advanced topics at the end of each chapter offer a

more extended assignment with starter references Advanced topic Physical modeling of galvanota
provided. These will be most suitable for senior Background information
undergraduates and graduate students. It is envisaged
Galvanotaxis involves orientation in a DC electric field of
that the assignment would take the form of a review Paramecium toward the cathode. This orienting movement
article of around five to ten written pages. is mediated by specific changes in the beat pattern of the

A list of references accompanies each chapter. They 1 Introduction K

are gathered into a single bibliography at the end Baerends, G. P. and Baerends-van Roon, J. M. (1950). An
of the book, organized by chapter. These references, introduction to the study of the ethology of cichlid fishes. K
both those referred to in the chapter and those listed Behaviour 1 (Suppl.):1–242.
Jørgensen, C. B. (2001). August Krogh and Claude Bernard
under further reading, include original research L
on basic principles in experimental physiology. BioScience
articles, review papers, book chapters, and books, from 51:59–61.
publications that are of historical importance as well as
those that report the latest developments of current
research.

There are also a number of resources online to

supplement the book and help you to test and extend
your understanding:

For students:
• Multiple choice questions for you to test yourself
• Useful weblinks
• A biography of the author and interview about
key questions in behavioral neurobiology
For lecturers:
• Answers to the questions provided at the end of
each chapter
• Figures from the book in a downloadable format
• Journal Club material for each chapter

www.oup.com/uk/zupanc3e
 1 Introduction

Introduction 1
Neuroethology: The synthesis of neurobiology and ethology 2
Choosing the right level of simplicity 2
Quantifying behavior: A prerequisite for neuroethological research 4
Finding the right model system 5
Summary 7
The bigger picture 8
Recommended reading 8
Short-answer questions 8
Essay questions 8
Advanced topic 9

Introduction Neuroethology The biological discipline that attempts

to understand how the nervous system controls the
This book introduces the reader to the fascinating natural behavior of animals.
field of neuroethology. As with other disciplines
studying animal behavior, a major task of
neuroethology is to understand the causal factors
that lead to the production of behavior. There are
two principal approaches to achieve this goal. One
approach aims at a ‘software’ explanation of behavior.
As shown in Fig. 1.1, the animal is treated as a black box, Stimulus Animal Behavior
which, in response to a biologically relevant stimulus,
generates a behavior. Such an approach is used by all
behavioral sciences, including ethology, one of the Figure 1.1 The black-box approach. Scientific disciplines
founder disciplines of neuroethology. The second restricting their research to the behavioral level treat the
approach, which is employed by neuroethology, aims animal as a black box that, upon stimulation with a biologically
at understanding how the central nervous system relevant stimulus, produces a behavioral pattern. Such
disciplines thus provide ‘software’ explanations of behavior.
translates the stimulus into behavioral activity. In contrast, neuroethology attempts to give ‘hardware’
In other words, neuroethology seeks a ‘hardware’ explanations by exploring the structure and function of the
explanation of behavior by elucidating the structure black box in relation to the production of behavior. (Courtesy:
and the function of the black box. G. K. H. Zupanc.)
2 Chapter 1 Introduction

Neuroethology: The synthesis physiological recordings from animals living a

of neurobiology and ethology relatively normal life in their natural habitat!
On the other hand, neuroethologists investigate
Neuroethology has its roots in both neurobiology rather simple behaviors. This is sometimes to the
and ethology. The synthesis of these two disciplines, disappointment of ethologists, who are typically
which created a new area of study, was and continues interested in more complex behaviors. However, the
to be challenging. This is mainly due to the rather intrinsic conceptual and technical difficulties make
diametric approaches employed by the two founding such a self-applied restriction not only unavoidable,
disciplines. Neurobiologists have traditionally but also desirable.
worked on anesthetized animals, isolated parts In the latter respect, one could compare the
of tissue, or even single cells. They are primarily situation of today’s neuroethology with that of
interested in the structure and function of such physics in the seventeenth century. The initial
particular cells or tissues. The species is often chosen restriction to simple models to analyze the motion of
based on technical considerations, such as the objects (neglecting, for example, air resistance when
presence of large nerve cells, and the ease by which examining falling objects) led to the discovery and
the animal preparation can be obtained. Ethologists, establishment of many fundamental principles, such
on the other hand, employ a whole-animal as Newton’s laws of motion. An attempt in the early
approach, with the animal kept under conditions as days of mechanics to analyze more complex systems,
natural as possible. Preferably, at least part of their although closer to reality, would almost certainly
observations should be conducted in the field. If this have failed and tremendously delayed the further
is not possible, then the animal is transferred to or development of the physical sciences.
bred in the laboratory, where it is kept under semi-
natural conditions to minimize the occurrence of
unnatural behavior. ➤ Neuroethological research combines both
Despite the obvious differences between neurobiological and ethological approaches.
neurobiology and ethology, the success of
neuroethology is based on the incorporation of a
blend of neurobiological and ethological approaches Choosing the right level of simplicity
into its own scientific armory. Particularly, its focus
on ‘natural’ and biologically relevant behavioral Progress in neuroethology is crucially dependent
patterns makes neuroethology distinct from other upon choosing the right level of simplicity. Thus,
disciplines studying the neural basis of behavior. although the ultimate goal of neuroethology is to
As part of the overall strategy, this should include understand the neural mechanisms underlying
investigations of the animal in its natural habitat. The behavior, it would at present not be sensible to
researcher can then simulate the field conditions in examine the entire behavior of an animal.
the laboratory and apply more natural stimuli in the In any animal, the behavior consists of many
experiment than would be possible if studying the individual elements. It involves not only what is
behavior in the laboratory only. generally associated with behavior, movements of
In recent years, such field studies have been eased the body in particular, but may also include specific
by many technological developments, such as the body postures, production of sound, color changes,
availability of battery-powered laptop computers, electric discharges, and even glandular activity, for
which allow the researcher to characterize the example the secretion of pheromones. The entire
animal’s natural behavior with an unprecedented behavioral repertoire of an animal is called an
degree of precision. With the enormous advances ethogram. As immediately evident, this entire set
made in the miniaturization of instruments, it of behavior is too complex to be analyzed by the
is no longer unthinkable that neuroethologists neuroethologist, or even by the ethologist. Therefore,
will, at some point in the future, be able to obtain the behavior of an animal has to be split into its
 Choosing the right level of simplicity 3

individual components, referred to as the individual Obviously, by dividing the behavior of an animal
behaviors or behavioral patterns. As a first step, further and further down, a hierarchical arrangement
the total behavioral repertoire is often divided into results. Niko Tinbergen, one of the founders of
major groups representing functional categories, for ethology (see Chapter 2), called the different levels
example ‘sleep,’ ‘feeding,’ ‘courtship,’ or ‘aggression.’ within this hierarchical system levels of integration.
Yet, these categories are still too large to be quantified The lateral display of cichlids, for example, involves
and analyzed in a meaningful way. This makes a alignment of the fish beside its opponent, typically
further subdivision necessary. within a few centimeters, and a rapid, powerful
sideways thrust of the tail. During this display, the
dorsal, anal, and pelvic fins are erect and the opercula
Ethogram The entire behavioral repertoire of an animal extended. The erection of the fins, on the other hand,
species. is defined by the action of the individual fin rays,
whose movement is the result of the contraction
of muscle fibers controlled by neural motor units.
Example: Cichlids are a family of more than Fig. 1.3 illustrates this stepwise subdivision of
2000 teleost fishes. They are well known for their behavior into smaller and smaller elements.
highly developed aggressive, courtship and parental- While it hardly makes sense to undertake a study
care behavior. As illustrated in Fig. 1.2, the behavior aimed at elucidating the neural basis of ‘aggression’
subsumed under the term ‘aggression’ actually consists in a cichlid fish, one would likely succeed, with the
of a number of individual behavioral patterns, techniques available, in identifying the structures
including chasing, butting, frontal display, lateral within the central nervous system that control the
display, and mouth wrestling.

(a) (b) (c)

(d) (e) (f)

Figure 1.2 Aggressive behavior of the blue acara (Aequidens head of the opponent. (d) Mouth grasping. The fish grasp
pulcher), a teleost fish of the cichlid family. (a) Lateral display. each other at the lower or upper mandible. (e) Mouth pulling.
The fish align beside each other, spread the dorsal, anal, and Each fish tries to pull the opponent, after having grasped each
pelvic fins, and intensify the coloration of their bodies. These other’s mouth. (f) Defeat. The fish at the front gives up. It folds
threats are accompanied by light tail beats. (b) Circling. While its fins, adopts a pale coloration, and swims off. (After: Wicker,
circling each other, the fish have the ventral part of the mouth W. (1968).)
lowered. (c) Tail beating. One fish beats its tail against the
4 Chapter 1 Introduction

Aggressive
behavior

Lateral Mouth
Circling
display fighting

Lateral Tail Erection of Spreading of Intensification

alignment beating fins gill covers of coloration

Movement of fin rays

Contraction of muscle fibers

Neural control by motor units

Figure 1.3 Splitting the lateral display, an aggressive behavioral hierarchical arrangement in which various levels of integration
pattern of cichlid fish, into individual elements. This leads to a are distinguished. (Courtesy: G. K. H. Zupanc.)

movements of the dorsal fin. Operation at this lower

➤ Dividing the behavior of an animal into components of
level of integration not only reduces the number
decreasing complexity results in a hierarchical arrangement
of neuronal structures involved in the control of a with different levels of integration.
behavioral pattern, but also provides the investigator
with behavioral elements typically much better
defined than those encountered at a higher level Quantifying behavior: A prerequisite
of integration. This makes it markedly easier to for neuroethological research
quantify behavioral patterns—a prerequisite for
many types of analysis at both the behavioral and the In general, behavioral patterns can be quantified
neurobiological level. using their rate of occurrence (‘How often is the
 Finding the right model system 5

dorsal fin erected?’), their duration (‘How long is the are a major reason why many fundamental cellular
dorsal fin kept in an erect position?’), and/or their mechanisms underlying learning and memory
intensity (‘Is the dorsal fin erected maximally, with are very similar among animals, including both
the fin rays almost perpendicular to the dorsal edge vertebrates and invertebrates. On the other hand,
of the fish’s body, or do the fin rays adopt positions these universals of life make it possible to establish
intermediate between the maximal and the minimal principles of learning and memory processes by
angle?’). A similar attempt to quantify the lateral studying the rather simple neural network of the sea
display would be very difficult, particularly because slug Aplysia, although ultimately most researchers
of the complexity of the different actions involved in would like to understand more complex systems,
the execution of this behavior. As not all individual including those of humans (see Chapter 13).
actions are necessarily executed simultaneously Despite the existence of similar solutions to
during lateral display, a main problem would be a given behavioral problem in many species,
to identify the end points of this behavior. Lack of not each of them is equally suited for exploring
such information makes it virtually impossible to the neural implementations of these solutions.
determine the parameters’ ‘rate of occurrence’ and Recognizing the dilemma of the right choice of
‘duration.’ Also, measurement of the intensity would experimental animals, the Danish physiologist
be difficult: Is the behavior more intense when a August Krogh published in 1929 an essay in which
larger number of individual actions are displayed, or he wrote: ‘For a large number of problems there
when the degree of execution of individual patterns will be some animal of choice or a few such animals
is maximized? in which it can be most conveniently studied.’
Krogh’s Principle, as it was dubbed later, has been
➤ A behavioral pattern can be quantified using its rate of widely used by comparative physiologists and
occurrence, duration, and/or intensity. neuroethologists as a guide in the experimental-
design process. For example, the success in the
identification and characterization of the neural
circuitry that controls rhythmic motor activity was
largely based on the choice of Xenopus tadpoles,
Finding the right model system with their relatively simple organization of the
spinal cord, and the possibility of evoking neural
The above considerations underline the importance of activity associated with the motor behavior from
choosing the right model system. Such systems are not physiological preparations (see Chapter 6). Barn
primarily studied to provide insights into the neural owls as nocturnal hunters rely heavily on acoustic
mechanisms underlying the behavior of the respective cues for localization of prey. They are, therefore,
species. Rather, their characterization enables the particularly well suited to elucidating the neural
neuroethologist to extract principles applicable to mechanisms that underlie processing of auditory
many, if not all, animals. This is possible because information (see Chapter 7).
there are, probably in any case, only a finite number Besides selecting a model system based on a good
of solutions to a given behavioral problem. Keeping match of the research question and the relevant
the body oriented, for example, requires the analysis biological properties of the organism, other
of geophysical invariants, but the number of options important considerations are that the behavior
available is limited to a few, such as the measurement under scrutiny should be simple and robust, readily
of the direction of the incident light or of the animal’s accessible, and ethologically relevant; and the
angle relative to gravity (see Chapter 4). animal displaying this behavioral pattern should
Many solutions to such problems were invented be inexpensive, suitable for examination in the
very early in evolution, so that frequently the neural laboratory, easy to maintain, and possible to breed.
implementations of these solutions are homologous These requirements are far from trivial to meet, and
in different species. Such homologous developments the right choice of a suitable model system always
6 Chapter 1 Introduction

demands profound knowledge in both animal mode of regularity (Fig. 1.4b, c). These modulations
biology and husbandry. are used, for example, to encode information in the
context of intraspecific communication, such as
Example: Two orders of teleost fish produce, by during aggressive encounters (Fig. 1.5). In addition,
means of a specialized organ, electric discharges the fish employ their discharges for object detection.
of low voltage. As will be demonstrated in detail in The electric behavior, therefore, meets the above
Chapter 8, these so-called electric organ discharges requirement of ethological relevance. Moreover,
are quite simple in terms of their biophysical many weakly electric fishes can be kept in aquaria
properties, highly robust, and they can readily under semi-natural conditions; several species have
be monitored by placing recording electrodes even been bred successfully in the laboratory. Taken
near the fish. Their rate of occurrence, duration, together, these properties make them ideal subjects
and intensity can easily be measured, thus allowing for neuroethological research.
the researcher to quantify this behavior. This is
illustrated by Fig. 1.4, which shows the discharge This and other examples of good neuroethological
pattern of the elephant nose (Gnathonemus model systems are discussed in detail in the
petersii). This mormyriform fish produces very following chapters of this book. Their exploration
brief electric pulses, which are, even over hours over the last decades has greatly advanced our
and days, highly stable in terms of their physical understanding of how the brain controls behavior.
appearance (Fig. 1.4a). However, the fish are able Moreover—and equally important—this research
to modulate the discharge pattern, for example by has also deepened our appreciation for the biology
altering the pulse repetition rate or by changing the of the whole animal.

(a)

2msec

(b)

(c)

3sec

Figure 1.4 Electric organ discharge of the elephant between the individual pulses are somewhat irregular.
nose, Gnathonemus petersii. (a) Each discharge results in (c) After stimulating an isolated fish with the discharges of a
a brief electric pulse, which is highly constant in terms of second elephant nose (indicated by the horizontal
duration, amplitude, and waveform. (b) Resting discharge bar below the trace), the discharge pattern changes
pattern over a slower timescale. As the individual pulses significantly. In the example shown, the fish discharges
are highly constant, this behavior can readily be quantified at almost three times the resting rate, and the pattern of
by counting the number of pulses (here represented as pulse production becomes more regular. The result of this
vertical bars) produced per second and by analyzing the experiment underlines the ethological relevance of the
pattern of discharge. In the example shown, approximately electric organ discharge. (Courtesy: G. K. H. Zupanc and
five pulses per second are generated, and the intervals J. R. Banks.)
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 THE
DIPLOMATIC
CORRESPONDENCE
OF THE
AMERICAN REVOLUTION.
VOL. III.

THE

DIPLOMATIC
CORRESPONDENCE

OF THE

AMERICAN REVOLUTION;
 BEING

THE LETTERS OF BENJAMIN FRANKLIN, SILAS DEANE, JOHN

ADAMS, JOHN JAY, ARTHUR LEE, WILLIAM LEE, RALPH
IZARD, FRANCIS DANA, WILLIAM CARMICHAEL, HENRY
LAURENS, JOHN LAURENS, M. DE LAFAYETTE, M.
DUMAS, AND OTHERS, CONCERNING THE FOREIGN
RELATIONS OF THE UNITED STATES DURING
THE WHOLE REVOLUTION;

TOGETHER WITH

THE LETTERS IN REPLY FROM THE SECRET COMMITTEE OF

CONGRESS, AND THE SECRETARY OF FOREIGN AFFAIRS.

ALSO,

THE ENTIRE CORRESPONDENCE OF THE FRENCH MINISTERS,

GERARD AND LUZERNE, WITH CONGRESS.

Published under the Direction of the President of the United States,

from
the original Manuscripts in the Department of State, conformably
to a Resolution of Congress, of March 27th, 1818.
EDITED
 BY JARED SPARKS.
VOL. III.

BOSTON:
NATHAN HALE AND GRAY & BOWEN;
G. & C. &. H. CARVILL, NEW YORK; P. THOMPSON, WASHINGTON.
1829.

Hales's Steam Press

No. 6, Suffolk Buildings, Congress Street, Boston.
 CONTENTS
OF THE

THIRD VOLUME.

BENJAMIN FRANKLIN'S CORRESPONDENCE.

Page.
To John Hancock, President of Congress. Nantes,
5
December 8th, 1776,

Announces his arrival in France.—Does not assume a

public character.—Military stores destined for America.

To the Committee of Secret Correspondence. Nantes,

7
December 8th, 1776,
The Committee of Secret Correspondence to
9
Benjamin Franklin. Baltimore, January 1st, 1777,

Announcing his appointment as Commissioner to Spain.

To the Committee of Secret Correspondence. Paris,

9
January 4th, 1777,

Arrives in Paris.—Has an audience with Count de

Vergennes.—Interview with the Spanish Ambassador.
—The nation favorable to the American cause.
To the President of Congress. Paris, January 20th,
10
1777,

Recommending Captain Balm.

To the Count d'Aranda, Spanish Ambassador to the

11
Court of France. Passy, April 7th, 1777,

Communicates the propositions of the United States to

Spain.—Congress will also assist France and Spain in
the conquest of the English sugar islands.

To General Washington. Paris, June 13th, 1777, 12

Recommending Count Kotkouski.—Count Pulaski.

To General Washington. Paris, June 13th, 1777, 13

Recommending Baron de Frey.

M. Dubourg to B. Franklin. Paris, September 8th,

14
1777,

Requesting a letter of recommendation for M. Gerard, who

wishes to settle in America.

To Richard Peters. Passy, September 12th, 1777, 15

Recommending M. Gerard.

Remarks on a Loan for the United States, 15

America a safer debtor than Britain, from her general

industry, frugality, prudence, ability, and virtue.

To David Hartley, member of Parliament. Passy,

23
October 14th, 1777,

The conduct of Great Britain has rendered submission

impossible.—Cruel treatment of the American
 prisoners in England.—Propositions for their relief.

To James Lovell. Paris, December 21st, 1777, 27

Mr Deane's recommendations of officers.—Numerous and

vexatious applications, with high recommendations.

To James Hutton. Passy, February 1st, 1778, 29

Means of reconciling America.

To David Hartley. Passy, February 12th, 1778, 31

Alienation of America from Great Britain.—Kindness and

cordiality of France.—Change of Ministry necessary for
conciliation.—Subscriptions in England for the relief of
American prisoners.—Mr Hutton.

To David Hartley. Passy, February 26th, 1778, 34

Lord North's conciliatory bills.—Advice to the English

whigs.

To James Hutton. Passy, March 24th, 1778, 37

The Commissioners are ready to treat.

Note from William Pultney to B. Franklin. March 29th,

37
1778,

Desires an interview with Dr Franklin.

To William Pultney. Passy, March 30th, 1778, 38

America cannot treat on any terms short of independence

—will not treat at all in case of a war against France.

To Dr Bancroft. Passy, April 16th, 1778, 40

British Commissioners cannot succeed in America on their

terms.
David Hartley to B. Franklin. Paris, April 23d, 1778, 40

Advises him to take care of his own safety.

To Count de Vergennes. Passy, April 24th, 1778, 41

Giving an account of his conversations with Mr Hartley; of

the visit of Mr Chapman, an agent of Lord Shelburne.
—The Quebec fleet.

Count de Vergennes to B. Franklin. Versailles, April

44
25th, 1778,

Policy of the English to excite divisions and distrust.

James Lovell to B. Franklin. Yorktown, June 20th,

45
1778,
Answer to a letter from Brussels. Passy, July 1st,
45
1778,

Reply to insinuations against the faith of France.—Future

prospects of America.—Acknowledgment of the
independency of little consequence to America.—The
King's political studies.—Peace is to be obtained only
on equal terms.—Ridicules the offers of rewards.

To James Lovell. Passy, July 22d, 1778, 52

Proceedings relative to Mr Deane.—Beaumarchais.—

Eleventh and twelfth articles of the treaty.—Mr Izard.
—Inconvenience and expense of maintaining several
Commissioners instead of one.—War between England
and France; war in Germany.—Difficulty of raising
loans.—Drafts of Congress on the Commissioners.

Instructions to B. Franklin, as Minister Plenipotentiary

59
to the Court of France,
Committee of Foreign Affairs to B. Franklin.
62
Philadelphia, October 28th, 1778,
 Forwarding his new credentials.

James Lovell to B. Franklin. Philadelphia, December

63
8th, 1778,

Depreciation of the currency.

Dr Price to B. Franklin. London, Jan. 18th, 1779, 64

Declines removing to America.

James Lovell to B. Franklin. Philadelphia, January

65
29th, 1779,

English successes in Georgia.

James Lovell to B. Franklin. Philadelphia, February

66
8th, 1779,
To David Hartley. Passy, February 22d, 1779, 66

America cannot relinquish her alliance with France to treat

with Britain.

Letter respecting Captain Cook. Passy, March 10th,

67
1779,

Recommending to afford Captain Cook all the assistance

he may need.

To David Hartley. Passy, March 21st, 1779, 68

Delay in the exchange of prisoners.—Losses of the English.

—Growth of America.

David Hartley to B. Franklin. London, April 22d, 1779, 70

Proposing a truce.—Interests of France.—Advantages of

adopting some preliminaries.
Observations by Mr Hartley, 74

Enclosed in the preceding.

Instructions to John Paul Jones, Commander of the

American Squadron in the service of the United 77
States, now in the port of L'Orient,
To David Hartley. Passy, May 4th, 1779, 78

Relative to Mr Hartley's propositions.

To the Committee of Foreign Affairs. Passy, May 26th,

81
1779,

Receives his credentials.—Presented to the King.—

American prisoners in France released.—Captain
Jones's squadron.—Exchange of prisoners with
England.—American prisoners there committed for
high treason.—Necker unfavorably disposed towards
America.—Accounts of the Commissioners.—Difficulty
of raising a loan.—Charges of William Lee and Ralph
Izard.—Recommends the appointment of consuls.—
Agents and applications of the separate States.—
Barbary Powers.—Disposition of the French.—
Preparations of Spain.—Preparations in France.—
Opinion of the Howes, Cornwallis, &c. of the
impracticability of the conquest of America.

To James Lovell. Passy, June 2d, 1779, 95

Currency.—Charges of Mr Lee and Mr Izard.—

Communication between Europe and America.—M. de
la Luzerne.

James Lovell to B. Franklin. Philadelphia, June 13th,

98
1779,

Enclosing a resolve relative to Beaumarchais's accounts.

James Lovell to B. Franklin. Philadelphia, July 9th,
98
1779,
James Lovell to B. Franklin. Philadelphia, July 16th,
99
1779,

Burning of Fairfield.—Compensation of Ministers.—

Forwards letters to the King of France.—Invoices of
supplies desired.

Instructions from Congress to B. Franklin. In

101
Congress, August 14th, 1779,

Proposing the mutual guaranty of the fisheries by France

and the United States.

To the Marquis de Lafayette. Passy, August 24th,

104
1779,

Forwarding him a sword, in the name of the Congress.

The Marquis de Lafayette to B. Franklin. Havre,

104
August 29th, 1779,

Acknowledging the reception of the sword.

To James Lovell. Passy, September 30th, 1779, 105

Supplies.—Receives nothing himself.

To Mr Bridgen. Passy, October 2d, 1779, 106

Devices on coins.

To John Jay, President of Congress. Passy, October

108
4th, 1779,

Beaumarchais's accounts.—Supplies.—M. Neufville's offers

of a loan.—Demands of Mr Ross, Mr Izard, and Mr
Lee.—Inactivity of the combined fleets.—Relations of
Holland and England.—Favorable disposition of
 Portugal.—Exchange of prisoners.—Jones's cruise in
the English waters.—Complaints of French officers
returning from America.—Complaints against
American cruisers.—Luxury of the Americans.—
Monument to General Montgomery.—Supplies from
Spain.

To James Lovell. Passy, October 17th, 1779, 118

Jones's cruise.—Mr Lee and Mr Deane.—Prospect of peace.

—Return of Commodore Jones.

To R. Bernstorf, Minister of Foreign Affairs in

121
Denmark. Passy, December 22d, 1779,

Remonstrates against the seizure of the American prizes in

the ports of Norway.

To David Hartley. Passy, February 2d, 1780, 125

America will not treat without her allies.—His former offers

to pay for the tea destroyed in Boston.—Indisposition
to peace on the part of England.—Exchange of
prisoners.—British barbarities in America.

James Lovell to B. Franklin. Philadelphia, February

128
24th, 1780,

Drafts merely nominal.

To Samuel Huntington, President of Congress. Passy,

129
March 4th, 1780,

Seizure of the prizes in Norway.—Quarrel between

Commodore Jones and Captain Landais.—Necessity of
appointing a consul.—Exchange of prisoners.—
Prospects of England.—Supplies of France.

From R. Bernstorf, Minister of Foreign Affairs in

Denmark, to B. Franklin. Copenhagen, March 8th, 134
1780,
 On the seizure of the American prizes.

To James Lovell. Passy, March 16th, 1780, 135

Proposed convention in London.—Affairs of England.

To Joseph Reed, President of the State of

137
Pennsylvania. Passy, March 19th, 1780,

Mr Pultney.—Errors corrected.

Count de Vergennes to B. Franklin. Versailles, May

140
11th, 1780,

Recommending the Baron d'Arendt.

To the Judges of the Admiralty at Cherbourg. Passy,

140
May 16th, 1780,

Requesting the release of the neutral ship Flora; the cargo,

if English, may be condemned.

To the President of Congress. Passy, May 22d, 1780, 141

Recommending the Baron d'Arendt.

To an Agent of American Cruisers. Passy, May 30th,

142
1780,

Free ships make free goods.

To the President of Congress. Passy, May 31st, 1780, 143

Complains of the trouble of maritime affairs.—Difficulty of

meeting the drafts.—Accounts of the Commissioners.
—American prizes in Danish ports.—Capture of neutral
vessels with English cargoes.—European powers have
adopted the rule, that free ships make free goods.—
Unfavorable disposition in Europe towards England.—
Difficulties in the exchange of prisoners.
To the President of Congress. Passy, June 1st, 1780, 149

Recommending Commodore Jones.

To C. W. F. Dumas. Passy, June 5th, 1780, 149

Respecting neutral ships.—Expresses a wish that all private

property and all private individuals might be
unmolested.—Letter of General Clinton.

Count de Vergennes to B. Franklin. Versailles, June

152
30th, 1780,

Orders to M. de la Luzerne relative to the French holders

of American paper money.

Committee of Foreign Affairs to B. Franklin.

153
Philadelphia, July 11th, 1780,

Making new drafts.

Committee of Foreign Affairs to B. Franklin.

154
Philadelphia, July 11th, 1780,

Mr Laurens appointed to negotiate a loan in Holland.

Committee of Foreign Affairs to B. Franklin.

155
Philadelphia, July 11th, 1780,

Communicating the acknowledgment of Congress for the

attentions of the French Consul in Bergen.

Committee of Foreign Affairs to H. Dohrman,

155
merchant, Lisbon. Philadelphia, July 11th, 1780,

Informing him of his appointment as agent of Congress for

the relief of Americans in distress.

David Hartley to B. Franklin. London, July 17th, 1780, 157

 Enclosing a copy of a conciliatory bill, rejected in the
House of Commons.

To C. W. F. Dumas. Passy, July 26th, 1780, 159

Messrs Neufville.—Capture of Charleston of little

consequence.

To the President of Congress. Passy, August 9th,

161
1780,

Disputes of Landais and Jones.—Necessity of appointing

consuls.—Mr Adams offends the French Court.—The
armed neutrality.

To James Lovell. Passy, August 10th, 1780, 167

Little value of pretended confidential information of secrets

of State.—Transmits copies of instruments annulling
the eleventh and twelfth articles.

James Lovell to B. Franklin. Philadelphia, August

169
15th, 1780,

Notifying Dr Franklin of bills to be drawn on him.

James Lovell to B. Franklin. Sept. 7th, 1780, 170

Enclosing proceedings of Congress relative to new drafts.

—Increase of taxes for the improvement of the
currency.

To C. W. F. Dumas. Passy, Oct. 2d, 1780, 171

Relative to M. Dumas's appointment and services.

To C. W. F. Dumas. Passy, Oct. 9th, 1780, 172

Has recommended M. Dumas to Mr Laurens as Secretary.

—Requests advice as to the manner of applying to the
 States-General.

James Lovell to B. Franklin. Philadelphia, October

173
28th, 1780,

Requesting him to transmit certain papers to Mr Jay at

Madrid.

To Sir Grey Cooper, Baronet, Secretary to the

Treasury of Great Britain. Passy, November 7th, 174
1780,

Requesting relief for Mr Laurens, prisoner in the Tower.

Charles Vernon, Lieutenant Governor of the Tower of

London, to Sir Grey Cooper. Hampstead, November 175
27th, 1780,

Mr Laurens's treatment in the Tower.

Sir Grey Cooper to B. Franklin. London, November

176
29th, 1780,

Respecting Mr Laurens; enclosing the preceding.

Instructions from Congress to B. Franklin. In

176
Congress, November 29th, 1780,
To James Lovell. Passy, December 2d, 1780, 179

Agrees to furnish the French troops in America with

provisions, in order to meet the drafts of Congress.

To the President of Congress. Passy, December 2d,

180
1780,

Recommending the furnishing of provisions to the French

troops.
To the President of Congress. Passy, December 3d,
181
1780,

Mr Laurens's captivity.—Memorial of Sir Joseph Yorke.—

Delays in sending supplies.—Capture of a Portuguese
ship with English property by an American armed
vessel.—Recommends that neutral ships be not
molested.

James Lovell to B. Franklin. Philadelphia, December

184
21st, 1780,

Mr Palfrey appointed Consul to France.

Additional instructions from Congress to B. Franklin.

185
In Congress, December 27th, 1780,
To Count de Vergennes. Passy, Feb. 13th, 1781, 186

Transmitting letters of Congress to the King.—

Communicates the instructions of Congress.—Critical
situation of America.—Quotes a letter of General
Washington on this subject.—Disappointment in
supplies expected from Spain.—Danger to Europe if
America is recovered by England.—Necessity of
immediate aid.

To Count de Vergennes. Passy, March 6th, 1781, 189

Instructed to apply for an early answer to the application

of Congress for more aid.

James Lovell to B. Franklin. March 9th, 1781, 189

Proceedings of Congress on several subjects.

To M. de Rayneval, Secretary to the Council of State.

190
Passy, March 11th, 1781,

Relative to supplies.
To the President of Congress. Passy, March 12th,
192
1781,

Relating his proceedings in obedience to his instructions;

the King of France grants a further sum of six
millions; France declines the mediation of Russia and
Austria.—Requests to be relieved from public duties
on account of his age and infirmities—Recommends
his grandson, William Temple Franklin, to Congress.

To Francis Lewis and the Board of Admiralty. Passy,

197
March 17th, 1781,

Account of the squadron and expedition of Captain Jones;

disposition of the prizes; affair with Captain Landais;
the Ministry wished it to be considered an American
expedition.

Agreement between Captain John Paul Jones and the

205
officers of the squadron,
James Lovell to B. Franklin. March 31st, 1781, 207

Military operations.

James Lovell to B. Franklin. Philadelphia, May 9th,

208
1781,

Desiring the exchange of Mr Gouverneur and Dr

Witherspoon.

To M. de Lafayette. Passy, May 14th, 1781, 209

Expedition against Arnold.—English policy.—Appointment

of his successor to the Court of France.

To the President of Congress. Passy, May 14th, 1781, 211

Supplies.—Exchange of prisoners.—Plans of the English

administration.
To Thomas Lewis. Passy, May 16th, 1781, 215

Supplies.

James Lovell to B. Franklin. Philadelphia, May 17th,

216
1781,

Introducing Dr Putnam.

Count de Vergennes to B. Franklin. Versailles, June

216
8th 1781,

Colonel Laurens's purchases in Holland.—The grant of the

king to be expended partly in France.

To the President of Congress. Passy, June 11th,

217
1781,

On the disposition of the French grant.

To John Adams. Passy, June 11th, 1781, 218

Relative to certain expenses of Mr Adams, charged on the

United States.

The President of Congress to B. Franklin. In

220
Congress, June 19th, 1781,

Appointment of new Ministers for negotiating a peace.—Dr

Franklin's services necessary on this occasion.

To Major William Jackson. Passy, June 28th, 1781, 221

Directing him to stop the shipment of money in Holland.

Major William Jackson to B. Franklin. Amsterdam,

221
June 29th, 1781,

Reason of his delay at Amsterdam.

To David Hartley. Passy, June 30th, 1781, 222

Informing him that Vergennes declines granting him a

passport.

Major William Jackson to B. Franklin. Amsterdam,

223
July 2d, 1781,

Remonstrating against the detention of the money,

obtained from France by Colonel Laurens, and
deposited with M. Fizeaux and Co. Amsterdam.—
Communicates his determination to retain the money
in his own hands.—Reasons for retaining the money
referred to in the preceding letters.

To Major William Jackson. Passy, July 5th, 1781, at

227
six in the morning,

Reasons for ordering the detention of the money, which

was part of the grant obtained by Dr Franklin.

To Major William Jackson. Passy, July 5th, 1781, 229

Adhering to his former determination relative to the

detention of the money.

To Major William Jackson. Passy, July 6th, 1781, 229

Account of the manner in which the money referred to in

the preceding letters was obtained.—Exertions of Dr
Franklin in obtaining supplies.

To the President of Congress. Passy, July 11th, 1781, 232

Reasons for detaining the money, intended to have been

shipped at Amsterdam.

James Lovell to B. Franklin. Philadelphia, July 21st,

233
1781,

Forwarding duplicates of certain resolutions of Congress.

To C. W. F. Dumas. Passy, August 6th, 1781, 234

Entertains little hope of aid from Holland.—Coldness of

that country.

To C. W. F. Dumas. Passy, August 10th, 1781, 235

Communicating intelligence from America.—Apologises for

expressions in his former letter, and requests that it
may not be shown.

To the President of Congress. Passy, September 13th,

236
1781,

Interview with the Count de Vergennes on communicating

his instructions relative to the negotiations, and the
letter of Congress to the King.—Accepts the
appointment of negotiator.—Desires that a Consul-
General may be appointed for France.

John Adams to B. Franklin. Amsterdam, October 4th,

238
1781,

Relative to certain expenses of the American Ministers.

Robert R. Livingston to B. Franklin. Philadelphia,

238
October 20th, 1781,

Mr Livingston is appointed Secretary of Foreign Affairs.—

Military operations.—Preparations for another
campaign.

Robert R. Livingston to B. Franklin. Philadelphia,

242
October 24th, 1781,

Announcing the capitulation of Yorktown.—Expresses a

wish that Dr Franklin will accept his new appointment
as negotiator.
To Thomas Mc'Kean, President of Congress. Passy,
243
November 5th, 1781,

State of American prisoners in England.—Difficulties in

effecting exchanges.—England refuses the mediation
of the Powers; will treat with the United States only
as subjects.—Proceedings of Colonel Laurens in
Holland.—Confusion in shipping the supplies.

Robert R. Livingston to B. Franklin. Philadelphia,

249
November 24th, 1781,

Recommending certain French officers in the American

service.

Robert R. Livingston to B. Franklin. Philadelphia,

250
November 26th, 1781,

Financial difficulties of America.—Importance of a French

naval force in the American waters.—The commission
for negotiating a commercial treaty with Great Britain
discharged.—Preparations for a new campaign.—
Supposed letters of Mr Deane.

William Alexander to B. Franklin. Paris, December

256
15th, 1781,

Requesting information concerning the disposition of

France and America to treat with Great Britain.

To William Alexander. Passy, Dec. 15th, 1781, 257

To David Hartley. Passy, December 15th, 1781, 257

Concerning Mr Hartley's plan for securing the lives of the

spectators at public spectacles in case of fire.

Robert R. Livingston to B. Franklin. Philadelphia,

258
December 16th, 1781,
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