Caroline affair

The ''Caroline'' affair (also known as the ''Caroline'' case) was a diplomatic crisis beginning in 1837 involving the United States, the UK, and the Canadian independence movement. The modest military incident has taken grand international legal significance.

It began in 1837 when William Lyon Mackenzie and other Canadian rebels, with support from US citizens, fled to an island in the Niagara River, in the ship ''Caroline''. British forces crossed the Niagara River, to board and capture the vessel where it was moored, at Schlosser's Landing, in US territory. Shots were exchanged and one U.S. citizen, a watchkeeper, was killed. British forces set fire to the ''Caroline'' and set it adrift in the Niagara River, about two miles above Niagara Falls. Sensationalized accounts of the affair were published by contemporary newspapers.

The burning outraged civilians on both sides of the US–Canadian border. In retaliation, a private militia composed of both US citizens and Canadians attacked a British vessel and destroyed it. During 1838, there were several other clashes pitting British forces against private militia. The diplomatic crisis was defused by the negotiations that led to the Webster-Ashburton Treaty in 1842, in which both the U.S. and Britain admitted to wrongdoing.

In the aftermath, the incident led to the legal principle of the " ''Caroline'' test". The principle states that the necessity for elf-defensemust be "instant, overwhelming, and leaving no choice of means, and no moment for deliberation", as formulated by Daniel Webster in his response to British claims that they attacked the ''Caroline'' in self-defense.
According to scholars, the "''Caroline'' test" remains an accepted part of international law today. For example, Tom Nichols (2008) has stated:

Background

The Reform Movement of Upper Canada (today's Ontario) was a movement to make the British colonial administration in Canada more democratic and less corrupt. William Lyon Mackenzie was one of the key leaders of this movement. He was repeatedly elected to serve in a hostile parliament that repeatedly ejected him for his reform efforts. By 1837, Mackenzie had given up on peaceful means for reform and began to prepare for an uprising.

In December 1837, Mackenzie began the Upper Canada Rebellion by fighting the British in the Battle of Montgomery's Tavern. His forces were seriously outnumbered and outgunned, and they were defeated in less than an hour. Mackenzie's allies suffered another major defeat a few days later in London. After these defeats, Mackenzie and his followers fled to Navy Island in the Niagara River, which they declared the Republic of Canada, on board the vessel SS ''Caroline''.

Throughout these events, the Canadian rebels enjoyed widespread support from the Americans, who provided them supplies and bases from which to launch raids on the British.

Events

On December 29, 1837, while the Canadian rebels were on Navy Island, Canadian loyalist Colonel Sir Allan MacNab and Captain Andrew Drew of the Royal Navy commanding a party of militia, acting on information and guidance from Alexander McLeod that the vessel belonged to Mackenzie, crossed the international boundary and seized the ''Caroline''. They chased off the crew, towed her into the current, set her afire, and cast her adrift over Niagara Falls. An African American watchmaker named Amos Durfee was shot and killed in the process, although who shot him and for what reason remain unknown. He was possibly accidentally shot by Alexander McLeod, a Scottish Canadian sheriff who had participated in the affair. The body of Durfee was later exhibited in front of a recruiting tavern in Buffalo, New York.

Minister H. S. Fox, in an 1841 letter to John Forsyth, summarized the British justification for the incursion:

The steamboat Caroline was a hostile vessel engaged in piratical war against her Majesty's people...it was under such circumstances, which it is to be hoped will never recur, that the vessel was attacked by a party of her Majesty's people, captured and destroyed.

New York's response:

US newspapers falsely reported "the death of twenty-two of her crew" when in fact, only Durfee was killed. Public opinion across the United States was outraged against the British. President Martin Van Buren protested strongly to London, but was ignored.

Aftermath: events

Shortly after the incident, a Canadian sheriff named Alexander McLeod claimed that he had helped attack the ''Caroline'' during the ''Caroline'' affair. McLeod was arrested in the United States in 1840 for his role in Durfee's death during the attack. This caused yet another international incident, as the British demanded his release, stating that he should not be held criminally responsible for following orders. The trial attempted to identify who exactly had shot Durfee, but this proved futile. McLeod was acquitted of all charges as witness statements made it clear that he had no involvement in the incident.

Many towns bordering Canada insisted that the United States enter a war with Britain because of this incident. The American government paused their prosecutions for violations of the neutrality law and President Martin Van Buren paused his campaign to restrain Patriots. Meanwhile, Canadians celebrated the incident and MacNab was knighted for his efforts.

On May 29, 1838, 13 raiders, mostly Canadian and American refugees from the 1837 rebellion, led by American William "Pirate Bill" Johnston, retaliated by capturing, looting, and burning the British steamer ''Sir Robert Peel'' while she was in U.S. waters. President Martin Van Buren sent General Winfield Scott to prevent further incursions into Canada. However, there were several other attacks, the biggest being the Battle of the Windmill in November 1838.

Later that year, Irish-Canadian rebel Benjamin Lett murdered a loyalist, Captain Edgeworth Ussher, who had been involved in the ''Caroline'' affair.

Mackenzie published an account of the incident called ''The Caroline Almanack''. He hoped the almanac would decrease American attitudes towards Canada.

Aftermath: diplomacy

Nearly five years after the raid, a new pair of negotiators were send to the diplomatic stage by their respective governments; U.S. Secretary of State Daniel Webster and Alexander Baring, 1st Baron Ashburton, U.K. politician and businessman at mercantile house Baring-Brothers & Co. This team was able to resolve the transatlantic friction and finally dispose the case, due to their great intellectual, diplomatic, and legal firepower, as one scholar did analyse. Their negotiations lead to the Webster–Ashburton Treaty of 1842. Secretary Webster admitted that the employment of force might have been justified by the necessity of self-defence, but denied that such necessity existed, while Lord Ashburton, although he maintained that the circumstances afforded excuse for what was done, apologized for the invasion of United States territory.

Anticipatory self-defense

This incident has been used to establish the principle of "anticipatory self-defense" in international politics, which holds that it may be justified only in cases in which the "necessity of that self-defense is instant, overwhelming, and leaving no choice of means, and no moment for deliberation". This formulation is part of the ''Caroline'' test. The ''Caroline'' affair is also now invoked frequently in the course of the dispute around preemptive strike (or preemption doctrine).Greenwood, Christopher
The ''Caroline''
''Max Planck Encyclopedia of Public International Law''

See also

* Timeline of United States diplomatic history
* Aroostook War, militias mobilized but no battles
* Pig War (1859), US–Britain border dispute in the Pacific Northwest

References

Further reading

* Craig Forcese; ''Destroying the Caroline The Frontier Raid That Reshaped the Right to War'', Irwin Law Inc., 2018;
Available at: https://scholarship.law.columbia.edu/faculty_scholarship/2507
* Matthew C. Waxman, The Caroline Affair in the Evolving International Law of Self-Defense, Columbia Public Law Research Paper No. 14-600 (2018). PDF available at
https://scholarship.law.columbia.edu
* Howard Jones; ''To the Webster-Ashburton Treaty: A Study in Anglo-American Relations, 1783-1843'' University of North Carolina Press, 1977
* Kenneth R. Stevens; ''Border Diplomacy- The Caroline and McLeod Affairs in Anglo-American-Canadian Relations, 1837-1842'' University of Alabama Press, 1989;
* Wiltse, Charles M. "Daniel Webster and the British Experience." ''Proceedings of the Massachusetts Historical Society'' Vol. 85. (1973) pp 55-87
online

External links

*


* ttp://images.maritimehistoryofthegreatlakes.ca/47530/data Contemporary newspaper accounts of the ''Caroline'' Affair
{{1837 shipwrecks

History of the foreign relations of the United States
Canada–United States relations
Upper Canada Rebellion
1837 in international relations
Shipwrecks of the Saint Lawrence River
Pirate ships
United Kingdom–United States relations
Presidency of Martin Van Buren
Diplomatic incidents
Maritime incidents in December 1837
Maritime incidents in Canada
1837 in the United States